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October 18, 2016 - Back Office Committee Meeting Agenda




October 18, 2016 - Back Office Committee Meeting Agenda
Meeting Agenda
- DTCC Updates
- NSCC Updates
- DTC Updates
- Oct 14, 2016: B4405-16 - Secondary Market Eligibility Process: this proposed rule change will require that all Secondary Market Eligibility requests (i.e. Older Issues) be submitted through DTC’s underwriting platform UW SOURCE.
- Oct 12, 2016: SR-DTC-2016-009 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify Certain Rules Provisions Relating to Pledges.
- Oct 5, 2016: B4379-16 - New Functionality – Cover Protect on Behalf of Another Participant.
- Oct 5, 2016: SR-DTC-2016-008 - The Depository Trust Company; Notice of Filing of Proposed Rule Change Relating to Processing of Transactions in Money Market Instruments.
- FICC Updates
- Oct 12, 2016: GOV-184-16- Notice of FICC Rule Filing Approval for SR-FICC-2016-003 – Blackout Period Exposure Charge.
- Sept 28, 2016: GOV-181-16 - The Fixed Income Clearing Corporation (“FICC”) would like to remind Netting Members of their requirement to report certain GSD netting-eligible activity engaged in by their foreign affiliates to FICC.
- T+2 Settlement
- Cash Products in Scope - List of the “cash” products in-scope to move to T+2, as defined by the T+2 Product Scope Working Group.
- Primary Market Recommendations - T+2 Industry Working Group identified the following primary market recommendations to support the move to T+2
- Sept 28, 2016: File No. S7-22-16 - Proposal to amend Rule 15c6-1(a) to shorten the standard settlement cycle.
- SEC Updates
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- Covered Clearing Agency
- Sept 28, 2016: File No. S7-23-16 - Proposed Change to Definition of "Covered Clearing Agency."
- Covered Clearing Agency
- FINRA Updates
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- ADF
- October 7, 2016: Trade Reporting Notice 100716 - Firms that elect to submit clearing-eligible trades to the Alternative Display Facility (ADF) using the Trade Match or Trade Acceptance functionality must identify only a contra party that is another ADF participant with access to the ADF and the ability to view and take action with respect to the submission.
- TRACE - Treasuries
- Oct 18, 2016: SR-FINRA-2016-027 - Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Reporting of Transactions in U.S. Treasury Securities to TRACE.
- Oct 18, 2016: Reg Notice 16-39 - SEC approves rule change to require reporting of transactions in U.S. Treasuries to TRACE. The Effective Date for Implemention is July 10, 2017.
- TRACE Technical Specifications
- Sept 23, 2016: FINRA Reponse to Comments on SR-FINRA-2016-027
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- Aug 15, 2016: FIF submitted a comment letter on focusing on operational and implemenational impacts of the proposed rule change.
- Sept 23, 2016: SR-FINRA-2016-027-Amendment 1 - Amendment to Rule Filing related to use of Modifier ".S" to permit use of this modifier when a reported transaction is part of a series and meets the ".S" criteria regardless of whether one or more of the transactions in the series is priced away from the market.
- TRACE - CMO
- October 14, 2016: SR-FINRA-2016-023 - SEC approves amendment to disseminate Collateralized Mortgage Obligation (CMO) transactions and to reduce reporting times for CMO transactions.
- FINRA Rule 2232
- September 28, 2016: SR-FINRA-2016-032 - SEC extends date for approval/disapproval of SR-FINRA-2016-032 until November 17, 2016 (Mark-up/Mark-down Confirmation Disclosure.
- FIF submitted a comment letter on the proposed rule changes to FINRA Rule 2232 on Friday, Sept 9, 2016.
- September 28, 2016: SR-FINRA-2016-032 - SEC extends date for approval/disapproval of SR-FINRA-2016-032 until November 17, 2016 (Mark-up/Mark-down Confirmation Disclosure.
- ADF
- MSRB Updates
- Sept 7, 2016: SR-MSRB-2016-12 - Notice of Filing of a Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price.
- Oct 4, 2016: FIF submitted a comment letter on the proposed rule changes to MSRB Rules G-15 and G-30.
- Sept 7, 2016: SR-MSRB-2016-12 - Notice of Filing of a Proposed Rule Change to MSRB Rules G-15 and G-30 to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price.
- FIF Working Group Updates - Sign up for any FIF Working Group
- Rule 600/606 - Disclosure of Order Handling Information
- Sept 26, 2016 - FIF submitted a comment letter on the proposed rule changes to the Disclosure of Order Handling Information.
- Consolidated Audit Trail (CAT) WG
- Oct 5, 2016 - FIF met with the SEC to discuss concerns regarding the Consolidated Audit Trail. Please see the link to FIF's presentation here.
- Sept 2, 2016 - SRO Response Letter concerning industry feedback of the CAT NMS Plan.
- CAT NMS Plan Website
- Tick Size Pilot WG
- Nov 2016 - Tick Size Pilot Review Files -Tick Size Pilot Statistics to be published.
- Oct 3, 2016 - Phased Roll-Out of the Tick Size Pilot Program begins. Please click here for FINRA's published implementation dates and symbols.
- FINRA Tick Size Pilot Information available here.
- Buy-Side Tick Size Pilot Guide available here.
- Market Data Technology
- Next Meeting Date: Wednesday, November 16 @ 10:30 AM ET
- Cost Basis WG
- Next Meeting Date: Thursday, November 3 @ 11 AM ET.
- Rule 600/606 - Disclosure of Order Handling Information
- 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, Nov 15 @ 11:00 am ET.