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

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • Apr 1, 2016: B3089-16 - Additional and Revised Information Concerning the Availability of CCF Corporate Action Files in 2016 and Beyond
      • Mar 17, 2016: B2836-16 - User Roles Required for Corporate Actions Web (CA Web) Redemptions Functionality Access Are Now Available for Provisioning In Advance of the Commencement of the CA Web Parallel Testing Period in Mid October 2016
      • Mar 29, 2016: B3033-16 - Collateral Loan Services Enhancements
      • Mar 16, 2016: B2835-16 - Changes to CA Web Role Definitions Will Occur In April
    • NSCC Updates
      • Mar 22, 2016: A8181 - New CMU RTTM Report Highlighting Breaks on 'Market Participant ID' (MPID) for Corporate Bond and UIT Trades in NSCC's CMU RTTM
  • T+2 Settlement
    • Mar 31, 2016: DTCC White Paper
  • FINRA Updates
    • ATS
      • TRACE ATS Identifiers List
      • Alternative Trading System (ATS) Transparency
    • Clock Synchronization 
      • Apr 8, 2016: SR-FINRA-2016-005 - Order Approving a Proposed Rule Change to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities
      • Mar 22, 2016: FIF Comment Letter on SR-FINRA-2016-005 (Clock Synch)
    • Exchange Traded Managed Funds (ETMFs)
      • Apr 4, 2016: SR-FINRA-2016-012 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6184 [Transactions in Exchange-Traded Managed Fund Shares ("NextShares")]
    • OATS
      • Apr 5, 2016: SR-FINRA-2016-006 - Order Approving a Proposed Rule Change to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information)
    • Section 31 Fees
      • Mar 15, 2016: FINRA Info Notice - Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
    • TRACE
      • Apr 7, 2016: Web API Specifications for the TRACE Securitized Products File Downloads (Version 4.6)
  • MSRB Updates
    • Apr 7, 2016: MSRB Notice 2016-13 - Request for Comment on Draft Amendments to MSRB Rule G-15(f) on Minimum Denominations
  • OCC Updates
    • Mar 31, 2016: OCC Memo 38688 - Securities Industry Business Continuity Test
  • Treasury Updates
    • Feb 23, 2016: TMPG Meeting Minutes
  • FIF Working Group Updates - Sign up for any FIF Working Group
    • Tick Size Pilot WG
      • Mar 22, 2016: FIF Comment Letter re: Commission’s Accelerated Approval of Partial Amendment 1 to SR-FINRA-2015-047 for Tick Size Pilot Quoting and Trading Rules
      • FINRA Tick Size Pilot information available here: http://www.finra.org/industry/tick-size-pilot-program
      • All links to relevant documents and notices tracked by FIF are available at the FIF Tick Size Pilot Initiatives Page
    • Consolidated Audit Trail (CAT) WG
      • CAT NMS Plan
    • Cost Basis WG
      • Next Meeting Date: Thursday, May 5th @ 11 AM ET
  • 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
  • Next Meeting Date: Tuesday, May 17, 2016 @ 11 AM ET