Aug 09, 2011 - Back Office Meeting Agenda

The agenda and meeting details for the August Multi-Client Back Office are as follows:

Meeting Details:
  • Tuesday, August 9, 2011 @ 11 AM ET 
  • FIF Bridge: 1-212-812-0859 
  • Passcode: 1031428# 

Meeting Agenda:

  • Treasury Markets Practice Group (Sariah Toronto, TPMG Secretariat, Federal Reserve Bank of New York) 
    • Jul 06, 2011; Agency Debt and Agency MBS Fails Charge Trading Practice 
    • Jul 06, 2011; Frequently Asked Questions: TMPG Fails Charges 
    • Jun 28, 2011; TMPG Announces Agency Debt and Agency MBS Fails Charge Recommendations 
      • Agency Debt Fails Charge Trading Practice Summary 
      • Agency MBS Fails Charge Trading Practice Summary 
  • FICC Updates 
    • Jul 15, 2011; MBS112.11 – MBSD Implementation Schedule for Q3 and Q4 2011 
    • Jul 13, 2011; GOV098.11 - Submission of FICC Rule Filing 2011-05 - Changes to the GCF Repo Service 
    • Jul 25, 2011; SR-FICC-2011-05 - Notice of Filing of Proposed Rule Change to Amend the Rules Regarding the GCF Repo Service to Adopt Changes Recommended by the Tri-Party Repo Infrastructure Reform Task Force 
    • Jul 25, 2011; MBS119.11 - Proposed Charges on MBSD Fails – Request for Comments REVISED 
  • Cost Basis Updates 
    • Jul 29, 2011; A#7256 - Mutual Funds Networking, ACATS And ACATS FUND/ SERV Enhancements To Assist In Facilitating The Transfer Of Cost Basis Information – Effective Date: Dec 5, 2011 
    • Jul 26, 2011; CBRS005.11 – CBRS Enhancement Project Updates: User Testing; additional revisions to Asset and Tax Lot input record layouts 
    • Jul 28, 2011; CBRS006.11 – New indicator on the Cost Basis User Master File: "Exempt Recipient Accounts" 
  • Obligation Warehouse 
    • Jul 20, 2011; a7249 – Obligation Warehouse – Additional File at 4:00 P.M. Daily 
  • FIF Large Trader Reporting WG 
    • Jul 27, 2011; Final Rule – Large Trader Reporting – Effective Date: Oct 3, 2011; Compliance Date: Dec 1, 2011 and April 30, 2012 
    • Jul 26, 2011; SEC Adopts Large Trader Reporting Regime 
  • FIF OATS WG
    • Aug 1, 2011; FIX Protocol Gap Analysis Proposal - v1.6 (with Assigned Tags/Values) 
    • FIF OATS for NMS Portal 
  • Additional FINRA Updates: 
    • Jul 22, 2011; Regulatory Notice 11-33 – SEC Approves Operations Professional Registration Category and Consolidated FINRA Continuing Education Rule – Effective Date: Oct 17, 2011 
    • Jun 16, 2011; SR-FINRA-2011-013 – Approval of Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook 
    • FINRA TRACE 
      • Aug 1, 2011; Updated NTF Database for Securitized Products Trade Reporting - August 2011 
      • Jul 29, 2011; System Changes for Reporting TRACE Securitized Products Transactions 
      • Jul 8, 2011; Changes to System for Reporting TRACE Securitized Products Transactions (7/8/11) 
  • NSCC Updates 
      • Jul 25, 2011; A#7254 - Mutual Fund Profile Service II – Profile Security Database - Web Usability Enhancements And Documentation Updates 
      • Jul 15, 2011; A#7246 – Updated Networking-Omni/SERV Record Layouts Available Online 
      • Jul 08, 2011; A#7241 – Mutual Fund Fund/SERV And Networking Enhancement Release, Including Transmission Schedule Changes 
  • ACATS Updates 
      • Jul 20, 2011; A#7258 - Change In Common Data Transfer System (CDTS) Input End-Of-Day Job For Automated Customer Account Transfer Service (ACATS) 
      • Jul 13, 2011; A#7244 - ACATS Modifications regarding Non-CNS ACATS Mutual Fund Transactions (ACATS Settlement Location 10 – Fund/SERV) 
  • Dodd Frank 
      • July 14, 2011; SR-FINRA-2011-033 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt FINRA Rule 0180 (Application of Rules to Security-Based Swaps) 
      • Jul 14, 2011; SR-FINRA-2011-034 - Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend FINRA Rule 4240 (Margin Requirements for Credit Default Swaps) 
      • Jul 18, 2011; FINRA Provides Additional Guidance Regarding Reporting Requirements Under Rule 4530 
  • Next Meeting Date: Sep 13 @ 11 AM ET