July 14, 2015 - FIF Back Office Meeting Agenda

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • Jul 10, 2015: B1244-15 - FAST Deposit and Memo Seg Enhancements
      • Jun 9, 2015: B1072-15 - Enhancement to Corporate Actions Web (CA Web) Standing Instructions Functionality Will Take Effect on June 12, 2015
    • FICC Updates
      • Jun 24, 2015: GOV049-15 - Notice of Rule Filing Approval 2015-002- Extension of the Current GCF Repo® Service Pilot Program
      • Jun 22, 2015: GOV045-15 - GSD Settlement Optimization Initiative
    • NSCC Updates
      • Jun 18, 2015: A8045 - Requirement to Submit 'Market Participant ID' (MPID) for Corporate Bond and UIT Trades in NSCC's Corporate Bond, Municipal Bond, & UIT Real Time Trade Matching System (CMU RTTM)
      • Jun 18, 2015: A8044 - New AIP Introducing Broker Dealer Coding and Fields & Additional Production Cycle Enhancements - 2015
    • Shortened Settlement Cycle
      • June 18, 2015: SIFMA and ICI Submit Comments to the SEC Regarding Shortened Settlement Cycle Regulatory Initiatives
      • June 17, 2015: White Paper - Shortening the Settlement Cycle: The Move to T+2
  • FINRA Updates
    • TRACE Updates
      • Jul 2, 2015: SR-FINRA-2015-025 - Proposed Rule Change to Amend FINRA Rule 6730 (Transaction Reporting) to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
      • Jun 23, 2015: FINRA Reg Notice 15-24 - FINRA Requests for Comment on the Reduction of the Delay Period for Historic TRACE Data 
      • Jun 9, 2015: TRAQS and Web API Changes for Affiliates and Reference Data.  See also: Technical Specifications for TRACE Reporting and Dissemination of Non-Member Affiliate Transactions
    • OATS Updates
      • Jul 10, 2015: OATS Compliance FAQs
      • Jul 10, 2015: Addendum to Technical Specifications
      • Jun 26, 2015: OATS Reporting Technical Specifications
      • Jun 26, 2015: FINRA Guidance on the OATS Reverse Linkage Process
      • Jun 12, 2015: Recap of FINRA's Responses to FIF Members' Questions re: OATS Effective Sept 28th
      • Jun 11, 2015: SR-FINRA-2015-016 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Exemptions from the Order Audit Trail System Recording and Reporting Requirements.
    • Other FINRA Updates
      • Jun 19, 2015: FINRA Reg Notice 15-23 - FINRA Provides Limited Relief Regarding Requirement to Promptly Transmit Funds in Connection With Sales of Securities on a Subscription-Way Basis for the Purpose of Completing Suitability Reviews Under Identified Conditions
      • Jun 17, 2015: FINRA Reg Notice 15-22 - FINRA Requests Comment on a Revised Proposal to Adopt a Consolidated FINRA Rule Regarding Discretionary Accounts and Transactions
      • Jun 11, 2015: SR-FINRA-2015-015 - Notice of Filing of a Proposed Rule Change to Provide a Web-based Delivery Method for Completing the Regulatory Element of the Continuing Education Requirements.
  • MSRB Updates
    • Jun 30, 2015: MSRB 2015-09 - MSRB to Extend Due Date for First Submissions Under MSRB Rule G-45, Reporting of Information on Municipal Fund Securities
  • Exchange-Traded Managed Funds
    • Exchange-Traded Managed Funds
    • Frequently Asked Questions: Exchange-Traded Managed Funds
    • Q&A with Nasdaq: Wednesday, July 15th, 2015 @ 11:00 AM ET
  • Treasury Updates
    • Jul 13, 2015: SEC - Joint Staff Report - The U.S. Treasury Market on October 15, 2014
    • Jun 10, 2015: TMPG Releases Updated Best Practice Guidance to Address Automated Trading
    • Jun 10, 2015: Practices for Treasury, Agency Debt and Agency MBS Markets
    • Jun 10, 2015: White Paper on Automated Trading in Treasury Markets
    • May 13, 2015: TMPG Meeting Minutes
  • FIF Working Group Updates - Sign up for any FIF Working Group 
    • Consolidated Audit Trail (CAT) WG
      • Jun 24, 2015: Approval Order of Amendment #1 to the Selection Plan
      • Jun 24, 2015: FIF Presentation to the SEC on CAT Implementation Schedule and Retirement Plan
      • Next Meeting Date: Friday, July 17th @ 10 AM ET
    • Tick Size Pilot WG
      • May 6, 2015 - SEC 34-74892 - Order Approving the National Market System Plan to Implement a Tick Size Pilot Program by SROs
      • Next Meeting Date: Thursday, July 17th @ 1 PM ET
    • Cost Basis WG
      • Next Meeting Date: Thursday, August 6th @ 11 AM ET
  • FIF Retail Execution Quality Statistics
  • FIF Regulatory Initiatives Tracking Summary
  • FIF Monthly Reports
    • FIF Market Share Report
    • FIF Market Dynamics Report
    • Market Share Executive Summary
    • Market Dynamics Executive Summary