October 13, 2015 - FIF Back Office Committee - Meeting Agenda

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • Oct 8, 2015: B1310-15 - Updated Detailed Service Paper for the MMI Finality Through Optimization Initiative
      • Oct 6, 2015: B1900-15 - Service Enhancement - SMART/Track for Corporate Actions Liability Notices
      • Oct 2, 2015: B1886-15 - Enhancements to the Corporate Actions Web (CA Web) Become Available on October 30, 2015
      • Sept 14, 2015: B1524-15 - FAST Deposit and Memo Seg Enhancements Update
    • FICC Updates
      • Sept 15, 2015: GOV069-15 - Data Required re: FICC's Inter-Bank GCF Repo Service
    • NSCC Updates
      • Oct 7, 2015: SR-NSCC-2015-005 - Proposed Rule Change to Permit Eligible T+1 CMU Trades to Settle at NSCC 
      • Oct 7, 2015: SR-NSCC-2015-004 - Notice of Filing of Proposed Rule Change to Require Real-Time Trade Submission and to Prohibit Pre-Netting Practices Through NSCC's Correspondent Clearing Service
      • Oct 6, 2015: A8094 - Change in Implementation Date for NSCC Settlement Eligibility of T+1 Settlement Cycle Corporate Bond, Municipal Bond, UIT (CMU) Real Time Trade Matching (RTTM) Trades
      • Sept 29, 2015: A8089 - Consolidated Trade Summary Re-Write File Layouts
      • Sept 18, 2015: A8086 - ETF Browser Compatibility Enhancements & Testing
    • Shortened Settlement Cycle
      • Sept 16, 2015: SEC Letter to SIFMA and ICI
  • FINRA Updates
    • TRACE
      • Oct 6, 2015: Amendment No.1 to Proposed Rule Change to Require an Indicator When a TRACE Report Does Not Reflect a Commission or Mark-up/Mark-down.  See also: SR-FINRA-2015-026.
      • Sept 28, 2015: SR-FINRA-2015-037 - Proposed Rule Change to Extend the TRACE Pilot Program in FINRA Rule 6730(e)(4)
      • FINRA Fixed Income Report Cards Demonstration: October 22nd, 2:30-4 PM ET
    • OATS 
      • FINRA's Proposed Changes to Support Tick Size Pilot Data Collection
      • OATS Technical Specifications
    • ORF
      • Sept 28, 2015: FINRA Updates the OTCBB/OTC Equities High Price Dissemination List
    • Trade Reporting
      • Sept 30, 2015: SR-FINRA-2015-035 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities.  
        • Nasdaq ETU #2015-16 
        • FINRA/NYSE TRF Specification 
        • FIX Specifications for the Over the Counter Trade Reporting Facility (Version 1.5)
        • Computer to Computer Interface (CTCI) Specifications for the Over the Counter Trade Reporting Facility (Version 1.4)
    • Other FINRA Updates
      • Oct 6, 2015: SR-FINRA-2015-036 - Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
      • Oct 5, 2015: SR-FINRA-2015-020 - Order Approving a Proposed Rule Change, as Amended by Amendment No. 1, to Expand FINRA's Alternative Trading System Transparency Initiative by Publishing OTC Equity Volume Executed Outside ATSs
  • MSRB Updates
    • Oct 5, 2015: Specifications for Real-Time Reporting of Municipal Securities Transactions (Version 2.9 - Changes Effective May 23, 2016)
    • Sept 24, 2015: MSRB 2015-16 - Request for Comment on Draft Rule Amendments to Require Confirmation Disclosure of Mark-ups for Specified Principal Transactions with Retail Customers
    • MSRB Webinar on 2015-16 - October 29th, 3-4 PM ET
  • OCC Updates
    • Oct 5, 2015: OCC #37593 - Report/Screen Changes - Liquidity Risk Management
    • Aug 31, 2015: OCC #37377 - Data Distribution Services (DDS) Changes - Liquidity Risk Management
  • Treasury Updates
    • Jun 24, 2015: TMPG Meeting Minutes
  • FIF Working Group Updates - Sign up for any FIF Working Group 
    • Consolidated Audit Trail (CAT) WG
      • Next Meeting Date: Thursday, October 22nd @ 1 PM ET
    • Tick Size Pilot WG
      • FAQ: Data Collection Requirements for Broker-Dealers
      • Market Maker Transaction Data Technical Specification
      • OATS Reporting Technical Specifications
      • Proposed OATS Changes for Members that Operate Tick Size Pilot Trading Centers
      • Sept 25, 2015: FIF Letter to the Commission re: Tick Size Pilot Implementation
      • FINRA Industry Call: Thursday, October 15th @ 4:15 PM ET - Details TBA
      • Next Meeting Date: Thursday, October 15th @ 12 PM ET 
    • Cost Basis WG
      • Next Meeting Date: Thursday, November 5th @ 11 AM ET
    • BCP
      • Registration for Industry BCP Test
      • Oct 9, 2015: Industry-Wide Business Continuity Test – October 24, 2015
      • Oct 1, 2015: OCC #37576 - Standards for Designating Clearing Members Required to Participate in Business Continuity and Disaster Recovery Testing
  • 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
  • Tuesday, November 3, 2015: FIF 2015 Derivatives Event Hosted by CME Group
  • Monday, November 9, 2015: FIF Tick Size Pilot Event, Sponsored by Pershing/BNY Mellon Capital Markets