Committees
- Back Office
- Data & Technology
- Overview
- Member Resources
- Front Office
February 10, 2015 - Back Office Meeting Agenda
Meeting Agenda
- DTCC Updates
- NSCC Updates
- Feb 5, 2015: A7980 - Updates to the CNS Equity Master File - Autoroute# 02040290
- Jan 30, 2015: A7973 - NSCC Fund/Serv Security Issue ID and Member Profile Modify Forms to be Reallocated to the DTCC Web Portal
- Jan 22, 2015: A7969 - NSCC Rule Filing (SR-NSCC-2014-12) - SEC Approval to Discontinue the Analytic Reporting Service of the Insurance and Retirement Processing Services
- FICC Updates
- Jan 28, 2015: GOV014-15 - Notice of Rule Filing Approval SR-FICC-2014-11 - to Amend the GSD Rulebook & the NBSD Clearing Rules
- Jan 15, 2015: GOV012-15 & MBS013-15 - Notice of Rule Filing Approval - SR-FICC-2014-06 - to Amend the GSD/MBSD Rules on Insolvency and Ceasing to Act
- DTC Updates
- Jan 26, 2015: B0095-15 - Reminder - Settlement Matching Phase 4
- Jan 21, 2015: B0094-15 - Historical Settlement Dates on Delivery Orders
- Corporate Action Updates
- Jan 30, 2015: B0135-15 - Spinoffs Increasing Memo Segregation for Option 1 Clients
- Jan 28, 2015: B0134-15 - User Guide: ISO 20022 Messaging for Entitlements and Allocations Corporate Actions Distributions Lifecycle, Now Available
- Jan 28, 2015: B0090-15 - Additional Dates for Corporate Actions Web (CA Web) Q&A Sessions
- Jan 22, 2015: B0111-15 - Enhancements to Corporate Actions Web (CA Web) Composite Search Functionality and Modifications to Screen Displays Will Take Effect in Mid-February 2015
- Jan 15, 2015: B0063-15 - DTC Price Field Removed From Certain Corporate Actions Web (CA Web) Payouts on Allocations Overview Search Results Pages
- NSCC Updates
- TRACE
- Feb 6, 2015: FINRA TRACE Dissemination Migration
- Feb 2, 2015: Revised TRACE Corporate and Agency Debt Securitized Products Web User Guide Specifications
- Jan 30, 2015: FIF Meeting Materials for Follow-up Discussion on TRACE
- Jan 23, 2015: TRACE Reference Data and New Issue Form Changes
- Jan 14, 2015: Update: Changes for Securitized Products and Corporate and Agency Debt Reporting and Dissemination
- New Specifications for FINRA TRACE
- 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
- FINRA Updates
- Feb 6, 2015: Regulatory Notice 15-03 - FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
- Jan 27, 2015: OATS File Transmission Encryption Protocol Changes
- Jan 20, 2015: New Rate for Fees Paid Under Section 31 of the Exchange Act
- Jan 2, 2015: Regulatory Notice 15-02 - SEC Approves Amendments to FINRA Rule 2310 and NASD Rule 2340 to Address Values of Direct Participation Program and Unlisted Real Estate Investment Trust Securities
- MSRB Updates
- Feb 2, 2015: MSRB Holds Quarterly Board Meeting
- Jan 20, 2015: FIF Comment Letter on MSRB Notice 2014-20 & FINRA Notice 14-52
- OCC Updates
- Jan 26, 2015: SR-OCC-2015-02 - Notice of Filing of a Proposed Rule Change Concerning a Proposed Capital Plan for Raising Additional Capital That Would Support the Options Clearing Corporation's Function as a Systematically Important Financial Market Utility
- Jan 21, 2015: OCC Memo 36085 - Options Disclosure Document Notice
- Jan 9, 2015: OCC Memo 36016 - Extended Trading Hours for Futures and Options Markets. See also: CBOE RG15-013 & CBOE RG15-014
- Cybersecurity
- Feb 3, 2015: FINRA Report on Cybersecurity Practices
- Feb 3, 2015: SEC Alerts Investors, Industry on Cybersecurity. See also Risk Alert & Investor Bulletin
- FIF Working Group Updates - Sign up for any FIF Working Group
- Cost Basis WG
- Next Meeting Date: Thursday, March 5th, 2015 @ 11:00 AM EST
- Consolidated Audit Trail WG
- Clock Sync Survey
- Exemptive Relief Requests
- Amended CAT NMS Plan Expected
- Cost Basis WG
- 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 Quarterly Event Sponsored by BNP Paribas