Home Committees Back Office Representative Agendas March 10, 2015 - Back Office Meeting Agenda

March 10, 2015 - Back Office Meeting Agenda

Meeting Agenda

  • DTCC Updates
    • NSCC Updates
      • Mar 6, 2015: A7994 - DTCC Limit Monitoring Enhancements - March 2015
      • Feb 20, 2015: A7985 - Consolidated Trade Summary Re-Write Customer Business Requirements
      • Feb 12, 2015: A7982 - NSCC Settlement Eligibility for T+1 Settlement Cycle Corporate Bond, Municipal Bond, UIT (CMU) Real Time Trade Matching (RTTM) Trades
    • FICC Updates
      • Feb 24, 2015: MBS030-15 - May 18, 2015 Capped Contingency Liquidity Facility ("CCLF®") Test
    • DTC Updates
      • Mar 6, 2015: B0322-15 - Enhancements to Corporate Actions Web (CA Web) Screens Will Take Effect on March 13, 2015
      • Mar 3, 2015: B0294-15 - Reminder - Spinoffs Increasing Memo Segregation for Option 1 Clients
      • Mar 3, 2015: B0293-15 - Historical Settlement Dates on Deliver Orders - Revised
      • Feb 25, 2015: B0242-15 - Reminder - Settlement Matching Phase 4
      • Feb 24, 2015: SR-DTC-2015-01 - Notice of Filing of Proposed Rule Change to Discontinue the Prospectus Repository System Service
    • Meeting with DTCC/FINRA on Real-Time Clearing: Friday, March 20th, 2015 @ 10 AM ET
  • TRACE 
    • ATS Reporting
      • Feb 20, 2015: Fixed Income TRACE ATS Identifiers
      • FIF/FIX Regulatory Reporting Working Group Update
    • Technical Changes
      • Mar 3, 2015: P602504 - Revised Date - TRACE ABS Dissemination and Related Reporting and Data Feed Changes.  See also FIF TRACE ABS Delay Request Sent to FINRA
      • Feb 26, 2015: Revised TRACE New Issue Form Notice
      • Feb 23, 2015: Reminder - TRACE Reference Data Changes
      • Feb 17, 2015: Testing Debt Type Code
      • Feb 9, 2015: Regulatory Notice 15-04 - FINRA Requests Comment on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products
  • Treasury Updates
    • Jan 7, 2015: Qualified Financial Contracts Recordkeeping Related to Orderly Liquidation Authority
  • Extended Trading Hours Updates
    • Mar 2, 2015: RG15-033 - Additional Extended Trading Hours Session Testing
    • Feb 27, 2015: RG15-032 - Give Up of Clearing Trading Permit Holders for Extended Trading Hours
    • Feb 26, 2015: RG15-029 - Operational Settings for Extended Trading Hours Session - Updated
    • Feb 23, 2015: OCC Memo 36283 - Reminder - Extended Trading Hours For Futures and Options Markets
    • Feb 19, 2015: OCC Memo 36255 - FIXML Conversion Extension
    • Feb 12, 2015: SR-OCC-2014-24 - Order Approving Proposed Rule Change Concerning Extended and Overnight Trading Sessions.  See also 34-74268 and 34-73907.
  • FIF Working Group Updates - Sign up for any FIF Working GroupFIF Regulatory Initiatives Tracking Summary 
    • Cost Basis WG
      • Next Meeting Date: Thursday, March 5th, 2015 @ 11:00 AM EST
    • Market Stability/Reg SCI WG
      • Recap of OCIE Update on Cybersecurity
      • SEC Staff Response to Initial FIF Questions
    • FINRA CARDS WG
      • Senator Crapo Letter on FINRA CARDS
      • Comment Letters Submitted to FINRA on CARDS
    • Consolidated Audit Trail WG
      • Updated Clock Sync Survey Results 
      • Exemptive Relief Requests
      • Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission
  • FIF Regulatory Initiatives Tracking Summary 
  • FIF Monthly Reports
    • FIF Market Share Report
    • FIF Market Dynamics Report
    • Market Share Executive Summary
    • Market Dynamics Executive Summary
  • Thursday, March 26th, 2015:  FIF 2015 Consolidated Audit Trail Event Sponsored by BNP Paribas