Jul 10, 2012 - Back Office Meeting Agenda

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

Meeting Agenda

  • French Transaction Tax (Dan Toledano, Euroclear)
    • Financial Transaction Tax Resource
    • June Workshop Presentation (attached)
    • Blueprint Document (attached)
  • DTCC Updates (Mark Vercruysse and Janet Wynn, DTCC)
    • FICC Updates
      • Jun 8, 2012: GOV#59.12 - DVP Rewrite Application-Participant Testing and Rollout Planning 
      • Jun 6, 2012: CMU #004.12 & A#7440 – Update-New Regulatory Data Element Required on Municipal Bond Trades Submitted to NSCC’s Real Time Trade Matching System (RTTM) for Municipal Securities Rulemaking Board’s (MSRB) Real-Time Reporting System (RTRS) - Implementation Date: Nov 2012
      • May 13, 2012: MBS059.12 - Mortgage-Backed Securities Division 2:00 PM Pass and TBA Netting Schedule Update - Effective Date Nov 8, 2012
    • DTC
      • Jun 5, 2012: SR-DTC-2012-04 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enable Issuers to Send Corporate Action Announcements in Machine Readable Format
    • NSCC Updates
      • Jun 1, 2012: A#7433 - Rescheduled Implementation Date - Elimination of ACATS Default Pricing Table - Rescheduled to Q3 2012
      • May 4, 2012: A#7421 – Decommissioning Legacy Equity Trade Capture Output in 2013
      • May 4, 2012: A#7405 – AIP Enhancements Release I 2012 – Effective Date Aug 2, 2012
    • Universal Trade Capture
      • Jun 19, 2012: A#7445 - Implementation of BATS-Y Exchange Universal Trade Capture (UTC) FIX-Format Messages - Effective Date:  Jun 22, 2012
      • Jun 5, 2012: A#7439 - Universal Trade Capture Exchange Testing and Implementation
    • Upcoming Initiatives
      • DTCC Proposal on Shortening Settlement Cycle – study in progress
      • Negative Yield Treasuries Bills
      • 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
  • Cost Basis Update
    • FIF Cost Basis WG Update
    • Apr 19, 2012: CBRS006.12 - Revised Cost Basis User Master File Layout-Testing begins Jun 22, 2012.  Production date: Jul 27, 2012
    • Apr 11, 2012: CBRS005.12 - Revised CBRS Record Layouts for June and November Deployments-User testing for deployment #1 production date: Jul 27, 2012.  User testing deployment #2 production date: Nov 30, 2012
  • FATCA Survey (Elizabeth DiNicola, Broadridge)
    • FATCA Survey Questions
    • FIF FATCA WG Survey – Submit response by Jul 17, 2012
  • "Reg E" Remittance Transfers
    • Jun 26, 2012 - FIF Comment Letter to CFPB on Regulation E
  • Large Trader Reporting
    • FIF Large Trader Reporting – Current Documents
    • Jun 19, 2012: ISG EBS FAQs with Open FIF Questions
    • Jun 14, 2012: Electronic Blue Sheets FAQs *UPDATED*
  • FIF Meeting on EBS/LOPR OTC Options Reporting Issues – Jul 12 @ 11 AM ET
  • Options
    • Jan 24, 2012: Standard Monthly Expiration Processing To Move To Friday Evening – effective date: Jun 21, 2013
    • Mini Options
      • Jun 21, 2012: SR-ISE-2012-26 – Notice of Withdrawal of a Proposed Rule Change to List and Trade Options Contracts Overlying 10 Shares of a Security
      • Jun 21, 2012: SR-NYSEArca-2012-26 – Notice of Withdrawal of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of a Security (“Mini-Options Contracts”) and Implement Rule Text Necessary to Distinguish Mini-Options Contracts from Options Contracts Overlying 100 Shares of a Security (“Standard Contracts”)
  • Legal Entity Identifier (LEI)
    • Jun 26 FIF/FPL Webinar Recording
  • TRACE Updates
    • June 20, 2012: New TRACE Data Feed for Securitized Products Transactions
    • Jun 12, 2012: TRACE Data Changes and Testing Information - Testing begins Jun 18, 2012.  Production Date:  Jul 30, 2012
    • May 21, 2012: Regulatory Notice 12-26 – SEC Approves Amendments to TRACE Reporting Requirements and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related Fees – Effective Date: Nov 5, 2012
  • MSRB
    • Jun 22, 2012: SR-MSRB-2012-04 - Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to Proposed Rule G-43, on Broker’s Brokers; Proposed Amendments to Rule G-8, on Books and Records, Rule G-9, on Record Retention, and Rule G-18, on Execution of Transactions; and a Proposed Interpretive Notice on the Duties of Dealers that Use the Services of Broker’s Brokers
    • Jun 15, 2012: #2012-32:  Amendments to MSRB Rule G-9 On Preservation of Records – Effective Date Jun 16, 2012
    • Jun 4, 2012: #2012-30: MSRB Reminder of Upcoming Change to Transaction Reporting Requirements and Availability of Technical Specifications-Testing begins Jun 20, 2012
  • Consolidated Audit Trail
  • Next Meeting Date: Aug 14 @ 11:00 AM ET