Log In Register

May 8, 2012 - Back Office Meeting Agenda

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

Meeting Agenda

Apr 30, 2012: FIF Comment Letter to SEC on Mini-Options Contracts
Apr 20, 2012: SR-NYSEAmex-2012-26 - Proposal to Adopt Rules Governing the Listing and Trading of a New Product Known as DORS
Apr 18, 2012: SR-ISE-2012-26 – Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security
Apr 3, 2012: SR-NYSEArca-2012-26 – Notice of Filing of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security ("Mini-Options Contracts") and Implementing Rule Text Necessary to Distinguish Mini-Options Contracts from Option Contracts Overlying 100 Shares of a Security ("Standard Contracts")

Apr 30, 2012: FIF Questions for SEC on Large Trader Reporting - Open & Reviewed
Apr 23, 2012: SEC Large Trader Reporting Delay Announcement – New Dates: Nov 30, 2012 and May 1, 2013
Apr 23, 2012: Updated FINRA Blue Sheets FAQs
Apr 20, 2012: SEC Large Trader Reporting FAQs

Apr 19, 2012: CBRS006.12 - Revised Cost Basis User Master File Layout-Testing begins June 22, 2012. Production date: July 27, 2012.
Apr 11, 2012: CBRS005.12 - Revised CBRS Record Layouts for June and November Deployments-User testing for deployment #1 production date: July 27, 2012. User testing deployment #2 production date: November 30, 2012.

Jan 24, 2012: Electronic Fund Transfers (Regulation E) – Effective Date: Feb 7, 2013

Apr 12, 2012: FINRA New Account Application Template
May 18, 2011: Regulatory Notice 11-25 – New Implementation Date (Jul 9, 2012) and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations

Apr 18, 2012: SR-FINRA-2012-020 - Order Granting Approval of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded TBA
Apr 13, 2012: SR-FINRA-2012-021 - Notice of Filing of Proposed Rule Change Relating to Post-Trade Transparency for Agency Pass-Through Mortgage-Backed Securities Traded in Specified Pool Transactions and SBA-Backed Asset-Backed Securities Transactions
Mar 21, 2012: TRACE Data Changes – Effective June 25, 2012

Apr 25, 2012: A#7405 - Alternative Investment Product “AIP” Enhancements Release I 2012 - Effective Date August 2, 2012
Apr 23, 2012: A#7414 - Rule Change Approval (SR-NSCC-2012-02) – Enhancing Margining Methodology as Applied to Municipal Corporate Bonds - Effective Date TBA
Apr 20, 2012: A#7412 - Schedule Changes to Networking and Mutual Fund Profile Service II Files-Testing begins June 18, 2012 - Effective Date: July 23, 2012
Apr 17, 2012: A#7409, CMU003.12-RTTM Corporate, Municipal, UIT (CMU) Trade Rejection for Ineligible Security Types and CD Settlement Eligibility Change - Implementation Date: May 18, 2012

Apr 25, 2012: SR-FICC-2012-02 - Order Approving Proposed Rule Change Relating to Remove Functionality in the Government Securities Division's Rules That Is No Longer Utilized by Participants
Apr 13, 2012: GOV035.12 - DVP Machine Readable Output (MRO) Layouts & New AutoRoute IDs-effective date May 18, 2012
Mar 30, 2012: B#0059-12 – Receiver Authorized Delivery (RAD) Redesign – Mandatory Migration –Effective Date May 14, 2012

Feb 15, 2012: A#7379 – Elimination of ACATS Default Pricing – Effective: Jun 22, 2012

Additional Upcoming Initiatives - Sign up for Initiatives Tracking Report Alerts

DTCC Proposal on Shortening Settlement Cycle
Jan 24, 2012: 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