Jul 12, 2011 - Back Office Meeting Agenda

Meeting Details: 
  • Date: Tuesday, July 12, 2011 @ 11 AM ET 
  • Dial-In: 1-212-812-0859 
  • Pass-code: 1031428# 

Preliminary Agenda:

  • Legal Entity Identifier Update 
    • Jul 11, 2011; Financial Services Industry Releases Recommendation for a Global Legal Entity Identifier System 
  • FIF OATS WG 
    • Jun 26, 2011; Guidance on Exchange Route Matching, Including the Addition of Exchange Participant ID and Connection ID to Exchange Route Reports 
    • FIF OATS for NMS Portal 
  • Cost Basis Updates
    • FIF Cost Basis Survey – Fixed Income 
    • Jun 17, 2011; CBRS004.11 – Revised CBRS Record Layouts for 2011 year-end enhancements 
  • State Tax Withholding for California and Maine 
  • Obligation Warehouse Updates 
    • Jun 28, 2011; A#7235 – Obligation Warehouse – Fees Effective Jul 1, 2011 
    • Jun 28, 2011; A#7234 – Testing And Introduction Of CNS Eligibility Check Planned For August 15, 2011 
    • Jun 23, 2011; A#7230 – Year 2011 RECAPS Schedule 
  • Dodd-Frank Updates 
    • Jun 23, 2011; FIF Comment Letter to SEC on Dodd-Frank Short Sale Reporting Study 
    • Short Sale Reporting Study Required by Dodd-Frank Act Section 417(a)(2) 
  • NSCC Updates 
    • Jun 16, 2011; A#7224 – RTTM Corporate, Municipal, UIT (CMU) Implementation Date for CD Settlement Eligibility Change and Anticipated Implementation Date for Trade Rejection for Ineligible Security Types 
  • FINRA TRACE 
    • Jul 01, 2011; Updated NTF Database for Securitized Products Trade Reporting 
    • Jun 27, 2011; TRACE Reporting Requirements for Certain SBA Pool Transactions 
    • Jun 23, 2011; Revised TRACE Web API Specification for Securitized Products – Now Available 
  • Additional FINRA Updates 
    • Jun 27, 2011; Regulatory Notice 11-30 – FINRA Revises the Treatment of Non-Margin Eligible Equity Securities and Delays the Effective Date – Oct 3, 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 
  • FICC Updates 
    • Jun 07, 2011; MBS093.11 – Elimination of Fractional Submissions for Price and Commission Fields on Member Input and Output 
  • OCC Updates 
    • Jun 28, 2011; Reminder - Allocation Changes To Support CFTC Requirements – Effective Date: Jul 22, 2011 (see attached) 
  • Treasury Markets Practice Group 
    • 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 
  • Tri-Party Repo Updates 
    • Jun 09, 2011; Minimum Parameters Required for Tri‐party Repo Matching – Effective Aug 29, 2011 
    • Jun 07, 2011; Tri-Party Repo Infrastructure Reform Task Force Confirms Implementation of Three-Way Confirmations in Aug 2011 
  • Next FIF MC Back Office Committee Meeting Date: Aug 9 @ 11 AM ET