February 9, 2016 - FIF Back Office Committee - Meeting Agenda

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • Feb 3, 2016: B2540-16 - Retirement Of Settlement Functionality
      • Feb 2, 2016: B2568-16 - Corporate Actions Product Enhancements To Be Deployed on February 18, 2016
      • Feb 1, 2016: B2563-16 - Details Regarding the Transformation of the Corporate Actions Redemptions Service
      • Jan 22, 2016: B2539-16 - DRS Transfers and Memo Segregation
      • Jan 21, 2016: B2538-16 - Information Concerning the Availability of CCF Corporate Action Files in 2016 and Beyond
    • FICC Updates
      • Feb 2, 2016: MBS162-16 and GOV114-16 - President's Day Holiday Schedule
    • NSCC Updates
      • Feb 3, 2016: A8159 - Money Market Reform - Enhancements to Fund/SERV®, Networking and MFPS I Price and Rate
      • Feb 2, 2016: A8158 - UTC Format and Processing Changes for ETMFs, Such as NextShares
      • Jan 26, 2016: A8153 - Valuation Enhancements for FINRA Regulatory Notice 15-02
      • Jan 25, 2016: A8154 - Reminder - Requirement to Submit MPID for Corporate Bond and UIT Trades in NSCC's CMU RTTM
      • Jan 19, 2016: A8151 - Testing Available for MSRB May 23, 2016 Data Reporting Requirements Outlined in MSRB Notice 2015-07
  • FINRA Updates
    • TRACE
      • Feb 2, 2016: SR-FINRA-2016-003 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of the “No-Remuneration” Indicator
    • OATS
      • Jan 25, 2016: Investors Exchange Registration-OATS Impacts
    • Trade Reporting
      • Jan 20, 2016: FINRA Trade Reporting Notice - OTC Equity Trading and Reporting in the Event of Systems Issues
    • Margin Requirements for TBA Markets
      • Jan 14, 2016: SR-FINRA-2015-036 -  Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Partial Amendment No. 1
    • Mark-Up Rule and Exempted Securities
      • Jan 14, 2016: FINRA Reg Notice 16-03 - SEC Approves Amendment to Apply FINRA Rule Governing Mark-ups to Transactions in Exempted Securities That Are Government Securities
  • MSRB Update
    • Jan 19, 2016: MSRB 2016-04 - Designation Information Regarding Mandatory Participation in Business Continuity and Disaster Recovery Testing
  • OCC Updates
    • Feb 3, 2016: OCC Memo #38363 - ISE Mercury Options Exchange (MCRY)
  • Treasury Update
    • Dec 2, 2015: Meeting Materials
  • FIF Working Group Updates - Sign up for any FIF Working Group
    • Tick Size Pilot WG
      • Feb 2, 2016: FINRA Guidance on Linking Market Maker Transaction Data
      • Jan 25, 2016: FIF Comment Letter to SEC regarding recent changes to FINRA technical specifications and the impacts on Data Collection and Reporting
      • Jan 25, 2016: SEC Order 34-76971 - Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings to Determine Whether to Disapprove a Proposed Rule Change to Establish Rules to Comply with the Quoting and Trading Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act
      • Jan 15, 2016: NYSE Response to Comment Letters Received by the Securities and Exchange Commission Pursuant to Rule Filing SR-NYSE-2015-46 and Comments on SR-BATS-2015-108 and SR-FINRA-2015-047
      • Jan 11, 2016: OATS Reporting Technical Specifications
      • Jan 11, 2016: OATS Changes for Members that Operate Tick Size Pilot Trading Centers
      • Jan 11, 2016: FINRA Tick Size Pilot Program Market Maker Transaction Reporting Specification Guide
      • Jan 11, 2016: Market Maker Reporting FAQ
      • Jan 11, 2016: OATS Report: Proposed OATS Changes for Members that Operate Tick Size Pilot Trading Centers (updated)
      • Next Meeting Date: Thursday, February 11th @ 1 PM ET
    • Consolidated Audit Trail (CAT) WG
      • Feb 5, 2016: CAT NMS Plan High Level Security Requirements
      • Next Meeting Date: Wednesday, February 17th @ 3 PM ET
    • Cost Basis WG
      • Next Meeting Date: Thursday, February 11th @ 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
  • FIF Blockchain Event, Sponsored by Scivantage: Wednesday, February 10, 2016
  • Next Meeting Date: Thursday, March 17, 2016 @ 11 AM ET