Dec 11, 2012: Back Office Meeting Agenda

Meeting Agenda

  • Mini Options – Launch Date: Mar 18, 2013 (Dave Harrison, OCC, Katrina Lukacs, ISE)
    • Exchange Notices
      • Nov 27, 2012: NYSE Arca Options announces Mini Options Launch Date of March 18, 2013 (see attached)
      • Nov 27, 2012: NASDAQ OMX PHLX (see attached)
      • Nov 26, 2012: ISE Announces Mini Options Launch Date of March 18, 2013
      • Nov 8, 2012: NYSE Arca Mini Options FAQs
    • Exchange SEC Filings
      • Sep 28, 2012: SR-NYSEArca-2012-64, SR-ISE-2012-58, SR-Phlx-2012-126 – 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
  • DTCC Updates (Mark Vercruysse, DTCC)
    • DTC Updates
      • Dec 03, 2012: B#1832-12 – Mandatory Corporate Action Events - Adjusted Segregated Positions Implementation Update
      • Nov 26, 2012: B#1768-12 – New Settlement Matching Service – Overview and Timeline
    • NSCC Updates
      • Nov 19, 2012: A#7536 – Mutual Fund Profile Service II (MFPSII) – Profile Security Issue Database Comparison Tool
    • FICC Updates
      • Nov 28, 2012: MBS170.12 – (REMINDER NOTICE) Implementation of Change to AM Pass
    • Upcoming DTCC Initiatives
      • Shortened Settlement Cycle
      • ACATS Rewrite
  • French Financial Transaction Tax (see attached)
  • Working Group Updates
    • FIF Consolidated Audit Trail WG
      • Dec 10, 2012: SRO CAT NMS In-Person Event
      • CAT NMS Plan Website
      • FIF CAT WG – Current Documents
    • FIF FATCA WG
      • Next FIF FATCA WG Meeting – Dec 12 @ 12 PM ET
      • Nov 14, 2012: FATCA Implementation Timing and Costs Survey Report
    • FIF Large Trader Reporting WG
      • Next FIF/SIFMA Large Trader Meeting – Dec 11 @ 3 PM ET
      • Dec 03, 2012: FIF Large Trader Reporting WG Post-Execution Transfer Scenarios - Implementation Alternative
      • FIF Large Trader Reporting WG Relevant Links Portal
    • FIF Reg E Remittance Transfer WG
      • Nov 27, 2012: CFPB Bulletin 2012-08 – Remittance Rule Implementation (Subpart B of Regulation E)
      • Nov 06, 2012: SEC No-Action Relief Letter
    • FIF Cost Basis WG Update
      • Nov 09, 2012: CBRS013.12 – Delay in deployment date of CBRS code
  • Additional Updates
    • MSRB
      • Nov 30, 2012: SR-MSRB-2012-10 and 2012-60 – Proposed Rule Change to Extend the Implementation Date of the Requirement to Report the Contractual Dollar Prices at which Transactions were Executed for Inter-Dealer Transactions – Mar 29, 2013
    • Treasury Market Practices Group
      • Nov 26, 2012: Frequently Asked Questions: Margining Agency MBS Transactions”
      • Nov 14, 2012: TMPG Recommends Margining of Agency MBS Transactions
      • Nov 14, 2012: Best Practices for Treasury, Agency Debt and Agency MBS Markets
      • Nov 14, 2012: White paper on "Margining in Agency MBS Trading"
  • Upcoming events: FIF 2012 Year End Event Sponsored by UBS – Dec 12, 2012
  • Next Meeting Date: Jan 8 @ 11 AM ET