January 12, 2016 - FIF Back Office Committee - Meeting Agenda

Meeting Agenda 

  • FINRA TRACE - Update from Justin Tubiolo
    • Dec 10, 2015: TRACE Reporting and Dissemination of No Remuneration Trades and ATS
    • Expectations for 2016 
  • DTCC Updates
    • DTC Updates
      • Dec 23, 2015: B2327-15 - Retirement of Settlement Functionality - Revised Schedule
      • Dec 23, 2015: B2326-15 - DRS Transfers and Memo Segregation
    • FICC Updates
      • Jan 5, 2016: GOV107-16 - U.S. Treasury Maturing Securities in the GCF Repo® Service
    • NSCC Updates
      • Dec 15, 2015: A8135 - Consolidated Trade Summary Re-Write, Canned Output, and Updates to the CTS Layouts and Descriptions
      • Dec 15, 2015: SR-NSCC-2015-007 - Order Approving Proposed Rule Change to Provide Mechanism for Sub-Account Settlement with Respect to the Alternative Investment Product Services 
  • T+2 Shortened Settlement Cycle
    • Dec 21, 2015: T+2 Industry Implementation Playbook
  • Regulator Examination Priority 
    • Jan 11, 2015: SEC Examination Priorities For 2016
    • Jan 5, 2016: FINRA 2016 Regulatory and Examination Priorities Letter
  • MSRB Update
    • Jan 6, 2016: MSRB Reg Notice 2016-02 - Request for Comment on Amendments to MSRB Rule G-12 on Close-Out Procedures
  • FINRA/MSRB - Proposal to Require to Require Confirmation Disclosure with Retail Customers
    • Dec 11, 2015: FIF Comments on MSRB 2015-16 and FINRA 15-36
  • SEC Update
    • Dec 22, 2015: SEC 34-76743 - Transfer Agent Regulations
  • OCC Update
    • Dec 14, 2015: OCC Memo #38006 - CFE Large Trader
  • Cybersecurity
    • Dec 18, 2015: S.754 — 114th Congress (2015-2016) - Cybersecurity Information Sharing Act of 2015
  • FIF Working Group Updates - Sign up for any FIF Working Group
    • Tick Size Pilot WG
      • Dec 29, 2015: Updated DRAFT - Market Marker Specs
      • Dec 23, 2015: FIF Comments on SR-BATS-2015-108 for Quoting and Trading
      • Dec 23, 2015: FIF Comments on SR-BATS-2015-102 for Data Collection and Reporting
      • Dec 17, 2015: FIF Comments on SR-FINRA-2015-048 (Data Collection and Reporting)
      • Dec 17, 2015: FIF Comments on SR-FINRA-2015-047 (Quoting and Trading)
      • Next Meeting Date: Tuesday, January 12th @ 1 PM ET
    • Consolidated Audit Trail (CAT) WG
      • Jan 7, 2016: Amended and Restated Consolidated Audit Trail National Market System Plan (CAT NMS Plan) Submission
      • Jan 7, 2016: Amendment to the CAT NMS Plan (identifying the differences)
    • Cost Basis WG
      • Next Meeting Date: Thursday, February 11th @ 11 AM ET 
    • ATS Identifier for MSRB and TRACE Reporting WG
      • Next Meeting Date: Monday, January 25th @ 2 PM 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