Jan 13, 2015 - Back Office Meeting Agenda

Meeting Agenda

  • DTCC Updates
    • FICC Updates
      • GSD Settlement Logic Changes
    • NSCC Updates
      • Jan 6, 2015: A7963 - Universal Trade Capture Exchange Information
      • Jan 3, 2015: A7962 - Exchange Traded Fund Input & Output Time Frames
      • Jan 2, 2015: A7960- Year 2015 Obligation Warehouse Recaps Schedule
    • DTC Updates
      • Jan 8, 2015: B0041-15 - Retirement of PTS Function SDAR (Dept. D Only) and Its PBS Equivalent Will Occur On January 19, 2015
      • Jan 6, 2015: B2271-14 - Production Support for Transmission of ISO 20022 Corporate Actions Messages
      • Dec 18, 2014: B2409-14 - Corporate Actions Identifier (CA ID) Expands to 9 Digits
      • Dec 17, 2014: SR-DTC-2014-12 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change in Connection with the Amendment of the Existing Dividends Service Guide
      • Dec 15, 2014: B2359-14 - Settlement Matching -- Phase 4 Implementation
      • Dec 10, 2014: SR-DTC-2014-10 - Order Approving Proposed Rule Change in Connection with the Modifications to Require Receiver Authorized Delivery Approval for DTC Processing of Institutional Delivery Transactions
  • TRACE - Regulatory 
    • Dec 11, 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 ATSs and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
  • TRACE - Specification/FAQs Updates
    • Dec 30, 2014: FINRA Securitized Products Changes
    • Dec 17, 2014: Changes to Securitized Products and Corporate and Agency Debt Reporting and Dissemination
    • New Specifications for FINRA TRACE
    • Update to FINRA TRACE FAQs
  • FINRA Updates
    • Jan 6, 2015: 2015 Exam Priorities Overview See Also: Regulatory and Examination Priorities Letter
    • Dec 30, 2014: 2015 and First Quarter of 2016 Report Filing Due Dates: Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
    • Dec 23, 2014: 2015 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
  • LOPR
    • Dec 17, 2014: SR-FINRA-2014-051 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to In Concert Reporting of Options Positions
  • MSRB Updates
    • Jan 6, 2015: MSRB 2015-02 - Amendments to EMMA Continuing Disclosure Service to Add Asset-Backed Securities Disclosures Under Securities Exchange Act Rule 15Ga-1. Effective January 9, 2015
  • OCC Updates
    • Dec 22, 2014: SR-OCC-2014-24 - Notice of Filing of Proposed Rule Change Concerning Extended and Overnight Trading Sessions
  • FIF Working Group Updates - Sign up for any FIF Working Group
    • Cost Basis WG
      • Next Meeting Date: Thursday, February 5th, 2015 @ 11:00 AM EST
    • MSRB/FINRA Pricing Reference Information Comment Letter Review
      • Next Meeting: Wednesday, January 14th 2015 @ 2:00 PM EST
    • CARDS WG
      • SIFMA Survey Shows the Majority of Investors Are Opposed to FINRA's CARDS Proposal
      • See All Comment Letters Here
    • Consolidated Audit Trail WG
      • Industry DAG Meeting with the SEC
      • Exemptive Relief Requests
    • Clock Synch Survey
      • Reminder: Responses Due - January 9th, 2015
    • FINRA Equity Trading Initiatives
      • Comment Period Extended to Feb. 20, 2015
    • Market Stability/Regulation SCI
      • Next Meeting Date: Tuesday, January 13th, 2015 @ 3:30 PM EST
  • FIF Regulatory Initiatives Tracking Summary 
  • FIF Monthly Reports
    • FIF Market Share Report
    • FIF Market Dynamics Report
    • Market Share Executive Summary
    • Market Dynamics Executive Summary