Committees
- Back Office
- Data & Technology
- Overview
- Member Resources
- Front Office
May 8, 2012 - Back Office Meeting Agenda
The agenda for the May Back Office meeting is included below.
Meeting Agenda
- New Options Products / Symbology
- 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")
- LOPR Updates
- Apr 20, 2012: FIF Back Office Meeting with FINRA and ISG on LOPR
- Large Trader Reporting
- 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
- FATCA
- May 15, 2012: IRS Public Hearing on FATCA
- Apr 30, 2012: FIF Comment Letter to IRS on FATCA
- Cost Basis Update
- 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.
- "Reg E" Remittance Transfers
- Jan 24, 2012: Electronic Fund Transfers (Regulation E) – Effective Date: Feb 7, 2013
- FINRA Know Your Customer and Suitability
- 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
- TRACE Updates
- 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
- DTCC Updates
- NSCC Updates
- 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
- FICC Updates
- 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
- ACATS
- Feb 15, 2012: A#7379 – Elimination of ACATS Default Pricing – Effective: Jun 22, 2012
- TMPG Updates
- Apr 16, 2012: Frequently Asked Questions - TMPG Fails Charges
- Additional Upcoming Initiatives - Sign up for Initiatives Tracking Report Alerts
- Legal Entity Identifier
- Apr 23, 2012: Omgeo ALERT's Legal Entity Release Now in Production
- FICC DVP System Rewrite
- Negative Yield Treasuries Bills
- Consolidated Audit Trail
- Apr 17, 2012: Telephone Conferences with FINRA
- Other CAT Comment Letters
- 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
- Upcoming FIF Events
- Jun 19, 2012: FIF Quarterly Event in NY Sponsored by Equinix
- Next Meeting Date: Jun 12 @ 11:00 AM ET