July 9, 2013 - Back Office Meeting Agenda

Meeting Agenda

  • DTCC Updates
    • NSCC Updates
      • Jun 28, 2013: SR-NSCC-2013-05 Order Approving Proposed Rule Change that All Locked-In Trade Data Submitted to It for Trade Recording be Submitted in Real-Time
      • Jun 26, 2013: A7662 - Decommissioning of OTC Equity Comparison Service
      • Jun 25, 2013: A7661 - Decommissioning of (CORR, OTC, NYSE, RIO) Equity Trade Capture Output - Now scheduled for September 13, 2013 (originally July 12, 2013)
      • Jun 11, 2013: A7650 - Obligation Warehouse RECAPS Industry-Wide Tests
      • Jun 11, 2013: A7649 - Amendment No. 2 to Rule Filing and Advance Notice (SR-NSCC-2013-02 and SR-NSCC-2013-802) - Supplemental Liquidity Deposit (SLD)
    • FICC Updates
      • Jun 24, 2013: 34-69398 - Order Granting the FICC's Amended Application for Permanent Registration as a Clearing Agency
      • Jun 24, 2013: GOV043.13 & A7660 - Confirmation of an OFAC Program Using the Self-Service Customer Confirmation Portal
      • Jun 18, 2013: GOV.039.13 - Proposed Enhancement of Mortgage-Backed Securities Prepayment Model for the Government Securities Division
      • Jun 18, 2013: GOV038.13 - Advance Notice Submission (AN-FICC-2013-807) – Prepayment Model Change
    • Upcoming DTCC Initiatives
      • Jun 18, 2013: 1027-13, A7656, GOV037.13, SR-DTC-2013-03 — Approval of rule changes in connection with the implementation of FATCA
  • Money Market Reform (Craig Collier, Thomson Reuters)
    • Jun 5, 2013 - Proposed Money Market Reform and Amendments to Form PF - Comments Due Sep 17, 2013
    • Jun 5, 2013 - SEC Fact Sheet on Money Market Reform
  • IRS Updates
    • Jul 3, 2013: 2013-48 - Application of Wash Sale Rules to Money Market Fund Shares
  • MSRB Updates
    • Jun 28, 2013: Notice of Filing of a Proposed Rule Change to Amend MSRB Rules G-8, G-11 and G-32 to Include Provisions Specifically Tailored for Retail Order Periods
    • Jun 28, 2013: Notice of Filing of a Proposed Rule Change Reulating to New MSRG Rule G-45 on Reporting of Information on Municipal Fund Securities
  • FINRA Updates
    • Jul 2, 2013: Notice of Filing of a Proposed Rule Change Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options
  • LOPR Updates
    • As-Of Trade Processing - No update
  • FIF Working Group Updates 
    • Consolidated Audit Trail WG - Sign up for CAT Alerts
      • FIF CAT Current Documents
      • CAT NMS Plan SRO Portal
      • Next Meeting Date: Jul 09 @ 1PM ET
    • Large Trader Reporting WG/EBS Subgroup - Sign up for Large Trader Alerts
      • FIF EBS Subgroup – ISG Account Information Reporting
      • May 10, 2013: ISG EBS FAQs updated
    • Market Stability / Regulation SCI - Sign up for Market Stability / Reg SCI Alerts
      • Jul 08, 2013: FIF Comment Letter on Regulation SCI
      • Apr 08, 2013: FIF Summary of Proposed Regulation SCI 
      • Mar 08, 2013: Proposed Regulation Systems Compliance and Integrity
    • Reg E Remittance Transfer WG  Sign up for Reg E alerts (Roger Burchard, UBS)
      • 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
      • Jun 21, 2013: FIF FATCA WG Letter to IRS on Material Modifications
    • Cost Basis –  Sign up for Cost Basis Alerts (Robert Linville, Scivantage)
      • Next Meeting Date: Jul 10 @ 11AM ET
      • 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
      • 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
      • May 16, 2013: ISE Launches Gemini Exchange (formerly Topaz) - Estimated Date - 3Q 2013
      • 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.
      • Jun 7, 2013: New Settling Location Reason of ACATS Output Record Layouts - Testing begins December 2013
      • Jun 5, 2013: Rule Filing SR-FICC-2013-06 - Extention of pilot program for certain aspects of the GCF Repo Service
      • May 31, 2013 - Final drafts of TIC forms - Effective Date: Dec 31, 2013
      • Dec 21, 2013: A7556 - Requirement for the CNS ACATS and DTC Settling Assets Project - Tentative Production Date - Mar 2014
      • May 14, 2013 - CMU 003.13 - Replatforming Initiative for Corporate Bond, Municipal Bond, UIT (CMU) Real Time Trade Matching (RTTM) System - Implementation Date - 2Q 2014
      • Apr 08, 2013: A7616 - Elimination of ID Offset 
      • Apr 10, 2013: DTCC Corporate Actions Reengineering Initiative
      • TBD - Shortened Settlement Cycle
    • Jun 2013 Market Share Report
    • Jun 2013 Market Dynamics Report
  • Next Meeting Date: Aug 13 @ 11 AM ET