May 17, 2016 - FIF Back Office Committee - Meeting Agenda

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • May 5, 2016: B2428-16 - Updated Times for Money Market Instruments (MMI) Maturity, Income, Principal and Reorganization Presentments
      • Apr 25, 2016: B3253-16 - DTC is Now Offering Q&A Review Sessions Covering Redemptions Functionality of Corporate Actions Web (CA Web)
      • Apr 21, 2016: B3244-16 - Settlement Web Update
    • FICC Updates
      • May 5, 2016: SR-FICC-2016-002 - Notice of Filing of Proposed Rule Change to Suspend the Interbank Service of the GCF Repo Service
      • Apr 21, 2016: SR-FICC-2016-001 - Notice of Filing of Proposed Rule Change Relating to the GCF Repo® Service
    • NSCC Updates
      • Apr 26, 2016: SR-NSCC-2016-001 - Notice of Filing of a Proposed Rule Change to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules
      • Apr 22, 2016: A8186 - UTC High Value Validation for OTC Market
      • Apr 22, 2016: OTC-079 - Retirement of OTC Important Notice
      • Apr 15, 2016: A8189 - ACATS Enhancements 2016
      • Apr 13, 2016: A8188 - AIP Web Platform - Phase II & Hedge Fund Processing Enhancements - 2016
  • T+2 Settlement
    • May 2, 2016: MSRB Notice 2016-15 - MSRB to Amend Rules to Define Two-Day Settlement Cycle
    • Apr 29, 2016: SR-MSRB-2016-04 - Order Granting Approval of a Proposed Rule Change Consisting of Proposed Amendments to Rules G-12 and G-5 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments
  • FINRA Updates
    • ATS
      • May 10, 2016: SR-FINRA-2016-010 - Order Approving a Proposed Rule Change to Adopt FINRA Rule 4554, Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks
      • Apr 22, 2016: FINRA Reg Notice 16-14 - FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
      • Apr 22, 2016: SR-FINRA-2016-010 - Response to Comments
    • TRACE
      • Apr 27, 2016: FINRA Reg Notice 16-15 - Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
    • TBA Margining
      • Apr 11, 2016: SR-FINRA-2015-036 -  Notice of Filing of Amendment No. 2 and Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1 and 2
  • MSRB Updates
    • May 11, 2016: SR-MSRB-2016-07 - MSRB Seeks SEC Approval of Proposal to Update Close-Out Procedures
  • OCC Updates
    • Apr 27, 2016: 34-77720 - Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Related to the Adoption of an Options Exchange Risk Control Standards Policy. See Also: SR-OCC-2016-004
    • Apr 18, 2016: OCC Memo 38796 - Change to CFE OFRA (SPAN) File
  • Treasury Updates
    • May 4, 2016: TMPG Supports Industry Recommendation to Use Benchmarks Consistent with International Best Practices
  • FIF Working Group Updates - Sign up for any FIF Working Group
    • FIF IRS Rule 871(m) WG
      • Next Meeting Date: Tuesday, May 17th @ 3 PM ET
    • Consolidated Audit Trail (CAT) WG
      • FIF Formed Seven “Sub-Groups” to Address Members’ Concerns and Open Questions Related to Amended CAT NMS Plan
      • Apr 27, 2016: Amended CAT NMS Plan
      • CAT NMS Plan Website
    • Tick Size Pilot WG
      • FINRA Tick Size Pilot information available here
      • All links to relevant documents and notices tracked by FIF are available at the FIF Tick Size Pilot Initiatives Page
    • LOPR WG
      • May 5, 2016: FINRA Reminds Firms of Their Obligations When Reporting Large Options Positions
      • Next Meeting Date: Monday, June 6th @ 11 AM ET
    • Cost Basis WG
      • Next Meeting Date: Thursday, June 9th @ 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, June 14, 2016 @ 11 AM ET