May 12, 2015 - Back Office Meeting Agenda

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • May 5, 2015: B0851-15 - Rule Filing SR-DTC-2015-005 - Updates to DTC Custody and Deposits Services Guide
      • Apr 29, 2015: SR-DTC-2015-003 - Notice of Filing of Proposed Rule Change Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks.  See also: B-0696-15.
      • Apr 10, 2015: SR-DTC-2015-01 - Order Approving Proposed Rule Change to Discontinue the Prospectus Repository System Service
    • FICC Updates
      • May 8, 2015: GOV034-15 - Submission of FICC Rule Filing 2015-002 - Extension of the Current GCF Repo® Service Pilot Program
      • Apr 27, 2015: MBS057-15 - Submission of Rule Filing - SR-FICC-2015-001 - to Clarify MBSD Rule 17A ("Corporation Default Rule")
    • NSCC Updates
      • May 5, 2015: A#8025 - NSCC Rule Filing (SR-NSCC-2015-002)
      • Mar 26, 2015: A-8009 - Trade Capture Input Changes in 2015
  • Update on Questions For DTCC and FINRA on Real Time Clearing
    • Next Meeting Date: Monday, June 1st @ 10 AM ET
  • FINRA TRACE Updates
    • May 11, 2015: TRACE ABS Dissemination and Related Reporting and Data Feed Changes User Acceptance Test – May 16, 2015
    • May 6, 2015: FINRA Reg Notice 15-14 - SEC Approves Amendments to Require Firms to Identify Transactions With Non-Member Affiliates in TRACE Trade Reports
    • Apr 27, 2015: TRACE ABS and ABSX Reference Data Availability
    • Apr 22, 2015: Revised TRACE Corporate and Agency Debt and Securitized Products API Specifications 
    • Apr 21, 2015: TRAQS Web Services to Migrate from Secure Socket Layer (SSL) 3.0 Protocol
    • Apr 21, 2015: Reminder – TRACE ABS Dissemination Test Period Begins April 22, 2015
    • Revised Date: June 1st, 2015 - TRACE ABS Dissemination and Related Reporting and Data Feed Changes. See also FIF TRACE ABS Delay Request Sent to FINRA.
    • Apr 20, 2015: Feedback from the Discussion of Implementation Timeframe.  See also: SR-FINRA-2014-050.
    • FIF Comment Letter on a Proposal to Disseminate Additional Securitized Products and to Reduce the Reporting Time Frame for These Products. See also: Regulatory Notice 15-04.
  • FINRA Updates
    • Apr 30, 2015: SR-FINRA-2015-010 - Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
  • MSRB Updates
    • Apr 27, 2015: Discussion Document on SR-MSRB-2015-02 – Notice of Filing of a Proposed Rule Change Consisting of Proposed Amendments to the MSRB Rule G-14 RTRS Procedures, and the Real-Time Transaction Reporting System and Subscription Service.  See also: SR-MSRB-2015-02.
    • MSRB Board of Directors Meeting Summary 
  • Exchange-Traded Managed Funds
    • Exchange-Traded Managed Funds
    • Frequently Asked Questions: Exchange-Traded Managed Funds
  • Treasury Updates
    • Apr 9, 2015: TMPG Releases Consultative White Paper on Automated Trading in Treasury Market and Proposes Best Practice Guidance.  See also: Automated Trading in Treasury Markets White Paper.
    • Apr 1, 2015: TMPG Meeting Minutes
  • FIF Working Group Updates - Sign up for any FIF Working Group 
    • Consolidated Audit Trail (CAT) WG
      • Next Meeting Date: Friday, May 15th, 2015 @ 3:00 PM ET
    • LOPR WG
      • Next Meeting Date: Thursday, May 14th, 2015 @ 10:00 AM ET
    • Cost Basis WG
      • REG-143040-14 - Reporting of Original Issue Discount on Tax-Exempt Obligations; Basis and Transfer Reporting by Securities Brokers for Debt Instruments and Options
      • TD 9713 - Reporting for Premium; Basis Reporting by Securities Brokers and Basis Determination for Debt Instruments and Options
      • Next Meeting Date: Thursday, June 4th, 2015 @ 11:00 AM ET
  • FIF Regulatory Initiatives Tracking Summary
  • FIF Monthly Reports
    • FIF Market Share Report
    • FIF Market Dynamics Report
    • Market Share Executive Summary
    • Market Dynamics Executive Summary