• Date: Wednesday, March 18, 2009 @ 4:00 PM ET
• Location: Jordan & Jordan. 5 Hanover Sq. FL. 2, New York, NY, 10004 (Registration required for security)

Meeting Agenda

• FINRA Updates
  1. Intermarket Sweep Orders creation / capture in OMS ( Shelly Bohlin, Scott Trilling, FINRA)
  2. OATS Limit Order Display Indicator Renamed Customer Instruction Flag
  3. Manning/Rule 92 Harmonization (Stephanie Dumont, FINRA ; Clare Saperstein, NYSE Regulation )
  4. FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
  5. Proposed Harmonization of NYSE and NYSE Amex Equities Rule 92 and FINRA's Manning Rule
  6. FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS; Effective Date: July 1, 2009
  7. NASDAQ ACT Technology to Support New Reg NMS Modifiers for FINRA (Donald Bollerman, NASDAQ OMX)
• NASDAQ Updates
  1. The NASDAQ Options Market Reduces Order Exposure Requirement From Three Seconds to One Second
  2. SR-NASDAQ-2008-097 – Order Granting Approval of Proposed Rule Change to Adopt a Limited Exemption from OATS Order Data Recordation Requirements for Registered Options Market Makers
  3. NASDAQ Sponsored Access Comment Letters (Mary Revell, Jeff Davis, NASDAQ OMX)
• NYSE Updates
  1. NYSE Super Display Book Migration – Phased Approach scheduled to begin March 16, 2009 (Michael Paulyson, NYSE Euronext)
  2. SR-NYSEARCA-2009-09 – Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Arca, Inc. to Adopt a Policy Relating to its Treatment of Trade Reports that it Determines to be Inconsistent with the Prevailing Market
  3. NYSE Elimination of the FESC Drop Copy Application
  4. NYSE Reschedules Enhanced MOC/LOC Handling for All Customers
  • Technical Addendum to the MOC Client Notice
• Possible Uptick Rule Reinstatement to be discussed at SEC Open Hearing, April 8