Oct 9, 2012 - Back Office Meeting Agenda

Meeting Agenda

  • DTCC Updates (Mark Vercruysse, Janet Wynn, DTCC)
    • Shortening Settlement Cycle
      • October 4, 2012: Boston Consulting Group completes study of potential impacts of accelerating settlement for U.S. Equity trades
      • DTCC Proposal on Shortening Settlement Cycle
    • FICC Updates
      • Oct 03, 2012: MBS138.12 – SR-FICC-2012-06 – Notice of Rule Filing Approval relating to the AM Pass
      • Oct 01, 2012: GOV096.12 – DVP Rewrite Application- Participant Test Region Availability
      • Sep 07, 2012: MBS125.12 – REMINDER: Mortgage-Backed Securities Division 2:00 PM Pass and TBA Netting Schedule Update – Effective Nov 02, 2012
    • Obligation Warehouse
      • Sep 17, 2012: A#7488 – Obligation Warehouse (OW) Participant Training And Testing
    • Universal Trade Capture
      • Sep 21, 2012: A#7491 – UTC Exchange Implementation – Market Launch For NASDAQ BX on Sep 21, 2012
      • Sep 14, 2012: A#7487 – UTC Exchange Testing And Implementation – NASDAQ BX Parallel Test
    • Upcoming Initiatives
      • Negative Yield Treasuries Bills
      • Corporate Actions Reengineering
        • Sep 20, 2012: ISO 20022 Message Specifications for Announcements – Standard Release 2012
        • Sep 20, 2012: SR 2012 Changes For ISO CANO Messages
        • Sep 20, 2012: ISO 20022 Message Specifications for Corporate Actions Lifecycle
        • 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
  • Options Updates (Dave Harrison, OCC)
    • Expiration Friday Processing
      • Sep 5, 2012: Industry Move to Expiration Friday Processing - Jun 2013
    • Mini Options
      • Sep 28, 2012: SR-NYSEArca-2012-64; SR-ISE-2012-58 – Notice of Filing of Amendments No. 1 and Order Granting Accelerated Approval of Proposed Rule Changes as Modified by Amendments No. 1 to List and Trade Option Contracts Overlying 10 Shares of Certain Securities
    • CMTA Allocations
    • Sep 12, 2012: SR-OCC-2012-14 – Notice of Filing of Advance Notice Relating to the Clearance and Settlement of Over-the-Counter Options
  • Transaction Tax
    • French Financial Transaction Tax Issues (see attached)
    • US Financial Transaction Tax
      • Sep 17, 2012: Proposed US Financial Transaction Tax
  • Working Group Updates
    • FIF Cost Basis WG (Robert Linville, Broadridge)
      • Sep 12, 2012: FIF Comment Letter to IRS on Debt Basis Reporting
      • Sep 10, 2012: WebDirect Changes for November deployment
    • FIF Consolidated Audit Trail
      • FIF CAT WGs Update
      • Oct 15 & 16, 2012: SRO Hosted Consolidated Audit Trail Industry Event
    • FIF Large Trader Reporting WG
      • Next Meeting Date: Oct 9 @ 2 – 3:30 PM ET
    • FIF Market Stability WG
      • Comments on SEC Technology and Trading Roundtable
      • Webcast Archive Available
  • Legal Entity Identifier Update
    • Sep 13, 2012: “Demystifying Legal Entity Identifiers,” an LEI/CICI overview
  • Additional Updates
    • Sep 6, 2012: A#7484, CMU005.12 – Production Date of November 5, 2012 Established for 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)
  • Next Meeting Date: Nov 13 @ 11 AM ET