June 10, 2014 - Back Office Meeting Agenda

Meeting Agenda

  • DTCC Updates
    • Shortened Settlement Cycle Update
    • CBRS Updates
      • Jun 02, 2014: CBRS005.14 - Layout Changes for November Release
    • NSCC Updates
      • Jun 06, 2014: SR-NSCC-2014-07 - Notice of Filing of Proposed Rule Change to Implement a New Scorecard Feature to the Mutual Fund Profile Service
      • Jun 05, 2014: A7853 - I&RS 2014 September Enhancement Release
      • Jun 03, 2014: A7852 - Obligation Warehouse Enhancement to Communication with DTC's IMS Processing
      • Jun 03, 2014: A7851 - Reminder Regarding the Elimination of the ACATS Default Pricing Table
      • Jun 03, 2014: A7850 - NSCC Trade Capture Reversal Processing
      • Jun 03, 2014: A7849 - FATCA AIP Enhancements
      • Jun 02, 2014: A7847 - Year 2014 Obligation Warehouse Recaps Schedule
      • May 30, 2014: A7846 - NSCC Rule Filing (SR-NSCC-2014-07) - MFPS Scorecard
      • May 29, 2014: A7843 - Notice of No Objection to Advance Notice (SR-NSCC-2014-802) (Enhancement to VaR Model) & Announcement of NSCC's Upcoming Parallel Period
      • May 22, 2014: SR-NSCC-2014-04 - Order Approving Proposed Rule Change to Effect Processing Enhancements to the NSCC Automated Customer Account Transfer Service; See also A7844
      • May 21, 2014: A7840 - Saturday May 31, 2014 Web Test Plans for Replatforming Initiative for Corporate Bond, Municipal Bond, UIT (CMU) Real Time Matching (RTTM) System
      • May 15, 2014: A7701 - ACAT-Fund/SERV Enhancements
    • DTC Updates
      • Jun 05, 2014: B1119-14 - DTCC Corporate Actions Transformation -- Industry Call to be Held on June 26th
      • Jun 04, 2014: B1114-14 - Settlement Matching Phase 3: June 12th-13th Implementation
      • Jun 04, 2014: SR-DTC-2014-07 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Implementation of a Fee for ACATS-Related Deliveries and Receives
      • May 30, 2014: SR-DTC-2014-06 - Notice of Filing of Proposed Rule Change to Modify the Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
      • May 27, 2014: B1046-14 - Access to Corporate Action Event Announcements via Corporate Actions Web (CA Web) For Clients Not Engaged In ISO 20022 Testing
      • May 22, 2014: SR-DTC-2014-04 - Order Approving Proposed Rule Change to Effect Changes to the DTC Settlement Service Guide Relating to the Automated Customer Account Transfer Service of National Securities Clearing Corporation; See also B-1092-14
      • May 22, 2014: B0990-14 - Settlement Matching – Revised Schedule
      • May 21, 2014: B0986-14 - DTC is Now Offering a Webcast and Q&A Sessions Covering the Adjustments Functionality of Corporate Actions Web (CA Web)
      • May 19, 2014: B1047-14 - CNS ACATS and DTC Settling Assets - Addendum Notice
  • FINRA Updates
    • FINRA Hybrid Securities
      • May 23, 2014: Regulatory Notice 14-23 - FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA - Effective Date: June 16, 2014
    • TRACE Reporting
      • May 27, 2014: Reminder: Testing for BTDS 144A Begins June 2, 2014
    • OATS/Trade Reporting WG - (SR-FINRA-2013-050)
      • Jun 02, 2014: Updated Guidance on the Reporting Requirements for Orders Transmitted to a Member Firm’s Trading Desk: Effective Date September 15, 2014
      • May 22, 2014: OATS Reporting Changes for Stop Stock, PRP and ISO Exception Trades; See also Regulatory Notice 14-21 - SEC Approves Amendments to Equity Trade Reporting and OATS Rules
      • May 20, 2014: SR-FINRA-2014-024 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Definition of “Reporting Member” in the Order Audit Trail System Rules
    • FINRA CARDS
      • May 19, 2014: Rick Ketchum's Speech at FINRA Annual Conference
    • Pending FINRA Initiatives 
      • Waiting on FINRA to respond to FINRA Rule 4210 - TBA Margining
    • Additional FINRA Updates
      • May 21, 2014: SR-FINRA-2014-023 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt FINRA Rule 2121 (Fair Prices and Commissions), Supplementary Material .01 (Mark-Up Policy) and Supplementary Material .02 (Additional Mark-Up Policy For Transactions in Debt Securities, Except Municipal Securities) in the Consolidated FINRA Rulebook
  • Options Updates
    • Jun 06, 2014: 34735 - Qualifying Central Counterparty Status - Update (See Attached)
    • May 28, 2014: SR-OCC-2014-10 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Require That Intraday Margin be Collected and Margin Assets Not be Withdrawn When a Clearing Member’s Reasonably Anticipated Settlement Obligations to OCC Would Exceed the Liquidity Resources Available to OCC to Satisfy Such Settlement Obligations
    • May 21, 2014: SR-OCC-2014-07 - Order Approving Proposed Rule Change to Eliminate Preferred Stock and Corporate Bonds as Acceptable Forms of Margin Assets
  • FIF Working Group Updates 
    • Symbology WG
      • FIF Symbology Steering Committee Update
      • Feb 26, 2014: Data Technical News #2014 - 4 - NASDAQ OMX Issues Update on Symbology Initiative
    • Consolidated Audit Trail WG - Sign up for CAT Alerts
      • Jun 04, 2014: FIF CAT WG Discussion of CAT Reporter Cost Survey
      • Jun 02, 2014: Cost to Reporters Study Draft
      • Jun 02, 2014: CAT Reporters - Cost Study Working Template
      • Jun 02, 2014: Cost Study Overview and Assumptions
      • CAT Update - June 5, 2014 Draft
    • Large Trader Reporting WG/EBS Subgroup - Sign up for Large Trader Alerts
      • LTR & Options Calculation Discussion
    • Market Stability WG - Sign up for Market Stability Alerts
      • Jun 05, 2014: Chair Mary Jo White's Speech - Enhancing Our Equity Market Structure
    • Regulation E WG
      • Jun 06, 2014: FIF Comment Letter on the CFPB Extension of the Temporary Exception for Reg E
    • FATCA WG - Sign up for FATCA WG Alerts
      • Jun 03, 2014: A7849 - FATCA AIP Enhancements
      • Jun 02, 2014: FATCA Foreign Financial Institution (FFI) List Search and Download Tool
      • May 09, 2014: Instructions for Form 1042
      • May 02, 2014: Notice 2014-33 - Further Guidance on the Implementation of FATCA and Related Withholding Provisions
      • FATCA Relevant Links 
    • Cost Basis – Sign up for Cost Basis Alerts
      • Jun 02, 2014: CBRS005.14 - Layout Changes for November Release
      • Mar 31, 2014: FIF Comment Letter on the 2014 Instructions for Form 1099-B Proceeds From Broker and Barter Exchange Transactions
      • Cost Basis Relevant Links
      • Nov 18, 2013: New Draft Forms Released
  • FIF Regulatory Initiatives Tracking Summary
  • FIF Monthly Reports
    • FIF Market Share Report
    • FIF Market Dynamics Report
    • Market Share & Market Dynamics Executive Summary
  • Register for June 17 FIF Event: A Constructive Conversation on Market Structure, Sponsored by Equinix
  • Next Meeting Date: Tuesday, July 8th @ 11 AM ET