May 14, 2013 - Back Office Meeting Agenda

Meeting Agenda

  • OCC – Dave Harrison
    • May 3, 2013: BOX approved for Jumbo Options
    • Friday Expiration Update
  • LOPR Updates
    • Apr 15, 2013: LOPR FAQ Update
      • No update on As-Of Trade processing
  • DTCC Updates, Marc Vercruysse
    • NSCC Updates
      • Apr 30, 2013: A7627 – Rule Filing SR-NSCC-2013-05 - Real Time Trade Submission
      • Apr 22, 2013: A7623 – Rule change in connection with FATCA Implementation
      • Apr 08, 2013: A7616 – Elimination of ID Offset
      • Mar 28, 2013: A7609 – Exchange Traded Funds Impact On May 9, 2013
      • Mar 19, 2013: A7604 – Decommissioning Legacy (CORR, OTC, NYSE, RIO) Equity Trade Capture Output – Scheduled For July 12, 2013
      • Feb 15, 2013: A7587 – Additional Currencies To Mutual Fund Profile Service I – Price And Rate – Effective: May 24, 2013
      • Jan 25, 2013: A7573 – Exchange Traded Funds Participant Testing Begins Mar 11, 2013 – Implementation Date: May 9, 2013
    • 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
      • TBD – Shortened Settlement Cycle
  • MSRB Updates
    • May 1, 2013: Request for Comment on Proposed Sophisticated Municipal Market Professional Rules
  • Treasury Market Practices Group
    • Apr 19, 2013: TMPG Proposed Market Practice Recommendations to Support More Timely Trade Confirmation in the Tri-Party Repo Market
  • Federal Reserve Updates
    • Treasury International Capital (TIC)
      • Apr 25, 2013: Revisions of TIC forms – Effective Date: Dec 2013
  • FIF Working Group Updates 
    • Consolidated Audit Trail WG - Sign up for CAT Alerts
      • FIF CAT Relevant Links Portal
      • Apr 19, 2013: Presentation from FIF CAT WG Meeting with SEC
      • Apr 19, 2013: FIF SEC Meeting Notes
      • Next Meeting Date: May 21 @ 10am ET
    • Large Trader Reporting WG - Sign up for Large Trader Alerts
      • Large Trader Extended to Nov 1, 2013
    • Market Stability / Regulation SCI - Sign up for Market Stability / Reg SCI Alerts
      • Next Meeting Date: May 17 @ 1PM ET
      • May 07, 2013: FIF Comment Letter requesting extension of comment period
      • Apr 8, 2013: FIF Summary of Proposed Regulation SCI 
      • Mar 08, 2013: Proposed Regulation Systems Compliance and Integrity - Comments Due: May 24, 2013
      • Mar 07, 2013: SEC Proposes Rules to Improve Systems Compliance and Integrity
    • Reg E Remittance Transfer WG (Roger Burchard, UBS)
      • Apr 30, 2013: Final rule for Remittances Transfer (Reg E) published
    • FATCA WG (Elizabeth DiNicola, Broadridge)
      • Apr 25, 2013: FATCA Information for Financial Institutions updated
    • Cost Basis (Elizabeth DiNicola, Broadridge) – Sign up for Cost Basis Alerts
      • Next Meeting Date: May 17 @ 11AM ET
      • Apr 18, 2013: Cost Basis Final Regs for Debt Instruments and Options published
  • FIF Monthly Reports
    • Sign up for Report Alerts
    • May 2013 Initiatives Tracker
    • May 2013 Milestones Tracker
  • Next Meeting Date: Jun 11 @ 11 AM ET
  • Next FIF Quarterly Event: Jun 18 4:45 – 8pm ET