June 9, 2015 - Back Office Meeting Agenda

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • Jun 5, 2015: B1057-15 - Reduction in DTCC's Web-based Application Idle Time
      • Jun 2, 2015: SR-DTC-2015-007 - Notice of Filing of Proposed Rule Change Regarding the Discontinuance of the Distribution of Fractional Shares in Respect of Corporate Actions for New Issues in DTC's System
      • Jun 1, 2015: White Paper on “CCP Resiliency and Resources”
      • May 27, 2015: B1000-15 - Enhancements to Web Inquiry Notification System (WINS) Will Take Effect on May 29, 2015
      • May 21, 2015: SR-DTC-2015-006 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify that Participants are Required to Participate in Operational Testing by DTC, Including Testing of DTC's Business Continuity and Disaster Recovery Plans
      • May 12, 2015: SR-DTC-2015-005 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Revisions to the DTC Custody Service Guide and the DTC Deposits Service Guide
    • NSCC Updates
      • Jun 3, 2015: A#8039 - Independence Day Holiday Schedule
      • Jun 1, 2015: A#8036 - Year 2015 Obligation Warehouse Recaps Schedule 
      • May 19, 2015: A#8033 - I&RS 2015 September Enhancement Release
      • May 14, 2015: SR-NSCC-2015-002 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify NSCC's Rules & Procedures Relating to the Process by Which NSCC Members Submit Buy-Ins Within NSCC's Continuous Net Settlement System
    • June 1, 2015: DTCC and FINRA Responses to FIF Real-Time Clearing Questions
  • FINRA Updates
    • TRACE Updates
      • May 19, 2015: Technical Specifications for TRACE Reporting and Dissemination of Non-Member Affiliate Transactions
      • May 19, 2015: SR-FINRA-2015-012 - Proposed Rule Change to Clarify the Scope of the Definition of "Asset-Backed Security" for Purposes of Reporting to FINRA's Trade Reporting and Compliance Engine (TRACE) System
      • May 18, 2015: Revised TRACE New Issue Form
    • OATS Updates
      • May 18, 2015: OATS Reporting Technical Specifications
      • May 18, 2015: Validation of Time in Force Code and the Addition of the Trading Session Code
      • Q&A with FINRA: Friday, June 12th @ 10:00 AM ET
    • Other FINRA Updates
      • May 27, 2015: FINRA Reg Notice 15-19 - FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
      • May 20, 2015: SR-FINRA-2015-013 - Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
  • MSRB Updates
    • May 26, 2015: MSRB Notice #2015-07 - SEC Approves Amendments to MSRB Rule G-14 and Real-Time Transaction Reporting System.  See also: SEC 34-75039 and FIF Discussion Document on SR-MSRB-2015-02. 
  • Leap Second Impact
    • Jun 5, 2015: FINRA Facilities – June 30, 2015, Leap Second
    • May 29, 2015: CTA Notice 2559 - June 30, 2015 Leap Second – Early Extended Session Close
    • May 19, 2015: Nasdaq ETU #2015-7 - FINRA/Nasdaq TRF will be Closing Early on June 30, 2015 due to Leap Second Impact
    • May 18, 2015: ETA #2015-68 - Information Regarding June 30, 2015 Leap Second Impact
    • May 15, 2015: BATS EDGA Exchange and EDGX Exchange Leap Second Update - Early Extended Session Close on June 30, 2015
    • NYSE Notices on Leap Second Impact
  • Exchange-Traded Managed Funds
    • Exchange-Traded Managed Funds
    • Frequently Asked Questions: Exchange-Traded Managed Funds
    • Q&A with Nasdaq: Monday, June 29th, 2015 @ 1:00 PM ET
  • Treasury Updates
    • May 13, 2015: TMPG Meeting Agenda
  • FIF Working Group Updates - Sign up for any FIF Working Group 
    • Consolidated Audit Trail (CAT) WG
      • May 26, 2015: Summary of the Consolidated Audit Trail Initiative
      • Next Meeting Date: Monday, June 15th, 2015 @ 2:00 PM ET
    • LOPR WG
      • FIF LOPR Implementation Survey Due Friday, June 12th 
    • Cost Basis WG
      • Comment Letter on Regarding the Default Accrual Method for Accrued Market Discount and the Reporting Obligtions of Brokers Involved in a Transfer of an Option Subject to Section 1256
      • Next Meeting Date: Thursday, July 9th, 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