August 13, 2013 - Back Office Meeting Agenda

Meeting Agenda

  • DTCC Updates
    • LEI Updates
      • Imminent CICI Utility Releases (Ron Jordan, Nathan Hahn, DTCC)
      • Aug 5, 2013: CICI Utility Enhancements and Schemas
    • NSCC Updates
      • Aug 07, 2013: A7682 - Decommissioning Legacy (CORR, OTC, NYSE, RIO) Equity Trade Capture Output
      • Aug 01, 2013: A7678 - Year 2013 Obligation Warehouse RECAPS Schedule
      • Jul 18, 2013: A7674 - Nasdaq TRF Universal Trade Capture Exchange Testing and Implementation
      • Jul 15, 2013: A7673 - Elimination of ID Offset - Implementation of Phase One
    • FICC Updates
      • Aug 01, 2013: GOV052.13 - SR-FICC-2013-06 - Notice of Rule Filing Approval Regarding the Tri-Party Reform for GCF Repo Service
      • MBSD Proposals on Novation and Margin Proposal
      • Jul 22, 2013: GOV049.13 - Withdrawal of Rule Filing SR-FICC-2013-02
      • Jul 19, 2013: GOV048.13 - Notice of Rule Filing Approval - SR-FICC-2013-05 - Rule change in connection with the inclusion of trueEX as a locked-in trade source
    • Upcoming DTCC Initiatives
      • Jul 09, 2013: A7670 - Approval of Rule Filing (SR-NSCC-2013-05) and Advance Notice (SR-NSCC-2013-805) - Real Time Trade Submission
  • OCC & Options Related
    • Jul 11, 2013; SR-OCC-2013-05 - Order Approving Proposed Rule Change to Provide that OCC, Rather Than an Adjustment Panel of the Securities Committee, Will Determine Adjustments to the Terms of Options Contracts
    • May 23, 2013: OCC Memo 32743 - Exercise Restriction Policy
    • Aug 01, 2013: SR-CBOE-2013-073 - Change Expiration Date for Options Contracts to Third Friday of Expiration Month Instead of the Saturday Following the Third Friday
  • Money Market Reform
    • Next Meeting Date: Thursday, Sept 5th, @ 11 AM ET
    • Jul 31, 2013: Money Market Reform Discussion Document 
  • SEC Final Rules
    • Jul 31, 2013: 34-70073 - SEC Adopts Rules to Increase Protections for Investors with Assets Being Held by Broker-Dealers (Fact Sheet)
    • Jul 31, 2013: 34-70072 - SEC Adopts Amendments to Financial Responsibility Rules for Broker-Dealers (Fact Sheet)
  • MSRB Updates
    • Aug 08, 2013: MSRB Policy on Interpretive Guidance
    • Aug 06, 2013: Comment on Whether to Require Dealers to Adopt "Best Execution" Standard
    • Aug 06, 2013: Comment on Fair Pricing Rule
    • Jul 31, 2013: 2013-14 - Rule G-14 Concept Release on Pre-Trade and Post-Trade Pricing Data Dissemination Through a New Central Transparency Platform - Comments due Nov 1, 2013
    • Mar 15, 2013: FIF Comment Letter on MSRB Notice 2013-02
  • TRACE Updates
    • Aug 01, 2013: FINRA FAQs Regarding TRACE Reporting
    • Jul 13, 2013: New Issue Form for TRACE Reporting
  • 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: Tuesday, Aug 20th, @ 1 PM ET
    • Large Trader Reporting WG/EBS Subgroup - Sign up for Large Trader Alerts
      • FIF EBS Subgroup – ISG Accountholder Information
      • Aug 08, 2013: Rule 13h-1 - Order Temporarily Exempting Certain Broker-Dealers and Certain Transactions from the Recordkeeping and Reporting Requirements of Rule 13h-1
    • Market Stability WG - Sign up for Market Stability Alerts
      • Aug 06, 2013: SR-NYSEArca-2013-78 - NYSE Arca Equities Rule 5.3(i) (1)(i) to Specify Procedures to be Followed if a Listed Derivative Securities Product or a Listed Structured Product is Based on an Index or Portfolio of Securities and such Index or Portfolio of Securities and such Index or Portfolio is Modified or Replaced - Comment Period 21 Days After Publication 
      • Aug 02, 2013: SR-NYSEArca-2013-77 - NYSE Arca Equities Rule 2.100, which Provides for Certain Emergency Powers - Comment Period 21 Days After Publication
      • Jul 30, 2013: SR-NYSEArca-2013-75 - NYSE Arca Equities Rule 7.31(a)(2) to Specify that the Exchange would use the Last Official Closing Price to Calculate the Market Order Trading Collar if there is no Consolidated Last Sale Price that Trading Day - Comment Period 21 Days After Publication
      • Aug 02, 2013: SR-NYSEMKT-2013-66 - NYSE Rule 49 - Equities in Order to Authorize Exchange Officials to Exercise the Same Emergency Powers As NYSE Officials may Exercise
      • Aug 02, 2013: SR-NYSE-2013-54 - Rule Change to Amend NYSE Rule 49, Addressing the Exchange's Emergency Powers
      • Comment Letters on Regulation SCI
      • Mar 08, 2013: Proposed Regulation Systems Compliance and Integrity
    • FATCA WG - Sign up for FATCA WG Alerts (Liz DiNicola, Broadridge)
      • Jul 19, 2013: Draft Form 8957 updated on IRS FATCA website
      • Jul 12, 2013: 2013-43 - Six-Month Extension for FATCA Withholding
      • Jun 21, 2013: FIF FATCA WG Letter to IRS on Material Modifications
    • Cost Basis - Sign up for Cost Basis Alerts (Bob Linville, Scivantage)
      • FIF Draft Comment Letter on Final Regs for Basis Reporting for Debt and Options
      • 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
      • Jul 02, 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
      • 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 26, 2013: A7662 - Decommissioning of OTC Equity Comparison Service
      • 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 23, 2013: A7661 - Decommissioning of (CORR, OTC, NYSE, RIO) Equity Trade Capture Output - Sep 13, 2013
      • Jun 7, 2013: New Settling Location Reason of ACATS Output Record Layouts - Testing begins December 2013
      • Jul 17, 2013 - Final drafts of TIC forms - Effective Date: Dec 31, 2013
      • May 03, 2013: A7630 - Requirement for the CNS ACATS and DTC Settling Assets Project - Tentative Production Date - Mar 2014
      • May 13, 2013 - CMU 003.13 - Replatforming Initiative for Corporate Bond, Municipal Bond, UIT (CMU) Real Time Trade Matching (RTTM) System - Implementation Date - 2Q 2014
      • Apr 10, 2013: DTCC Corporate Actions Reengineering Initiative
      • TBD - Shortened Settlement Cycle
      • LOPR - As-of Trade Processing
    • FIF Market Share Report
    • FIF Market Dynamics Report
    • Market Share & Market Dynamics Executive Summary
  • Next Meeting Date: Tuesday, Sept 10th, @ 11 AM ET