Nov 13, 2012: Back Office Meeting Agenda

Meeting Agenda

  • DTCC Updates (Mark Vercruysse, DTCC)
    • Obligation Warehouse
      • Nov 06, 2012: A#7526 – Cancelled: Obligation Warehouse Industry-Wide Recaps Test
      • Oct 23, 2012: A#7511 – Obligation Warehouse - Planned Industry Test For Recaps On November 9, 2012
      • May 21, 2012: A#7428 – Obligation Warehouse (OW) 2012 Plans for Enhancements in Q3 2012
    • Universal Trade Capture
      • Oct 18, 2012: A#7507 – Universal Trade Capture Exchange Testing And Implementation
      • Oct 16, 2012: A#7506 – Universal Trade Capture Input And Format Changes Starting Nov 30, 2012 and Feb 2013
    • ACATS Updates
      • Oct 12, 2012: A#7505 – Elimination Of ACATS Default Pricing Table
    • NSCC Updates
      • Nov 06, 2012: A#7527 - Hurricane Sandy’s Effect On Upcoming Wealth Management Services Initiatives Covered Under Important Notices A#: 7467, 7479, 7464, 7510, And 7512
      • Oct 19, 2012: A#7509 – Announcement Of NSCC’s Upcoming Parallel Testing Of Enhancements To Improve Data Quality And Pricing Of Fixed Income Securities – Production Date: Jan 28, 2013
    • FICC Updates
      • Nov 02, 2012: GOV116.2 – Postponement of DVP Rewrite Application- Participant Testing
    • MBSD Updates
      • Oct 31, 2012: MBS157.12 – Delay in Changing the time of the 2PM pass
      • Oct 22, 2012: MBS147.12 – Planned MBSD Enhancements for January 2013
      • Oct 18, 2012: MBS144.12 – Submission of FICC Rule Filing 2012-07— MBSD Enhancements
    • Corporate Actions Reengineering
      • Oct 26, 2012: SR-DTC-2012-08 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update Its Corporate Actions Service in Order to Introduce a New Standard to Communicate Certain Corporate Actions Information to Participants
      • Feb 29, 2012: ISO 20022 Message Specifications for Announcements - Standards Release 2011 (Updated February 29,2012) – Production Deployment: Nov 2012
  • NYSE Account Type Indicators
    • Oct 24, 2012: A#7513 – NSCC Clearance Output Reporting Changes – Order Capacity
    • Oct 09, 2012: Information Memo 12-25 – Account Type Indicators: Revised List Effective October 15, 2012 – see also Attachments to Information Memo-12-25.pdf
  • LOPR
    • ISG LOPR Guidance – FAQs not Updated (see attached)
  • Transaction Tax
    • French Financial Transaction Tax Issues (see attached)
  • Working Group Updates
    • FIF Cost Basis WG (Robert Linville, Broadridge)
      • Next FIF Cost Basis WG Meeting – Nov 15 @ 12 PM ET
    • FIF Consolidated Audit Trail WG
      • Nov 06, 2012: FIF CAT WG - OATS Issues / CAT Functionality Discussion Document
      • Oct 26, 2012: Intra-Firm Linkage Discussion Document
      • Oct 26, 2012: Retail Customer ID Discussion Document
      • Oct 26, 2012: FIF CAT WG - Discussion Document
      • Next FIF CAT WG Meeting: Nov 20 @ 1 PM ET
    • FIF FATCA WG (Elizabeth DiNicola, Broadridge)
      • Oct 25, 2012: IRS Announcement 2012-42 – Timelines for Due Diligence and Other Requirements Under FATCA
      • Next FIF FATCA WG Meeting – Nov 14 @ 2 PM ET
    • FIF Large Trader Reporting WG
      • Nov 06, 2012: FIF Large Trader WG Relief Requests from SEC Perspective
      • Oct 31, 2012: Regulatory Notice 12-47 – FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
      • Oct 24, 2012: Meeting Materials for SEC Meeting
      • Oct 24, 2012: FIF Large Trader Reporting WG Representatives Meeting with the SEC - Meeting Notes
      • Oct 19, 2012: Large Trader Reporting Clearing Issues Discussion Document
    • FIF Market Stability WG
      • Nov 01, 2012: FIF Comment Letter to SEC on Trading and Technology Roundtable
    • FIF Reg E Remittance Transfer WG (Roger Burchard, UBS)
      • Nov 06, 2012: Draft SEC No-Action Relief Letter (see attached)
      • Sep 4 & 27, 2012 : Summary of FIF meetings with the CFPB
  • Additional Updates
    • TRACE Updates
      • Nov 01, 2012: Regulatory Notice 12-48 – FINRA Changes the Effective Date for Amendments to TRACE Rules Relating to the Reporting and Dissemination of Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced and Related TRACE Fees in FINRA Rule 7730 from November 5, 2012, to November 12, 2012
      • Oct 12, 2012: SR-FINRA-2012-047 – Proposed Rule Change to Extend a TRACE Pilot Program in FINRA Rule 6730(e)(4)
    • MSRB Updates
      • Nov 02, 2012: 2012-55 – Update On November 5, 2012 Effectiveness Of Changes To Transaction Reporting Requirements
      • Nov 02, 2012: A#7523 & CMU006.12 – Update – Postponement of Regulatory Data Element Required on Municipal Bond Trades Submitted to NSCC’s Corporate Bond, Municipal Bond, UIT (CMU) Real Time Trade Matching system (RTTM) for Municipal Securities Rulemaking Board’s (MSRB) Real-Time Reporting System (RTRS)
  • Next Meeting Date: Dec 11 @ 11 AM ET