September 10, 2013 - Back Office Meeting Agenda

Meeting Agenda

  • DTCC Updates
    • NSCC Updates
      • Sep 03, 2013: A7691 - Year 2013 Obligation Warehouse Recaps Schedule
      • Aug 30, 2013: A7689 - Universal Trade Capture Exchange Testing and Implementation
      • Aug 15, 2013: A7684 - Obligation Warehouse Proposes to Enhance Service with Pair-Off Function
    • DTC Updates
      • Aug 30, 2013: SR-DTC-2013-10 - Proposed Rule Change in Order to Terminate the Sealed Envelope Service, Which is Part of the Depository Trust Company's Custody Service
      • Aug 14, 2013: SR-DTC-2013-09 - Proposed Rule Change to Eliminate Special Procedures for Securities Offered Pursuant to Regulation S, Category 3
    • FICC Updates
      • Aug 28, 2013: GOV059.13 - Special Announcement Regarding the Upcoming 5-Year Treasury Auction; See also GOV057.13
      • Aug 26, 2013: MBS147.13 - Conversion of MBSD Operating System from VMS to Linux and Member Testing
      • Aug 19, 2013: GOV056.13 - U.S. Treasury Floating Rate Notes
      • Aug 19, 2013: SR-FICC-2013-08 - Proposed Rule Change in Connection with the Notification of Settlement Process Used by the MBSD - See also Aug 12, 2013: MBS135.13; See also Aug 28, 2013: MBS151.13
  • LOPR - As-of Trade Processing
    • FINRA Update Provided to FIF
  • OCC & Options Related
    • Aug 26, 2013: Proposed Rule Change to Change the Expiration Date for Most Option Contracts to the Third Friday of the Expiration Month Instead of the Saturday Following the Third Friday - SR-Phlx-2013-89SR-NASDAQ-2013-112, SR-BX-2013-050 - See also Aug 01, 2013: SR-CBOE-2013-073; See also Aug 19, 2013: SR-C2-2013-031
    • 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
  • Symbology
    • Aug 27, 2013: Data Technical News #2013-39 - Nasdaq Announces Expanded Symbology for Nasdaq-Listed Companies, Beginning January 2014
  • Money Market Reform
    • Aug 29, 2013: FIF Money Market Reform Comment Letter Draft - Comments due Sep 17, 2013
    • Next Meeting Date: Friday, Sep 13th, @ 1 PM ET
  • MSRB Updates
    • 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
    • Next Meeting Date: MSRB Comment Letter Meeting - Monday, Sep 30th, 2013 @ 1 PM ET
  • Dodd-Frank
    • Aug 28, 2013: 34-70277 - Credit Risk Retention - Comment Period Ends Oct 30, 2013
    • Jan 16, 2013: 34-68668 - Lost Securityholders and Unresponsive Payees - Effective Jan 23, 2014
  • FIF Working Group Updates 
    • Consolidated Audit Trail WG - Sign up for CAT Alerts
      • Aug 26, 2013: Cover Letter to NMS Plan
      • CAT Selection Process NMS Plan
      • FIF CAT Current Documents
      • CAT NMS Plan SRO Portal
      • Next Meeting Date: Thursday, Sep 12th, 2013 @ 1 PM
    • 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 29, 2013: FIF Comment Letter on Proposed NYSE Rule 49
      • 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)
      • FATCA Relevant Links
      • 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
      • Next Meeting Date: Tuesday, Sep 10th, 2013 @ 2 PM ET
    • Cost Basis – Sign up for Cost Basis Alerts (Bob Linville, Scivantage)
      • Aug 22, 2013: FIF Cost Basis Comment Letter on Final Regulations for Basis Reporting for Debt Instruments and Options
  • FIF Monthly Reports
    • Sign up for Report Alerts
    • FIF Initiatives Tracker
    • FIF Milestone Tracker (Milestones Listed Below)
      • TBD: OCC Exercise Restriction Policy
      • TBD: Shortened Settlement Cycle
      • Sep 13, 2013: A7661 - Decommissioning of (CORR, OTC, NYSE, RIO) Equity Trade Capture Output - Issued Jun 23, 2013; See also SR-NSCC-2013-09, Approving the Decommission - Issued Aug 27, 2013
      • Sep 15, 2013: CICI Utility Enhancements and Schemas; See also DTCC Presentation
      • Sep 23, 2013: FINRA Trace Phone-In Workshop @ 1:30 PM - 2:15 PM ET
      • Oct 21, 2013: 34-70072 - SEC Adopts Amendments to Financial Responsibility Rules for Broker-Dealers (Fact Sheet) - Issued Jul 31, 2013
      • Dec 2013: New Settling Location Reason of ACATS Output Record Layouts - Issued Jun 07, 2013
      • Dec 31, 2013: Final drafts of TIC forms - Issued Jul 17, 2013 
      • No Earlier than Jan 2014: A7670 - Approval of Rule Filing (SR-NSCC-2013-05) and Advance Notice (SR-NSCC-2013-805) - Real Time Trade Submission - Issued Jul 09, 2013
      • Mar 2014: A7630 - Requirement for the CNS ACATS and DTC Settling Assets Project - Tentative Production Date - Issued May 03, 2013
      • Not later than March 31, 2014: 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 - Issued Jun 28, 2013
      • 2Q2014: CMU 003.13 - Replatforming Initiative for Corporate Bond, Municipal Bond, UIT (CMU) Real Time Trade Matching (RTTM) System - Issued May 13, 2013
      • June 1, 2014: 34-70073 - SEC Adopts Rules to Increase Protections for Investors with Assets Being Held by Broker-Dealers (Fact Sheet) - Issued Jul 31, 2013
      • After Jun 2014: 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 - Issued Jun 10, 2013
      • Before 2015: DTCC Corporate Actions Reengineering Initiative
    • FIF Market Share Report
    • FIF Market Dynamics Report
    • Market Share & Market Dynamics Executive Summary
  • Next Meeting Date: Tuesday, Oct 8th, 2013 @ 11 AM ET
  • Register: FIF Innovation In Practice Event - Sponsored By Deutsche Bank: Monday, September 30th @ 5:00 PM ET