September 15, 2015 - FIF Back Office Committee - Meeting Agenda

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • Aug 26, 2015: B1348-15 - ISO 20022 Redemptions Lifecycle Processing Messages Now Available for Parallel Production Testing
    • FICC Updates
      • Aug 12, 2015: GOV059-15 - Member Testing of GSD Settlement Optimization Initiative
    • NSCC Updates
      • Aug 27, 2015: A8073 - Money Market Reform - Social Code Updates
      • Aug 20, 2015: A8070 – ACATS Enhancements 2015
    • Bulk Customer Account Transfer Initiative
  • FINRA Updates
    • TRACE Updates
      • Update from Ola Persson, Vice President of Corporate Debt, Justin Tubiolo, Vice President of Participant Services, and Alie Diagne, Director of Corporate Debt 
      • Sept 10, 2015: SR-FINRA-2015-026 - Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down
      • Sept 3, 2015: TRACE Non-Member Affiliates and Enhanced Market Aggregates Testing
      • Aug 28, 2015: SEC 34-75782 - Order Approving Proposed Rule Change to Require Members to Report Transactions in TRACE-Eligible Securities As Soon As Practicable.  See also: FIF Submitted Comment Letter on SR-FINRA-2015-025, SR-FINRA-2015-025, and FINRA’s Response to the FIF Comment Letter on FINRA 2015-025.
    • OATS Updates
      • Sept 8, 2015: FINRA Hosting an OATS Industry Call and WebEx Presentation on Thursday, September 17, 2015
  • MSRB Updates
    • Sept 3, 2015: MSRB 2015-14 - MSRB Revises Effective Date for MSRB Rule G-18, on Best Execution of Transactions in Municipal Securities, and Related Rule Amendments
  • OCC Updates
    • Aug 31, 2015: OCC #37377 - Data Distribution Services (DDS) Changes - Liquidity Risk Management
  • Regulation SCI Updates
    • Sept 2, 2015: SEC Responses to Frequently Asked Questions Concerning Regulation SCI
  • FIF Working Group Updates - Sign up for any FIF Working Group 
    • Consolidated Audit Trail (CAT) WG
      • Next Meeting Date: Friday, September 25th @ 10 AM ET
    • Tick Size Pilot WG
      • Aug 28, 2015 - FIF Tick Size Pilot WG Letter to Plan Participants
      • Next Meeting Date: Thursday, September 17th @ 12 PM ET 
    • Cost Basis WG
      • Next Meeting Date: Thursday, October 15th @ 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