June 19, 2018 - Back Office Committee Meeting Agenda

Meeting Details  

  • When: Tuesday, June 19, 2018 @ 11:00 am ET

Meeting Agenda 

  • DTCC Updates
    • DTC Updates
      • June 7, 2018: 8760-18 - Corporate Actions Web (CA Web) Production Parallel Testing Period for Reorganization Lifecycle
      • May 30, 2018: 8841-18 - Updated Design for the CA Web Application
      • May 24, 2018: 8840-18 - Reminder: Memo Segregation Enhancements – User Testing
      • May 18, 2018: 8734-18 - Account Number Format Change
    • FICC Updates
      • June 5, 2018: GOV429-18 - Approval and Implementation Date for Rule Filing (SR-FICC-2018-001) and Advance Notice (SR-FICC-2018-801) Relating to GSD’s Clearing Fund Methodology
      • June 1, 2018: MBS562-18 - Capped Contingency Liquidity Facility (“CCLF®”) Reset Reminder
      • May 15, 2018: GOV421-18 - Business Continuity and Disaster Recovery - Testing Dates
    • NSCC Updates
      • June 8, 2018: 34-83397 - Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify and Enhance Rules Related to Comparison and Recording of CMU Securities
      • May 17, 2018: a8557 - Consolidated Trade Summary (CTS) Rewrite SMART/Search Print Image Closure

OCC

    • June 6, 2018: 2018 Business Continuity/Disaster Recovery Industry Test Strategy **Update - Revised Pre-Test Date**
    • June 4, 2018: Actionable Identifier Requirement on Option Trades
    • May 24, 2018: 34-83321 - Notice of Filing of Amendment No. 1 and Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Related to The Options Clearing Corporation's Trade Acceptance and Novation Rules
    • May 24, 2018: 34-83326 - Order Approving Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology
  • MSRB
    • June 8, 2018: Harmonize certain MSRB professional qualification requirements under MSRB Rule G-3
    • May 16, 2018: Request for Comment on Draft MSRB Rule G-36, on Discretionary Transactions in Customer Accounts, and Related Draft Amendments
  • FINRA Updates
    • TRACE
      • June 12, 2018: Reminder: Testing of FINRA Data Feed Test IP Addresses
      • June 5, 2018: SR-FINRA-2018-023 - Proposed Rule Change to Amend FINRA Rule 6730 Relating to ATS Reporting of Transactions to TRACE in U.S. Treasury Securities
      • May 29, 2018: TRACE Testing for FIX Trade Reporting Tag Changes
    • Additional FINRA Updates
      • June 11, 2018: SR-FINRA-2018-025 - Proposed Rule Change to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
      • June 8, 2018: 34-83398 - Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish a Second Trade Reporting Facility in Conjunction with Nasdaq, Inc.
      • June 7, 2018: SR-FINRA-2018-024 - Proposed Rule Change to Amend the Security Futures Risk Disclosure Statement
      • May 25, 2018: Election Notice – 5/25/18 - Upcoming FINRA Board of Governors Election
      • May 17, 2018: SR-FINRA-2018-020 - Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security
  • TMPG
    • May 22, 2018: TMPG meeting agenda available. Meeting minutes will be released soon.
  • CAT
    • June 15, 2018:  CAT NMS Plan Operating Committee releases V0.3 of the Industry Member Order Information Technical Specification
    • June 8, 2018:  SROs provide detail on SEC PII Solution
    • June 7, 2018:  SROs releases Alternate CAT Implemenation Plan 
    • May 16, 2018:  CAT NMS Updates Interpretive FAQ
  • SEC
    • June 5, 2018: BHCA-3 - Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
  • FIF Working Group Updates: Please click here to Join Working Groups.
    • FIF Quarterly Event:  FIF will be holding a quarterly event sponsored by UBS and Exegy on Wednesday, June 27th at 5:00 pm.  If you would like to register for the event, please click here.
    • Consolidated Audit Trail (CAT)
      • June 19, 2018:  FIF forms a subgroup focusing on the review of V0.3.1 of the Industry Member Order Information Tech Spec
      • June 18, 2018:  FIF forms ad hoc working group to discuss OMS/EMS linkage issues
      • June 18, 2018:  FIF held a CAT Working Group Meeting focusing on the ARO Alternative Implemenation Approach and the SEC PII Solution
      • June 13, 2018: FIF holds a CAT Working Group Meeting discussing the SRO Alternative Implementation Approach
      • June 12, 2018:  FIF held a meeting with the CAT Cybersecurity Subgroup
      • May 10, 2018:  FIF/STA/SIFA compiled analysis of OTC Equity Reporting
      • May 8, 2018: FIF Releases a Statement on the CAT Go Live Date
      • May 4, 2018:  FIF submits a letter to SEC Division of Trading and Markets on projected Technical Specification date.
      • April 17, 2018:  FIF attending meetings with SEC Division of Trading and Markets to discuss the FIF Alternative Implementation Approach
      • March 29, 2018: FIF submitted a comment letter to Thesys CAT on the CAT Industry Member Spec.
      • March 20, 2018:  FIF meeting with SEC Staff and Commissioners to discuss alternative CAT implementation approach.
      • January 9, 2018:  Thesys CAT releases draft of Participant Technical Specification. 
      • September 7, 2017:  Thesys CAT LLC released first draft of Industry Member Technical Specification.
      • CAT NMS Plan Website
    • LTR Phase 3 Retirement 
      • May 31, 2018:  FIF met with SEC Staff to discuss LTR Phase 3 Implementation milestones
    • Tick Sized Pilot
      • Decommission of Tick Size Pilot - Communication with SEC on Tick Size Pilot End Date
    • Transaction Fee Pilot Working Group
      • May 25, 2018:  FIF submitted a comment letter on the Transaction Fee Pilot
      • May 8, 2018:  FIF held a Transaction Fee Pilot Working Group Meeting.
      • March 14, 2018: SEC Release No 34-82872 - SEC proposes Transaction Fee Pilot.
    • Cost Basis Working Group
      • July 12, 2018 - Cost Basis Working Group will hold its monthly meeting
    • Cloud Technology Working Group
      • June 14, 2018: FIF held a Cloud Technology Working Group Meeting
    • Data and Technology
      • Next Meeting:  June 27 @ 10:00 am ET.
    • Retail Execution Quality
      • FIF 605 Subgroup has been meeting to discuss proposed changes to SEC Rule 605 Report
    • FIF Cybersecurity Working Group
      • June 28, 2018: FIF will hold its next FIF Cybersecurity Working Group meeting
      • FIF held a working group meeting on May 31, 2018
    • FIF Industry Solutions Offering

Next Meeting Date: Tuesday, July 17, 2018 @ 11:00 am ET. 

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