June 11, 2013 - Back Office Meeting Agenda

Meeting Agenda
  • OCC
    • Friday Expiration Goes live on Jun 21, 2013
    • May 23, 2013: Exercise Restriction Policy (Memo attached)
    • May 16, 2013: ISE Gemini Exchange (formerly called Topaz) (Memo attached)
  • DTCC Updates - Mark Vercruysse
    • NSCC Updates
      • Jun 7, 2013: A7645 - New Settling Location Reason of ACATS Output Record Layouts
      • Jun 6, 2013: A7642 - Implementation of Universal Trade Capture for NYSE
      • May 22, 2013: A7638 - Rule Filing SR-NSCC-2013-07 - Technical Corrections of Obligation Warehouse Procedure
      • May 13, 2013: A7635 - Replatforming Initiative for Corporate Bond, Municipal Bond, UIT (CMU) Real Time Trade Matching (RTTM) System
      • Apr 30, 2013: A7627 – Rule Filing SR-NSCC-2013-05 - Real Time Trade Submission
      • Apr 08, 2013: A7616 – Elimination of ID Offset
      • Mar 19, 2013: A7604 – Decommissioning Legacy (CORR, OTC, NYSE, RIO) Equity Trade Capture Output – Scheduled For July 12, 2013
    • FICC Updates
      • Jun 5, 2013: Rule Filing SR-FICC-2013-06 - Changes to the GCF Repo Service
      • Jun 5, 2013: MBS096.13 - Treasury Market Practices Group ("TMPG") Fails Charge Updated Reminder
      • May 14, 2013: CMU003.03 - Replatforming Initiative for Corporate Bond, Municipal Bond, UIT (CMU) Real Time Trade Matching (RTTM) System
    • Upcoming DTCC Initiatives
      • Apr 10, 2013: DTCC Corporate Actions Reengineering Initiative – Updated Timeline
      • Mar 11, 2013: DTCC Introduces Settlement Matching To Reduce Risk And Boost Intraday Settlement Finality
      • Dec 21, 2012: A7556 – Requirements For The CNS ACATS And DTC Settling Assets Project – Tentative Production Date – Mar 2014
      • TBD – Shortened Settlement Cycle
  • Treasury Market Practices Group
    • May 23, 2013: TMPG Announces Market Practice Recommendations to Support More Timely Trade Confirmation in the Tri-Party Repo Market – Effective Date:Aug 1, 2013
  • MSRB Updates
    • Jun 10, 2013: MSRB announced proposed new Rule G-45, requiring dealers acting in the capacity of underwriters to submit to the MSRB certain information for the 529 plans they underwrite, on a semi-annual basis.
  • LOPR Updates
    • Apr 15, 2013: LOPR FAQ Update
    • As-Of Trade Processing - No update
  • Federal Reserve Updates
    • Treasury International Capital (TIC)
      • May 31, 2013: Final drafts of TIC forms - Effective Date: Dec 31, 2013
  • FIF Working Group Updates 
    • Consolidated Audit Trail WG - Sign up for CAT Alerts
      • FIF CAT Current Documents
      • CAT NMS Plan SRO Portal updated
      • Next Meeting Date: Jun 11 @ 1pm ET
    • Large Trader Reporting WG/EBS Subgroup - Sign up for Large Trader Alerts
      • FIF EBS Subgroup – ISG Account Information Reporting (attached)
      • May 10, 2013: ISG EBS FAQs updated
      • Large Trader Extended to Nov 1, 2013
    • Market Stability / Regulation SCI - Sign up for Market Stability / Reg SCI Alerts
      • Next Meeting Date: Jun 19 @ 11AM ET (SEC Meeting Jun 13)
      • Apr 8, 2013: FIF Summary of Proposed Regulation SCI 
      • Mar 08, 2013: Proposed Regulation Systems Compliance and Integrity - Comments Due: Jul 8, 2013
    • Reg E Remittance Transfer WG - (Roger Burchard, UBS) Sign up for Reg E alerts
      • FIF Reg E Working Group survey
      • Apr 30, 2013: Final rule for Remittances Transfer (Reg E) published
    • FATCA WG - Sign up for FATCA WG Alerts
      • Next Meeting Date: Jun 20 @ 11:30AM ET
      • Apr 25, 2013: FATCA Information for Financial Institutions updated
    • Cost Basis – (Robert Linville, Broadridge) Sign up for Cost Basis Alerts
      • Next Meeting Date: Jun 25 @ 11AM ET
      • May 24, 2013: FIF Reporting Spreadsheet for Fixed Income Securities
      • Apr 18, 2013: Cost Basis Final Regs for Debt Instruments and Options published
  • FIF Monthly Reports
    • Sign up for Report Alerts
    • FIF Initiatives Tracker
    • FIF Milestone Tracker
  • Next Meeting Date: Jul 9 @ 11 AM ET
  • Next FIF Quarterly Event: Jun 18 4:45 – 8pm ET