July 08, 2014 - Back Office Meeting Agenda

Meeting Agenda

      • DTCC Updates
        • CBRS Updates
          • Jul 01, 2014: CBRS006.14 - CBRS Enhancements Planned for Production July 11, 2014
        • NSCC Updates
          • Jul 01, 2014: A7863 - Year 2014 Obligation Warehouse Recaps Schedule
          • Jun 24, 2014: A7861 - Implementation of Corporate Action Processing on SMART/Track for CNS Corporate Actions
          • Jun 18, 2014: A7858 - Launch Date for Replatforming Initiative for Corporate Bond, Municipal Bond, UIT (CMU) Real Time Trade Matching (RTTM) System
        • DTC Updates
          • Jun 24, 2014: B1285-14 - Settlement Matching Update – Drops and Code Sets
          • Jun 19, 2014: SR-DTC-2014-08 - Notice of Filing of Proposed Rule Change to Transfer the NIIDS Service to a Non-Clearing Agency Affiliate
          • Jun 18, 2014: B1191-14 - Corporate Actions Web (CA Web) Parallel Testing Period Begins on June 23, 2014
          • Jun 13, 2014: SR-DTC-2013-11 - Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether the Approve or Disapprove Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends to Impose Restrictions on the Further Deposit and/or Book Entry Transfer of Those Securities
          • Jun 12, 2014: B1007-14 - Corporate Actions Web - Event Archive
      • FINRA Updates
        • OATS/Trade Reporting WG 
          • Partial Cancel Discussion
          • Jun 11, 2014: Amendments to the Criteria for the Exclusion to the Definition of an OATS Reporting Member
        • Interpretations of the Financial and Operational Rules
          • Jun 23, 2014: Regulatory Notice 14-25 - FINRA Announces Updates of the Interpretations of Financial and Operational Rules
        • Pending FINRA Initiatives 
          • Waiting on FINRA to respond to FINRA Rule 4210 - TBA Margining
        • Additional FINRA Updates
          • Jun 26, 2014: SR-FINRA-2014-027 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Options Exercise Procedures; See also SR-FINRA-2014-027
          • Jun 23, 2014: SR-FINRA-2014-029 - Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
      • MSRB Updates
        • Jun 25, 2014: FIF Review of MSRB Update on Trade Reporting
      • SEC Updates
        • Jun 20, 2014: Intermediation in the Modern Securities Markets: Putting Technology and Competition to Work for Investors
      • TMPG Updates
        • Jun 13, 2014: Frequently Asked Questions: TMPG Fails Charges 
        • Jun 13, 2014: Frequently Asked Questions: Margining Agency MBS Transactions
      • Options Updates
        • Jul 01, 2014: 34883 - OCC Exchange Input Time Change (See Attached)
        • Jun 29, 2014: 34872 - Limits on Equity Collateral Pledged as Margin (See Attached)
        • Jun 26, 2014: 34855 - Proposed Net Long Exercise (See Attached)
        • Jun 13, 2014: 34779 - Updated - DDS Changes - Collateral Response for Margin Requirements Haircut (See Attached)
        • Jun 13, 2014: 34778 - Extended Trading Hours - CFE and CBOE (See Attached); See also Regulatory Circular RG14-092
      • FIF Working Group Updates 
        • CARDS WG
          • See Regulatory Notice 13-42 and Comment Letters here
        • Symbology WG
        • Consolidated Audit Trail WG - Sign up for CAT Alerts
          • July 9, 2014 CAT Cost Study Webinar
          • Jul 01, 2014: SROs Select Short List Bids for the Consolidated Audit Trail
          • Jun 30, 2014: Cost Study FAQ
          • Jun 23, 2014: SROs Launch Study to Analyze Implementation Cost of the Consolidated Audit Trail - Industry Feedback Sought to Help Determine Data Collection Costs Deadline for Submission is August 6, 2014
          • Jun 23, 2014: SEC Rule 613 – Consolidated Audit Trail (CAT) Cost Study Overview and Assumptions 
          • Jun 23, 2014: CAT NMS Cost to CAT Reporters Data Collection
        • Large Trader Reporting WG/EBS Subgroup - Sign up for Large Trader Alerts
          • Jul 01, 2014: FIF Large Trader & Options Draft Relief Request
        • 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 20, 2014: Instructions for Form W-8BEN-E
          • Jun 18, 2014: Instructions for Form W-8IMY
          • Jun 02, 2014: FATCA Foreign Financial Institution (FFI) List Search and Download Tool
          • FATCA Relevant Links
        • Cost Basis – Sign up for Cost Basis Alerts
          • 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
  • FIF Regulatory Initiatives Tracking Summary Excerpt - July 2014 Milestones 
    • FIF Monthly Reports
      • FIF Market Share Report
      • FIF Market Dynamics Report
      • Market Share & Market Dynamics Executive Summary
  • Next Meeting Date: Tuesday, August 12th @ 11 AM ET