FIF Regulation NMS Working Group
FIF lead the analysis of Regulation NMS from an implementation perspective. Together with the SIFMA, we formed the SIFMA/FIF Regulation NMS Implementation Working Group to track implementation progress and address open implementation issues.
Effective October 8, 2007, Regulation NMS was in full production.
FIF lead the analysis of Regulation NMS from an implementation perspective. Together with the SIFMA, we formed the SIFMA/FIF Regulation NMS Implementation Working Group to track implementation progress and address open implementation issues.
Effective October 8, 2007, Regulation NMS was in full production.
Meeting Materials/Minutes
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September 19, 2007 - Implementation Tracking v16.0 [Posted: 2007-09-19]
Final version of Reg NMS Implementation Tracking document providing details on remaining open issues and reviewing self-help statistics and trade reporting statistics related to trades flagged as ISO and derivatively priced. Analysis of share volume and
August 16, 2007 - Implementation Tracking v15.0 [Posted: 2007-08-16]
August meeting materials focused on Pilot Stock Phase.
July 25, 2007 - Implementation Tracking v14.0 [Posted: 2007-07-25]
July meeting materials focused on Pilot Stock Phase.
June 29, 2007 - Implementation Tracking v13.1 [Posted: 2007-06-29]
June meeting materials focused on open NASD Pilot Stock Phase issues.
June 29, 2007 - Reg NMS Pilot Stock List Spreadsheet *Revised* [Posted: 2007-06-29]
List of securities included in Reg NMS Pilot Phase.
May 16, 2007 - Implementation Tracking v12.0 [Posted: 2007-05-16]
May meeting materials focused on open issues and Trading Phase impact.
April 25, 2007 - Implementation Tracking v11.0 [Posted: 2007-04-25]
April meeting materials focused on open issues and Trading Phase impact.
March 14, 2007 - Implementation Tracking v10.0 [Posted: 2007-03-14]
March meeting materials focused on open issues and initial impact of Reg NMS Trading Phase.
(FIF members please log in to access documents)
September 19, 2007 - Implementation Tracking v16.0 [Posted: 2007-09-19]
Final version of Reg NMS Implementation Tracking document providing details on remaining open issues and reviewing self-help statistics and trade reporting statistics related to trades flagged as ISO and derivatively priced. Analysis of share volume and
August 16, 2007 - Implementation Tracking v15.0 [Posted: 2007-08-16]
August meeting materials focused on Pilot Stock Phase.
July 25, 2007 - Implementation Tracking v14.0 [Posted: 2007-07-25]
July meeting materials focused on Pilot Stock Phase.
June 29, 2007 - Implementation Tracking v13.1 [Posted: 2007-06-29]
June meeting materials focused on open NASD Pilot Stock Phase issues.
June 29, 2007 - Reg NMS Pilot Stock List Spreadsheet *Revised* [Posted: 2007-06-29]
List of securities included in Reg NMS Pilot Phase.
May 16, 2007 - Implementation Tracking v12.0 [Posted: 2007-05-16]
May meeting materials focused on open issues and Trading Phase impact.
April 25, 2007 - Implementation Tracking v11.0 [Posted: 2007-04-25]
April meeting materials focused on open issues and Trading Phase impact.
March 14, 2007 - Implementation Tracking v10.0 [Posted: 2007-03-14]
March meeting materials focused on open issues and initial impact of Reg NMS Trading Phase.
Comment Letters
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March 30, 2007 - SIFMA/FIF Feedback on NASD Self-Help Modifier [Posted: 2007-03-30]
Feedback provided to NASD regarding implementation isssues with the Self-Help Modifier
February 7, 2007 - FIF Comment Letter on NASD Self-Help Modifier [Posted: 2007-02-07]
Comment discussing implementation issues with the self-help modifier.
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March 30, 2007 - SIFMA/FIF Feedback on NASD Self-Help Modifier [Posted: 2007-03-30]
Feedback provided to NASD regarding implementation isssues with the Self-Help Modifier
February 7, 2007 - FIF Comment Letter on NASD Self-Help Modifier [Posted: 2007-02-07]
Comment discussing implementation issues with the self-help modifier.
Archive Documents
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August 22, 2006 - Regulation NMS Implementation Tracking v 3.0 [Posted: 2006-08-24]
August meeting materials focusing on discussion of industry testing, updates from exchanges and self-help.
July 19, 2006 - Regulation NMS Implementation Tracking v 2.0 [Posted: 2006-07-20]
July meeting materials focusing on discussion of self-help.
July 19, 2006 - Excerpt of Nasdaq Approved Order Filing [Posted: 2006-07-19]
Excerpts focusing on Regulation NMS aspects of SR-NASDAQ-2006-01; approved on July 14, 2006
July 12, 2006 - Regulation NMS Testing Meeting Materials [Posted: 2006-07-13]
Test Symbols Discussion Document.
June 13, 2006 - Regulation NMS Implementation Tracking v. 1.0 [Posted: 2006-06-13]
Regulation NMS Implementation WG June 2006 Meeting materials.
May 25, 2006 - Regulation NMS Review of New Milestones [Posted: 2006-05-25]
Review of activities during each phase of Regulation NMS implementation.
