Nov 11, 2014 - Back Office Meeting Agenda

Meeting Agenda

    • DTCC Updates
      • NSCC Updates
        • Nov 03, 2014: A7923 - Universal Trade Capture Exchange Testing and Implementation
        • Oct 30, 2014: A7918 - Universal Trade Capture Sending Entity Validation
        • Oct 16, 2014: A7913 - DTCC Limit Monitoring Enhancements
      • FICC Updates
        • Oct 21, 2014: GOV073-14 - Notice of Rule Filing and Advance Notice Approval - SR-FICC-2014-01 and SR-FICC-2014-801-- GSD'S inclusion of GCF Repo positions in its intraday participant Clearing Fund requirement calculation, and its hourly internal surveillance cycles REVISED
        • Oct 15, 2014: MBS150-14 - Submission of Rule Filing SR-FICC-2014-07-- establishment of a membership category and minimum financial requirements for insured credit unions
      • DTC Updates

§  Nov 6, 2014: B2179-14 - Updating memo Segregation for Globally Locked CUSIPs

§  Oct 28, 2014: SR-DTC-2014-10 - Notice of Filing of Proposed Rule Change in Connection with the Modifications to Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions

      • Oct 16, 2014: T+2 - Industry Steering Committee and Working Group Formed to Drive Implementation of T+2 in the U.S.
    • OCC Updates
      • Oct 30, 2014: OCC Information Memo #35488 - Proposed Net Long Exercise Policy-- Update. See also: Oct 27, 2014: SR-OCC-2014-15 - Order Approving 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
    • FINRA Updates
      • Oct 23, 2014: Regulatory Notice 14-43 -  SEC Approves Supplemental Inventory Schedule. Implementation Date: The initial Supplemental Inventory Schedule disclosing inventory positions as of December 31, 2014, must be filed with FINRA on or before January 30, 2015 See Also: Oct 21, 2014: SR-FINRA-2014-044
    • MSRB Updates
      • Nov 3, 2014: MSRB Quarterly Board Meeting October 29-31, 2014
      • Oct 24, 2014: MSRB-2014-19 - SEC Approves MSRB Rule G-44 on Supervisory and Compliance Obligations of Municipal Advisors, and Amendments to MSRB Rules G-8 and G-9. See also: Oct 23, 2014: SR-MSRB-2014-06
    • FIF Working Group Updates - Sign up for any FIF Working Group
      • CARDS WG
        • Next Working Group Meeting: Thursday, November 13th @ 2PM ET

§  Nov 6, 2014: FINRA Investor Survey Reveals Strong Support for Additional Regulatory Protections

        • Regulatory Notice 14-37: Comment Period Expires: December 1, 2014
      • Consolidated Audit Trail WG
        • Next CAT WG Meeting: Thursday, November 13th @ 4:00 PM ET
      • Money Market Reform WG

§  Next Meeting Date: Wednesday, November 19th @ 2:00 PM ET

        • Money Market Reform Relevant Links
      • Cost Basis WG
        • Next Meeting Date: Thursday, December 4th @ 11:00 AM ET