Mar 12, 2013 - Back Office Meeting Agenda

Meeting Agenda

  • DTCC Updates (Tim Garrett, Karin Billias, Bob Trapani)
    • NSCC Updates
      • Mar 01, 2013: A7592 – Documentation Modification to Withhold Indicator fields – Mutual Funds ACATS, Fund/SERV and Networking – Updates Available: Mar 15, 2013
      • Feb 21, 2013: A7589 –  NASDAQ Exchange Implementation Of Universal Trade Capture Format Messages
      • Feb 15, 2013: A7587 – Additional Currencies To Mutual Fund Profile Service I – Price And Rate – Effective: May 24, 2013
      • Feb 13, 2013: A7585 – NYSE TRF Reporting
      • Feb 04, 2013: A7580 –  I&RS March, 2013 Enhancement Release
      • February 2013: Supplemental User Guide for Mutual Funds Utilizing the DTCC CBRS
      • Jan 30, 2013: A7576 – Revised Implementation Date: New Retirement Plan Reporting Files Added to Networking Platform –  Effective Date: Mar 18, 2013
      • Jan 25, 2013: A7573 – Exchange Traded Funds Participant Testing Begins Mar 11, 2013 – Implementation Date: May 9, 2013
      • Jan 11, 2013: A7570 – Modification to Extended Correction Transfer and Extended Correction Transfer Acknowledgement Records – Effective Date: March 18, 2013
      • Jan 8, 2013: A7564 - Obligation Warehouse (OW) Phase II Enhancements Testing and Production Implementation Timeline – Effective Date:  March 18, 2013
      • Jan 7, 2013: A7562 -  Revised Implementation Date – Updated Mutual Funds Country Code Listing – Effective Date: Apr 1, 2013
    • FICC Updates
      • Feb 26, 2013: GOV012.13 – U.S. Treasury Floating Rate Notes
      • Feb 20, 2013: MBS027.13 – Aggregate Enhancement Testing Window
      • Feb 11, 2013: GOV009.13 – GSD Web Front End (WFE) Testing on the DVP Rewrite Application
    • Upcoming DTCC Initiatives
      • Mar 11, 2013: DTCC Introduces Settlement Matching To Reduce Risk And Boost Intraday Settlement Finality
      • Feb 01, 2013: DTCC Corporate Actions Reengineering Initiative – Updated Timeline
      • Dec 21, 2012: A7556 – Requirements For The CNS ACATS And DTC Settling Assets Project – Tentative Production Date – Mar 2014
  • Legal Entity Identifier
    • Feb 21, 2013: Office of Financial Research Publishes LEI FAQs
    • Feb 06, 2013: CICI Guidance on Registration and Certification - OTC Derivatives
  • MSRB Updates
    • Feb 12, 2013: MSRB Updates Electronic Form for Reporting Trades
    • Jan 17, 2013: MSRB Notice 2013-02 – Request for Comment on More Contemporaneous Trade Price Information Through a New Central Transparency Platform – Comment Deadline: Mar 15, 2013
    • Feb 19, 2013: FIF Comment Letter to MSRB on Notice 2012-63
  • LOPR Updates
    • Mar 04, 2013: LOPR As-Of Trades FAQ Update
    • Feb 05, 2013: FIF Request to ISG for More Detailed FAQs
  • Regulation SCI
    • Mar 08, 2013: Proposed Regulation Systems Compliance and Integrity - Comments Due: [60 Days after Publication in Federal Register]
    • Mar 07, 2013: SEC Proposes Rules to Improve Systems Compliance and Integrity
  • Options Updates
    • Mini Options
      • Mar 08, 2013: OTA #2013 - 14 Mini Options to Begin Trading on NOM on Monday, March 18, 2013
      • Mar 06, 2013: CBOE RG13-036 – Mini Options (on SPY, AAPL, GLD, GOOG and AMZN) Information and FAQ
      • Mar 05, 2013: RG13-037 – Operational Details for Mini-Options Trading on CBOE
      • Nov 26, 2012: ISE Announces Mini Options Launch Date of March 18, 2013
      • Nov 08, 2012: NYSE Arca Mini Options FAQs
  • Treasury Market Practices Group
    • Mar 01, 2013: TMPG Revises Agency MBS Fails Charge Trading Practice
  • FIF Working Group Updates 
    • Consolidated Audit Trail WG
      • Mar 08, 2013: SRO CAT Industry Event – Bidders Conference Presentation
      • Mar 08, 2013: Consolidated Audit Trail Bidders Conference
      • Mar 06, 2013: FIF CAT WG Discussion Document
      • Mar 05, 2013: Received Intent to Bid forms
      • Mar 04, 2013: RFP Questions and Responses
      • Mar 01, 2013: FIF CAT WG Issues Recommendations Summary
      • Feb 26, 2013: SROs Publish RFP
      • Feb 22, 2013: SROs Announce Formation of CAT Development Advisory Group
    • Large Trader Reporting WG
      • Feb 26, 2013: ISG Responses on Primary and Contra Party ID Fields
    • Reg E Remittance Transfer WG (Roger Burchard, UBS)
    • FATCA WG (Audrey Meyer, Bank of America Merrill Lynch)
      • Next Meeting Date: Mar 21 @ 3 PM ET
  • Additional Updates
    • French Financial Transaction Tax
      • Jan 24, 2013:  FIF French Financial Transaction Tax Issues Document
      • Jan 24, 2013 : 2013 French Transaction Tax Eligible List of Companies
      • Jan 17, 2013:  Equity Regulatory Alert # 2013-2 – NASDAQ OMX Provides Information Regarding the French Financial Transaction Tax
      • Dec 21, 2012: SIFMA and ICI Submit Comments to the IRS Requesting Competent Authority Assistance under the US-France Tax Convention
    • Italian Financial Transaction Tax
      • Italian Ministry of Economy and Finance - Transaction Tax in English
      • Italian Transaction Tax - Final Revision
      • List of Securities
      • Explanatory Memorandum
  • Next Meeting Date: Apr 9 @ 11 AM ET