August 12, 2014 - Back Office Meeting Agenda

Meeting Agenda

      • DTCC Updates
        • NSCC Updates
          • Aug 05, 2014: A7880 - Member Financial Responsibility and Operational Capability Notification Requirements
          • Aug 05, 2014: A7881 - Reminder: Exchange Traded Funds Rewrite Implementation Deadline - September 30, 2014
          • Aug 01, 2014: A7879 - Year 2014 Obligation Warehouse Recaps Schedule
          • Jul 31, 2014: A7876 - MFPSII Profile Security Database Comparison Tool - Scorecard Report Implementation
          • Jul 31, 2014: A7875 - NASDAQ TRF - Universal Trade Capture Testing and Implementation
          • Jul 31, 2014: A7874 - Implementation of Corporate Action Processing on SMART/Track for Corporate Actions
          • Jul 28, 2014: A7873 - Rule Filing Approval SR-NSCC-2014-07 – Approval to Implement New Scorecard Feature to Mutual Fund Profile Service; See also SR-NSCC-2014-07)
          • Jul 18, 2014: A7871 - Foreign Transaction Processing Changes
          • Jul 17, 2014: A7869 - Participant Testing of the Reversal of ACATS Obligations
        • DTC Updates
          • Aug 05, 2014: B1262-14 - Participant Financial Responsibility and Operational Capability Notification Requirements
          • Jul 16, 2014: B1372-14 - DTCC Corporate Actions Transformation – Schedule of Monthly Industry Calls
          • Jul 10, 2014: B1386-14 - Approval of Rule Filing SR-DTC-2014-06 – Settlement Matching (Phase 3); See also SR-DTC-2014-06
        • FICC Updates
          • Aug 05, 2014: GOV050-14 - Important Reporting Requirements; See also MBS102-14
      • Money Market Reform Updates
        • Jul 23, 2014: 33-9616 - Money Market Fund Reform; Amendments to Form PF (Final Rule); See also IC-31184 (Proposed Rule)
        • Next Meeting Date: Wednesday, August 27th @ 11 AM ET
      • Large Position Reporting Updates
        • Jun 10, 2014: Government Securities Act Regulations: Large Position Reporting Rules - This proposed rule would amend Treasury’s Large Position Reporting rules to improve the information available to Treasury and simplify the reporting process for many entities subject to the rules. The comment period closes on August 9, 2014.
      • LOPR Updates 
        • Jul 14, 2014: Large Options Positions Reporting (LOPR) Reference Guide for LOPR Firms Version 1.11
      • European T+2 Settlement Updates
        • Aug 11, 2014: European T+2 Settlement Impact on OTC Equities FIF Aug 5, 2014 Meeting Notes
      • MSRB Updates
        • Aug 05, 2014: MSRB Holds Quarterly Meeting
        • Jul 29, 2014: SR-MSRB-2014-06 - Notice of Filing of a Proposed Rule Change Consisting of Proposed New Rule G-44, on Supervisory and Compliance Obligations of Municipal Advisors; Proposed Amendments to Rule G-8, on Books and Records to be Made by Brokers, Dealers and Municipal Securities Dealers; and Proposed Amendments to Rule G-9, on Preservation of Records
      • Options Updates
        • Aug 07, 2014: 35075 - CBOE Extended Trading Hours (See Attached)
        • Jul 30, 2014: SR-OCC-2014-16 - Notice of Filing of Proposed Rule Change to Apply Enhanced Post-Trade Price Reasonableness Checks on Confirmed Trades in Standardized Options and Futures Options to Increase the Likelihood that Erroneous Trades will be Identified and Voided
        • Jul 25, 2014: SR-OCC-2014-15 - Notice of Filing of Proposed Rule Change to Process All Sell Transactions Prior to the Exercise of Long Options in Market-Maker Accounts to Ensure that Only Net Long Positions May Be Exercised
        • Jul 25, 2014: 35021 - Proposed Net Long Exercise Policy - Update
        • Jul 24, 2014: 35014 - 2014 Industry Wide Business Continuity Test
        • Jul 14, 2014: 34934 - Delta Position Limit Acknowledgement Messages
        • Jul 14, 2014: 34931 - DDS In-Concert LOPR Snapshot Enhancement
        • Jul 10, 2014: 34919 - Mandate Customer ID on Post Trade CMTA Transfers
      • FIF Working Group Updates 
        • CARDS WG
          • Awaiting Next Reg Notice
          • See Regulatory Notice 13-42 and Comment Letters here
        • Consolidated Audit Trail WG - Sign up for CAT Alerts
          • Aug 05, 2014: Allowing for Optional Use of Order ID on Allocation Report - Exemptive Relief Request Discussion Document; See also CAT Supplementary Materials
          • Jul 23, 2014: Notes from DAG Meeting
          • FIF CAT WG Meeting with Thesys: Tuesday, August 19th @ 3:00 PM ET
        • Large Trader Reporting WG/EBS Subgroup - Sign up for Large Trader Alerts
          • Jul 01, 2014: FIF Large Trader & Options Draft Relief Request
        • Cost Basis
          • Next Meeting Date: Thursday, August 14th @ 11:00 AM ET
        • FATCA WG - Sign up for FATCA WG Alerts
          • Jul 16, 2014: Instructions for the Requester of Forms W-8BEN, W-8BEN-E, W-8ECI, W-8EXP, and W-8IMY
          • 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
  • FIF Regulatory Initiatives Tracking Summary Excerpt - August 2014 Milestones

FIF Monthly Reports

      • FIF Market Share Report
      • FIF Market Dynamics Report
      • Market Share & Market Dynamics Executive Summary
  • Next Meeting Date: Tuesday, September 9th @ 11 AM ET