Oct 14, 2014 - Back Office Meeting Agenda

Meeting Agenda

    • DTCC Updates
      • NSCC Updates
        • Oct 6, 2014: A7910 - Obligation Warehouse Enhancement Production Date October 31, 2014
        • Oct 1, 2014: A7906 - Year 2014 Obligation Warehouse Recaps Schedule
        • Sep 24, 2014: A7904 - Year 2015 Obligation Warehouse RECAPS Schedule
        • Sep 17, 2014: A7901 - Exchange Traded Funds Rewrite Implementation Deadline - Extended to Friday, October 31, 2014
        • Sep 12, 2014: CBRS007.14 - Timeline for CBRS modifications
        • Sep 12, 2014: A7898 - Elimination of ID Offset - Announcement of NSCC's Upcoming Third Parallel Period
        • Sep 10, 2014: A7897 - Testing Available for Obligation Warehouse Enhancement
      • DTC Updates
        • Sep 29, 2014: B1935-14 - Settlement Matching-- Progress to Date and Next Steps
        • Sep 25, 2014: B1646-14 - Destruction of Non-Transferable Securities Certificates 101st Cycle
        • Sep 10, 2014: B1648-14 - Rule Filing SR-DTC-2014-09-- Transition of Certain PTS/PBS Functions for Corporate Action Distribution Events to Corporate Actions Web
      • FICC Updates
        • Oct 2, 2014: GOV072-14 - Foreign affiliate trading reporting requirement-- reminder
        • Sep 30, 2014: GOV071-14 - Submission of Rule Filing SR-FICC-2014-06-- to Amend the GSD Rules on Insolvency and Ceasing to Act. See also MBS149-14 and GOV067-14
        • Sep 15, 2014: GOV068-14 - Data Required re: FICC's Inter-Bank GCF Repo Service
    • FINRA Updates
      • Oct 6, 2014: Regulatory Notice 14-38 - FINRA Announces Updates of the Interpretations of Financial and Operational Rules
      • Sep 16, 2014: Regulatory Notice 14-35 - FINRA Requests Comment on a Revised Proposal to Adopt Consolidated FINRA Rule 2231. (Customer Account Statements) Comment letter period extended to Oct 31, 2014.
    • MSRB Updates
      • Sep 8, 2014: 2014-16 - MSRB Seeks Input on Strategic Priorities. Comment Period ends October 23, 2014.
    • Options Updates
      • Sep 5, 2014: DDS Final Underlying Prices
      • Sep 18, 2014: SR-OCC-2014-16 - Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, 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. 
    • FIF Working Group Updates - Sign up for any FIF Working Group
      • CARDS WG
        • Next Working Group Meeting with FINRA: Thursday, October 16th @ 2:00 PM ET
        • Sep 30, 2014: Regulatory Notice 14-37 - FINRA Requests comment on a Rule Proposal to Implement the Comprehensive Automated Risk Data System
      • Consolidated Audit Trail WG
        • Next CAT WG Meeting: Tuesday, October 21st @ 11:00 AM ET
        • Oct 1, 2014: Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission
      • Money Market Reform WG
        • Money Market Reform Relevant Links
        • Next Meeting Date: October 22 TBD
      • FIF OATS WG
        • Oct 2, 2014: SR-FINRA-2014-039 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of the Trade Reporting Amendments Approved Pursuant to SR-FINRA-2013-050
        • Sep 18, 2014: OATS Industry Call FIF Notes
      • Cost Basis WG
        • Next Meeting Date: Thursday, November 6th @ 11:00 AM ET
  • FIF Regulatory Initiatives Tracking Summary 
  • FIF Monthly Reports
    • FIF Market Share Report
    • FIF Market Dynamics Report
    • Market Share Executive Summary
    • Market Dynamics Executive Summary
  • FIF 2014 Regulatory Reporting Event Sponsored by Broadridge: Thursday, October 23, 2014 @ 4:15 PM ET