Apr 10, 2012 - Back Office Meeting Agenda

The agenda for the April Back Office meeting is included below.

Meeting Details
  • When: Tuesday, April 10, 2012 @ 11 AM ET 

Meeting Agenda

  • LOPR Updates 
    • Apr 20, 2012: FIF Back Office Meeting with FINRA and ISG on LOPR – See Attached 
    • Mar 12, 2012: Large Options Positions Reporting (LOPR) Reference Guide for LOPR Firms Version 1.7 – Addition of ISO Country Code Link 
    • Mar 5, 2012: Large Options Positions Reporting (LOPR) FAQs – *UPDATED* 
  • Large Trader Reporting 
    • Apr 02, 2012: Electronic Blue Sheets FAQ Updated – Employer SIC Code field no longer required 
    • FIF Large Trader Reporting WG Update 
  • Cost Basis Update 
    • Mar 20, 2012: CBRS004.12 – Creating a relationship between a Transfer Agent's LPA and TA numbers 
    • Mar 16, 2012: IRS Open Hearing – Cost Basis Regulations on Debt and Options (Robert Linville, Broadridge) 
  • FATCA 
    • FIF FATCA WG Update 
    • Feb 8, 2012: Treasury, IRS Issue Proposed Regulations for FATCA Implementation – Comments due: Apr 30, 2012 
    • Next Meeting Date: Apr 10 @ 2:00-3:30 PM ET 
  • TRACE Updates 
    • Mar 27, 2012: BTDS Bandwidth Rate Increases – Effective April 2, 2012 
    • Mar 21, 2012: TRACE Data Changes – Effective June 25, 2012 
    • Mar 12, 2012: SR-FINRA-2012-020: Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA 
    • Mar 5, 2012: SR-FINRA-2012-016: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow FINRA to Exempt Certain Alternative Trading Systems from the Trade Reporting Obligations Under the Trade Reporting and Compliance Engine ("TRACE") Reporting Rules 
  • MSRB Updates 
    • Mar 6, 2012: SR-MSRB-2012-01 Order Granting Approval of Amendments to Rule G-14, on Reports of Sales or Purchases, including the Rule G-14 RTRS Procedures, and Amendments to the Real-Time Transaction Reporting System 
  • DTCC Updates 
    • Universal Trade Capture 
      • Mar 30, 2012: A#: 7367 – UTC Print Report Changes-Effective with April 20, 2012 data 
      • Mar 27, 2012: A#7400 – Chicago Stock Exchange Conversion to UTC FIX-format messages – Effective March 30, 2012 
      • Mar 14, 2012: A#7393 – Universal Trade Capture Exchange Testing and Implementation-Parallel Testing by Chicago Stock Exchange (CSX) until March 31, 2012 
      • Mar 13, 2012: A#7392 – Nasdaq PHLX Exchange Conversion to UTC FIX-format messages-Effective March 16, 2012 
    • FICC Updates 
      • Mar 30, 2012: B#0059-12 – Receiver Authorized Delivery (RAD) Redesign – Mandatory Migration –Effective Date May 14, 2012 
      • Mar 12, 2012: MBS039.12 - MBSD CCP Pool Netting Launch Changes and Testing 
      • Mar 9, 2012: SR-FICC-2008-01: Order Approving Amended Proposed Rule Change to Allow the Mortgage-Backed Securities Division to Provide Guaranteed Settlement and Central Counterparty Services 
    • ACATS 
      • Feb 15, 2012: A#7379 – Elimination of ACATS Default Pricing – Effective: Jun 22, 2012 
  • Additional Upcoming Initiatives - Sign up for Initiatives Tracking Report Alerts 
    • Consolidated Audit Trail 
      • Mar 2, 2012: FIF Letter to the SEC on Consolidated Audit Trail 
    • DTCC Proposal on Shortening Settlement Cycle 
    • Standard Monthly Expiration Processing To Move To Friday Evening – effective date: Jun 21, 2013 
    • Feb 29, 2012: ISO 20022 Message Specifications for Announcements - Standards Release 2011 (Updated February 29,2012) – Production Deployment: Nov 2012 
    • Feb 2012: Product Migration Guide for Adoption of ISO 20022 Messaging 
  • Next Meeting Date: May 8 @ 11 AM ET