August 11, 2015 - FIF Back Office Committee - Meeting Agenda

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • Aug 3, 2015: B1302-15 - Inventory Management System (IMS) - Data Retention Reduction
      • Jul 30, 2015: B1288-15 - Approval of Rule Filing SR-DTC-2015-007 - Discontinuation of Distribution of Fractional Shares in DTC's System With Respect to Corporate Actions For New Issues
      • Jul 27, 2015: B1291-15 - Upcoming Enhancements to the Corporate Actions Web (CA Web)
    • NSCC Updates
      • Jul 28, 2015: A8059 - Testing and Production Dates for NSCC Settlement Eligibility of T+1 Settlement Cycle Corporate Bond, Municipal Bond, UIT (CMU), Real Time Trade Matching (RTTM) Trades
      • Jul 14, 2014: A8055 - Trade Capture Input Changes in 2015
    • Correspondent Clearing Real-Time Trade Submission
      • FIF Q&A with DTCC: Wednesday, August 12th @ 10 AM ET
  • Shortened Settlement Cycle - T+2
  • FINRA Updates
    • TRACE Updates
      • Aug 5, 2015: FIF Submitted Comment Letter on SR-FINRA-2015-025.  See 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
      • Jul 20, 2015: SR-FINRA-2015-026 - Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
    • OATS Updates
      • Aug 10, 2015: OATS Compliance FAQs (newly added questions 93-100)
      • Jul 10, 2015: Addendum to Technical Specifications
      • Jul 8, 2015: Error Account Type Code
    • Other FINRA Updates
      • Jul 28, 2015: SR-FINRA-2015-028 - Proposed Rule Change to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
      • Jul 22, 2015: SR-FINRA-2015-027 - Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
  • MSRB Updates
    • Aug 4, 2015: SR-MSRB-2015-06 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Revisions to the Electronic Municipal Market Access System, Real-Time Transaction Reporting System and Short-Term Obligation Rate Transparency System.  See also: MSRB 2015-11.
    • Aug 3, 2015: MSRB Holds Quarterly Meeting 
    • Jul 15, 2015: SR-MSRB-2015-05 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of an Amendment to MSRB Rule G-45, on Reporting of Information on Municipal Fund Securities
  • 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: Thursday, August 13th @ 2 PM 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, August 13th @ 12 PM ET
    • Cost Basis WG
      • Next Meeting Date: Thursday, September 10th @ 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
  • Monday, August 17th, 2015: FIF Considerations of Multi-Asset Class Trading Event at Yankee Stadium, Sponsored by Equinix