Meeting Details

• Date: Tuesday, January 11, 2011 @ 11 AM ET

Meeting Agenda

• FINRA TRACE (Ed Fanning, DTCC)
  • Jan 04, 2011; SR-FINRA-2011-001 – Proposed Rule Change to Provide Additional Time to Report Certain Reportable TRACE Transactions and Waive Certain Transaction Reporting Fees
  • Dec 22, 2010; A#7124, FINRA Notice and CMU001.10 – Elimination of NSCC’s Corporate, Municipal, UIT (CMU) Real Time Trade Matching (RTTM) Interface to FINRA’s TRACE
  • Dec 20, 2010; Revised Versions of the TRACE CTCI and FIX Specifications for Trade Reporting of Securitized Products – Available 12/20/10
• Obligation Warehouse (Janice DiTore, DTCC)
  • Dec 29, 2010; A#7129 – Rule Change Approval (SR-NSCC-2010-11) – Enhancing Reconfirmation And Pricing Service, Including Creation Of Obligation Warehouse
• Legal Entity Identifier (LEI)
  • Nov 30, 2010; Office of Financial Research; Statement on Legal Entity Identification for Financial Contracts – Comments Due: Jan 31, 2011
• Universal Trade Capture
  • Dec 31, 2010; A#7133 – Foreign Security Processing, Batching Outbound MRO File And When-Issued/When Distributed (WI) Reporting
  • Dec 22, 2010; A#7123 – New Implementation Date for UTC Print Image Reporting Changes – New Implementation Date: Jan 3, 2011
  • Dec 29, 2010; A#7130 – Migration Of Legacy Trade Capture Applications To UTC – Scheduled Output Delays
• Cost Basis Updates
  • FIF Cost Basis Survey III – Submit by Jan 19
• DTC / NSCC / FICC Updates
  • Jan 03, 2011; GOV001.11 – Proposed Changes to the Clearing Fund Methodology and Parallel Period
  • Dec 17, 2010; B#7750-10 – Underwriting Implementation of UW SOURCE for Corporate Debt and Anticipated Actions for Non-Compliance
  • Dec 16, 2010; A#7120 – Mutual Funds Networking Enhancements – Effective Date: Mar 21, 2011
  • Dec 16, 2010; A#7121 – New NSCC Risk Management Reporting Application Entitlement NCR – Now Available
  • Dec 15, 2010; GOV158.10 – Proposed Changes to the Clearing Fund Methodology and Implementation Timetable
• MSRB Updates
  • Dec 29, 2010; 2010-61 – MSRB Publishes SHORT System Technical Specifications For SEC-Approved Additional Increases In Transparency Of Municipal Auction Rate Securities And Variable Rate Demand Obligations
• Next Meeting Date: Feb 8 @ 11 AM ET