April 10, 2006 - Regulation NMS Critical Path Dependencies Document v4.0 [Posted: 2006-04-12]
Reflects recent discussions with the SROs, FIX Protocol Ltd. and other WG member input. Key updates on page 6.
March 9, 2006 - Regulation NMS Critical Path Dependencies Document v3.9 [Posted: 2006-03-15]
Reflects recent discussions with the SEC and WG members. Note the additional details added to the Regulation NMS Implementation Lifecycle (page 5) and Implementation Timing Chart (page 9)
March 7, 2006 - Regulation NMS Critical Path Dependencies Document v3.5 [Posted: 2006-03-07]
Expanded Critical Path Document Approach, includes new sections: Regulation NMS Implementation Status by Entity, Gantt Chart for discussed components and updates from Plans/SIPs/SROs/FIF members.
February 17, 2006 - Regulation NMS Critical Path Dependencies Document v3.0 [Posted: 2006-02-18]
As agreed at the Joint SIA/FIF Regulation NMS Implementation WG meeting, this version of the document reflects meeting feedback and was shared with the SEC.
February 13, 2006 - Regulation NMS Critical Path Dependencies Document v2.0 [Posted: 2006-02-14]
Materials for Joint SIA/FIF Regulation NMS Implementation WG Meeting
January 24, 2006 - Regulation NMS Critical Path Dependencies Document v1.6 [Posted: 2006-01-24]
Materials for Joint SIA/FIF Regulation NMS Implementation WG Meeting
January 10, 2006 - Joint SIA-FIF Regulation NMS Implementation WG Meeting Materials [Posted: 2006-01-10]
Materials used at the first meeting of the Joint SIA-FIF Regulation NMS Implementation WG to set the direction for 2006 implementation activities.
December 2, 2005 - FIF Regulation NMS Implementation Working Group Draft v.3.0 [Posted: 2005-12-05]
Incorporates feedback from November 29, 2005 WG meeting with SEC staff and subsequent FIF subscriber comments.
November 28, 2005 - FIF Regulation NMS Implementation Working Group Draft v.2.2 [Posted: 2005-12-01]
Additional revisions to Regulation NMS WG document based on SEC feedback.
November 23, 2005 - FIF Regulation NMS Implementation Working Group Draft v.2.1 [Posted: 2005-11-25]
Incorporates new feedback with the draft Straw Man presented first. Please note that the draft Straw Man has been shared with the SEC who will attend the November 29, 2005 meeting of the Regulation NMS WG.
November 2, 2005 - FIF Regulation NMS Implementation Working Group Draft v.2.0 [Posted: 2005-11-05]
Includes discussions from October 14 Regulation NMS Working Group Meeting as well as updates from Plans and the SEC. New updates not discussed at the October 14 meeting are highlighted for emphasis.
October 11, 2005 - FIF Regulation NMS Implementation Working Group Draft v.1.1 [Posted: 2005-10-11]
Draft of next steps for identifier standardization and straw man implementation options for order protection compliance based on September 15, 2005 Reg NMS WG. This document replaces the FIF Issue Discussion Document v3.2.
September 15, 2005 - FIF Regulation NMS Working Group Meeting Overview & Attendees [Posted: 2005-09-16]
Meeting background & attendees for initial Reg NMS working group meeting.
August 31, 2005 - Issues Discussion Document v3.2 [Posted: 2005-09-01]
Incorporates August 29 SEC Compliance Extension for Amendments to Regulation ATS.
August 18, 2005 - Issues Discussion Document v3.1 [Posted: 2005-08-24]
Incorporates August 4th Roundtable feedback and SEC comments. FIF subscribers should email fifinfo@fif.com with any additional feedback or to join the FIF Reg NMS Working Group
August 4, 2005 - Regulation NMS Attendees [Posted: 2005-08-09]
List of registered attendees from the August 4, 2005 FIF Regulation NMS Roundtable.
August 4, 2005 - Issues Discussion Document v2.2 [Posted: 2005-08-08]
Version 2.2 of the Issues Discussion document was distributed prior to the August 4th Roundtable.
Issues Discussion Document [Posted: 2005-07-07]
Test
July 1, 2005 - Draft Issues Discussion Document, v. 1.1 [Posted: 2005-07-01]
This initial discussion document will be used to frame discussions around Regulation NMS. As FIF subscriber feedback is obtained, this document will periodically be updated.
Regulation NMS Prep Meeting - Discussion Materials [Posted: 2005-05-20]
To obtain password, contact fifinfo@fif.com
(FIF members please log in to access documents)
August 22, 2006 - Regulation NMS Implementation Tracking v 3.0 [Posted: 2006-08-24]
August meeting materials focusing on discussion of industry testing, updates from exchanges and self-help.
July 19, 2006 - Regulation NMS Implementation Tracking v 2.0 [Posted: 2006-07-20]
July meeting materials focusing on discussion of self-help.
July 19, 2006 - Excerpt of Nasdaq Approved Order Filing [Posted: 2006-07-19]
Excerpts focusing on Regulation NMS aspects of SR-NASDAQ-2006-01; approved on July 14, 2006
July 12, 2006 - Regulation NMS Testing Meeting Materials [Posted: 2006-07-13]
Test Symbols Discussion Document.
