Dec 9, 2014 - Back Office Meeting Agenda

Meeting Agenda

    • DTCC Updates
      • NSCC Updates
        • Dec 8, 2014: A7947 - Universal Trade Capture Exchange Testing and Implementation
        • Dec 1, 2014: A7936 - Elimination of ID Offset - Phase Three
        • Nov 21, 2014: A7934 - DTCC Limit Monitoring Enhancements
        • Nov 17, 2014: A7932 - DTCC Limit Monitoring Enhancements
        • Nov 12, 2014: A7929 - Consolidated Trade Summary (CTS) Re-Write Survey
      • FICC Updates
        • Dec 3, 2014: GOV091-14 - Submission of Rule Filing SR-FICC-2014-11. See also: MBS180-14
        • Nov 24, 2014: MBS168-14 - MBSD Novation Update
      • DTC Updates
        • Dec 2, 2014: B2329-14 - Additional Dates for Corporate Actions Web (CA Web) Q&A Sessions
        • Nov 19, 2014: B2195-14 - DTC To Launch a Direct Link to Web Inquiry Notification Service (WINS) From Corporate Actions Web (CA Web) For Distribution Events
        • Nov 17, 2014: B2220-14 - Settling Bank Statements in the Settlement Web
    • OCC Updates
      • Nov 26, 2014: #35722 - Mandate Customer ID On Post Trade CMTA Transfers
    • MSRB/FINRA Proposal Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions
      • Next Meeting Date: Friday, December 19th @ 11 AM ET
      • Dec 18, 2014: MSRB and FINRA to Host Webinar on Proposals to Provide Pricing Reference Information to Investors Event Date and Time: Thursday Dec.18th @ 3:00-4:00 PM ET
        See Also: Press Release
      • Nov 17, 2014: FINRA and MSRB Release Proposals to Provide Pricing Reference Information for Investors in Fixed Income Securities. See Also: MSRB Press Release, FINRA Press Release
      • Nov 17, 2014: Regulatory Notice 14-52 - FINRA Requests Comment on a Proposed Rule Requiring Confirmation Disclosure of Pricing Information in Fixed Income Securities Transactions. Comment Period Expires: January 20, 2015
      • Nov 17, 2014: MSRB2014-20 - Request for Comment on Draft Rule Amendments to Require Dealers to Provide Pricing Reference Information on Retail Customer Confirmations
    • MSRB Updates
      • Dec 8, 2014: MSRB2014-22 - SEC Approves MSRB Rule G-18 on Best Execution of Transactions in Municipal Securities and Related Amendments to Exempt Transactions with Sophisticated Municipal Market Professionals . See Also: SR-MSRB-2014-07
    • FINRA TRACE
      • Dec 5, 2014: SR-FINRA-2014-050 - Notice of Filing of a Proposed Rule Change to Amend TRACE Rules to Require Members to Identify Transactions with non-Member Affiliates and to Change How FINRA Disseminates a Subset of Such Transactions
      • Nov 21, 2014: SR-FINRA-2014-050 - Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine)
      • Nov 21, 2014: Regulatory Notice 14-53 - FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
    • Additional FINRA Updates
      • Nov 14, 2014: Regulatory Notice 14-51 - OATS and ATS Reporting Requirements
      • Nov 12, 2014: Regulatory Notice 14-47 - FINRA Requests Comment on a Proposal to Tighten Business Clock Syncronization Requirements. Comment Period Ends: Friday, January 9th, 2015
    • FIF Working Group Updates - Sign up for any FIF Working Group
      • CARDS WG
        • FIF Comment Letter Submitted
      • Consolidated Audit Trail WG
        • Next Meeting Date: Friday, December 12th @ 11:00 AM ET 
        • Industry DAG Meeting with the SEC
        • Clock Synch and Other Requests for Information
      • Market Stability/Regulation SCI
        • Next Meeting Date: Thursday December 11th @ 1:00 PM ET