November 17, 2015 - FIF Back Office Committee - Meeting Agenda

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • Oct 26, 2015: B1953-15 - DTC Will Convert its ISO20022 Corporate Action Messaging to the SWIFT SR2015 Version on November 22, 2015
      • Oct 22, 2015: B1946-15 - $50,000 Fee for CCF Corporate Action Announcement Files Will Become Effective on January 1, 2016
    • NSCC Updates
      • Nov 6, 2015: A8113 - UTC Format and Processing Changes for ETMFs
      • Nov 5, 2015: A8112 - Enhancements to SMART/Track for CNS Corporate Actions
      • Nov 4, 2015: SR-NSCC-2015-007 - Notice of Filing of Proposed Rule Change to Provide Mechanism for Sub-Account Settlement With Respect to the Alternative Investment Product Services
      • Oct 27, 2015: A8107 - Mutual Fund Profile II Distribution Declaration, Networking, and ACATS-Fund/Serv® Enhancements
  • FINRA Updates
    • CARDS
      • Nov 9, 2015: FINRA’s CARDS Plan Not Moving Forward
    • TRACE 
      • Nov 4, 2015: Reminder: TRACE Reporting Period for ABS Securities Will Be Reduced to 15 Minutes on December 7, 2015
      • Oct 28, 2015: TRACE New Issue Form Update Notice
      • Oct 27, 2015: FINRA Reg Notice 15-41 - SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
    • Rule 4210 (Margin Requirements)
      • Nov 10, 2015: SR-FINRA-2015-036 - Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market
  • Large Trader Reporting
    • Nov 6, 2015: FINRA Reg Notice 15-44 - FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
    • Oct 30, 2015: SEC 34-76322 - Order Exempting Certain Large Traders From the Self-Identification Requirements of Rule 13h-1 Under the Securities Exchange Act of 1934, and Exempting Certain Broker-Dealers From the Recordkeeping, Reporting, and Monitoring Responsibilities Under the Rule
  • FINRA/MSRB - Proposal to Require to Require Confirmation Disclosure with Retail Customers
    • Oct 13, 2015: FINRA Reg Notice 15-36 - FINRA Requests Comment on a Revised Proposal Requiring Confirmation Disclosure of Pricing Information in Corporate and Agency Debt Securities Transactions
    • 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
    • Next Meeting Date: Thursday, Nov 19th @ 1 PM ET
  • Shortened Settlement Cycle - T+2 
    • Nov 10, 2015: MSRB 2015-22 - Request for Comment on Changes to MSRB Rules to Facilitate Shortening the Securities Settlement Cycle
  • Regulation SCI
    • Nov 3, 2015: MSRB 2015-20 - MSRB Adopts Rule Requiring Participation in Business Continuity and Disaster Recovery Testing
    • Nov 3, 2015: FINRA Reg Notice 15-43 - FINRA Files Rule With SEC for Authority to Designate Firms for Mandatory Participation in FINRA's Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI
    • Nov 2, 2015: Nasdaq ERA2015-5 - Nasdaq Announces Regulation SCI BC/DR Testing. See also: Nasdaq ORA2015-33
    • Oct 30, 2015: Responses to FAQs Concerning Regulation SCI
    • Oct 28, 2015: SR-NSCC-2015-008 - Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Additional Details Regarding the Requirement That Members Participate in Annual Testing of Business Continuity and Disaster Recovery Plans
  • Treasury Updates
    • Sept 21, 2015: TMPG Meeting Minutes
  • FIF Working Group Updates - Sign up for any FIF Working Group 
    • Consolidated Audit Trail (CAT) WG
      • Nov 4, 2015: FIF's Meeting Notes From Nov 4th CAT-DAG Call
      • Oct 20, 2015: FIF Letter to SROs & Questions and Recommendations on CAT Error Processing
    • Tick Size Pilot WG
      • Nov 13, 2015: SR-FINRA-2015-048 - Proposed Rule Change to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program
      •  Nov 13, 2015: SR-FINRA-2015-047 - Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
      •  Nov 13, 2015: SR-BATS-2015-102 - BATS Exchange, Inc. Proposes a Rule Change to Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot Program
      •  Nov 6, 2015: SEC 34-76382 - Order Granting Exemption From Compliance With the National Market System Plan to Implement a Tick Size Pilot Program
      • Nov 5, 2015: FIF Comments on SR-NYSE-2015-046
      • Next Meeting Date: Thursday, Nov 19th @ 12 PM ET
  • LOPR WG
    • Oct 28, 2015: FIF Questions to FINRA Re: LOPR Requirements
  • Cost Basis WG
    • Next Meeting Date: Thursday, Dec 3rd @ 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