June 13, 2006 - Regulation NMS Implementation Tracking v. 1.0 [Posted: 2006-06-13]
Regulation NMS Implementation WG June 2006 Meeting materials.
May 25, 2006 - Regulation NMS Review of New Milestones [Posted: 2006-05-25]
Review of activities during each phase of Regulation NMS implementation.
April 10, 2006 - Regulation NMS Critical Path Dependencies Document v4.0 [Posted: 2006-04-12]
Reflects recent discussions with the SROs, FIX Protocol Ltd. and other WG member input. Key updates on page 6.
March 9, 2006 - Regulation NMS Critical Path Dependencies Document v3.9 [Posted: 2006-03-15]
Reflects recent discussions with the SEC and WG members. Note the additional details added to the Regulation NMS Implementation Lifecycle (page 5) and Implementation Timing Chart (page 9)
March 7, 2006 - Regulation NMS Critical Path Dependencies Document v3.5 [Posted: 2006-03-07]
Expanded Critical Path Document Approach, includes new sections: Regulation NMS Implementation Status by Entity, Gantt Chart for discussed components and updates from Plans/SIPs/SROs/FIF members.
February 17, 2006 - Regulation NMS Critical Path Dependencies Document v3.0 [Posted: 2006-02-18]
As agreed at the Joint SIA/FIF Regulation NMS Implementation WG meeting, this version of the document reflects meeting feedback and was shared with the SEC.
February 13, 2006 - Regulation NMS Critical Path Dependencies Document v2.0 [Posted: 2006-02-14]
Materials for Joint SIA/FIF Regulation NMS Implementation WG Meeting
January 24, 2006 - Regulation NMS Critical Path Dependencies Document v1.6 [Posted: 2006-01-24]
Materials for Joint SIA/FIF Regulation NMS Implementation WG Meeting
January 10, 2006 - Joint SIA-FIF Regulation NMS Implementation WG Meeting Materials [Posted: 2006-01-10]
Materials used at the first meeting of the Joint SIA-FIF Regulation NMS Implementation WG to set the direction for 2006 implementation activities.
December 2, 2005 - FIF Regulation NMS Implementation Working Group Draft v.3.0 [Posted: 2005-12-05]
Incorporates feedback from November 29, 2005 WG meeting with SEC staff and subsequent FIF subscriber comments.
November 28, 2005 - FIF Regulation NMS Implementation Working Group Draft v.2.2 [Posted: 2005-12-01]
Additional revisions to Regulation NMS WG document based on SEC feedback.
November 23, 2005 - FIF Regulation NMS Implementation Working Group Draft v.2.1 [Posted: 2005-11-25]
Incorporates new feedback with the draft Straw Man presented first. Please note that the draft Straw Man has been shared with the SEC who will attend the November 29, 2005 meeting of the Regulation NMS WG.
November 2, 2005 - FIF Regulation NMS Implementation Working Group Draft v.2.0 [Posted: 2005-11-05]
Includes discussions from October 14 Regulation NMS Working Group Meeting as well as updates from Plans and the SEC. New updates not discussed at the October 14 meeting are highlighted for emphasis.
October 11, 2005 - FIF Regulation NMS Implementation Working Group Draft v.1.1 [Posted: 2005-10-11]
Draft of next steps for identifier standardization and straw man implementation options for order protection compliance based on September 15, 2005 Reg NMS WG. This document replaces the FIF Issue Discussion Document v3.2.
September 15, 2005 - FIF Regulation NMS Working Group Meeting Overview & Attendees [Posted: 2005-09-16]
Meeting background & attendees for initial Reg NMS working group meeting.
August 31, 2005 - Issues Discussion Document v3.2 [Posted: 2005-09-01]
Incorporates August 29 SEC Compliance Extension for Amendments to Regulation ATS.
August 18, 2005 - Issues Discussion Document v3.1 [Posted: 2005-08-24]
Incorporates August 4th Roundtable feedback and SEC comments. FIF subscribers should email fifinfo@fif.com with any additional feedback or to join the FIF Reg NMS Working Group
August 4, 2005 - Regulation NMS Attendees [Posted: 2005-08-09]
List of registered attendees from the August 4, 2005 FIF Regulation NMS Roundtable.
August 4, 2005 - Issues Discussion Document v2.2 [Posted: 2005-08-08]
Version 2.2 of the Issues Discussion document was distributed prior to the August 4th Roundtable.
Issues Discussion Document [Posted: 2005-07-07]
Test
July 1, 2005 - Draft Issues Discussion Document, v. 1.1 [Posted: 2005-07-01]
This initial discussion document will be used to frame discussions around Regulation NMS. As FIF subscriber feedback is obtained, this document will periodically be updated.
Regulation NMS Prep Meeting - Discussion Materials [Posted: 2005-05-20]
To obtain password, contact fifinfo@fif.com
fifinfo@fif.com . 212 422 8568
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Financial Information Forum. 5 Hanover Square. New York, NY. 10004