Meeting Details

• Date: Tuesday, May 12, 2009 @ 11 AM ET

Meeting Agenda

• Omgeo TradeSuite - TradeSuite 7.1 fact sheet – Kevin Caulfield and Brad Buccini, Omgeo
• DTCC Universal Trade Capture – Bill Kapogiannis and Elena Staloff of DTCC Equities Clearance & Settlement Product Management Group
• FINRA TRACE
  • FIF Comment Letter to be submitted on May 7th
  • Release No. 34-59733; SR-FINRA-2009-010 – Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Expand TRACE to Include Agency Debt Securities and Primary Market Transactions
  • SEC Release No. 34-59768; SR-FINRA-2009-004 – Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval to Proposed Rule Change, as Modified by Amendment No. 1, to Expand the Definition of "TRACE-Eligible Security" – Comments Due: May 12th
• Cost Basis Update
• Options Symbology Initiative
• Treasury Markets Practice Group (TMPG) Recommended Fails Charge – Effective Date: May 1, 2009
  • Release No. 34-59802; SR-FICC-2009-03 Order Granting Approval of a Proposed Rule Change to Impose a Charge on Members with a Fail-to-Deliver in Treasury Securities
  • TMPG and SIFMA Announce Updated Closing Time Practice Recommendations for Delivering U.S. Treasury Securities, April 28, 2009
  • Recommended Closing Time Practices for Delivering U.S. Treasury Securities, April 28, 2009
  • Frequently Asked Questions: Recommended Closing Time Practices for Delivering U.S. Treasury Securities, April 28, 2009
• Short Sale Amendments
  • SEC Amendments to Short Sale - Excerpt
  • FIF Short Sale Call on May 7 th
• Additional Updates
  • NYSE Four and Five Character Symbol Trading - Four and Five Character Symbol Trading ; Four and Five Character Symbol Trading (Update)
  • FINRA OATS - FINRA Guidance on OATS Reporting Obligations When Handling Orders on an Agency Basis
  • ISE Confirms: Release No. 34-59806; SR-ISE-2009-19 – Notice of Filing and Immediate Effectiveness by International Securities Exchange, LLC of a Proposed Rule Change to Amend Exchange Rules Related to Confirmations to Customers
  • New CBOE Exchange, C2 : Release No. 34-59441; 10-191
  • PHLX XL II: NASDAQ OMX PHLX Provides an Update on the Status of the XL II Platform
  • Production Testing Required for PHLX XL II Migration; Saturday Testing Available May 2nd and May 9th
  • CBOE Weeklies: Order Approving Proposed Rule Change to Permanently Establish the Short Term Option Series Pilot Program
  • FINRA Consolidation Continues: FIF Rule 92 / Manning Comment Letter
  • DTCC Obligation Warehouse Project