Back Office - Overview

The FIF Back Office Committee provides guidance and insight on implementation issues relating to exchange, utility, and industry initiatives as well as regulatory changes affecting securities processing and reporting. Topics include DTCC/FICC/NSCC initiatives, as well as OATS, EBS, LOPR, MSRB, and TRACE reporting. The Committee also discusses options clearing (OCC) and fixed income (TMPG) issues. Regulators and SROs often give updates on current and upcoming regulatory initiatives.

Co-Chairs

Susan Crozier, SunGard Capital Markets
Pat Scaglione, Broadridge

Relevant Working Groups

Members of the Back Office Committee actively participate in the following working groups:

Cost Basis
This working group will address implementation issues associated with the new cost basis requirements as laid out in the Economic Recovery Plan (Section 403 of the Act) passed on October 3, 2008.

Consolidated Audit Trail (CAT)
This working group tracks implementation issues associated with the SEC’s approved Rule 613 to create a central database of all transactions in Reg NMS securities. It will eventually cover all market participants across multiple asset classes. The FIF CAT WG is currently preparing comments regarding the Amended CAT NMS Plan.


Please see FIF Initiative Tracking for a full list of initiatives that this committee follows.

Representative Meeting Agendas

July 12, 2016 Back Office Committee - Meeting Agenda
May 17, 2016 - FIF Back Office Committee - Meeting Agenda
April 12, 2016 - FIF Back Office Committee - Meeting Agenda
March 17, 2016 - FIF Back Office Committee - Meeting Agenda
February 9, 2016 - FIF Back Office Committee - Meeting Agenda
January 12, 2016 - FIF Back Office Committee - Meeting Agenda
December 8, 2015 - FIF Back Office Committee - Meeting Agenda
November 17, 2015 - FIF Back Office Committee - Meeting Agenda
October 13, 2015 - FIF Back Office Committee - Meeting Agenda
September 15, 2015 - FIF Back Office Committee - Meeting Agenda
August 11, 2015 - FIF Back Office Committee - Meeting Agenda
July 14, 2015 - FIF Back Office Meeting Agenda
June 9, 2015 - Back Office Meeting Agenda
May 12, 2015 - Back Office Meeting Agenda
April 9, 2015 - Back Office Meeting Agenda
March 10, 2015 - Back Office Meeting Agenda
February 10, 2015 - Back Office Meeting Agenda
Jan 13, 2015 - Back Office Meeting Agenda
Dec 9, 2014 - Back Office Meeting Agenda
Nov 11, 2014 - Back Office Meeting Agenda
Oct 14, 2014 - Back Office Meeting Agenda
September 9, 2014 - Back Office Meeting Agenda
August 12, 2014 - Back Office Meeting Agenda
July 08, 2014 - Back Office Meeting Agenda
June 10, 2014 - Back Office Meeting Agenda
May 13, 2014 - Back Office Meeting Agenda
April 08, 2014 - Back Office Meeting Agenda
March 11, 2014 - Back Office Meeting Agenda
February 11, 2014 - Back Office Meeting Agenda
January 14, 2014 - Back Office Meeting Agenda
December 10, 2013 - Back Office Meeting Agenda
November 12, 2013 - Back Office Meeting Agenda
October 8, 2013 - Back Office Meeting Agenda
September 10, 2013 - Back Office Meeting Agenda
August 13, 2013 - Back Office Meeting Agenda
July 9, 2013 - Back Office Meeting Agenda
June 11, 2013 - Back Office Meeting Agenda
May 14, 2013 - Back Office Meeting Agenda
Apr 9, 2013 - Back Office Meeting Agenda
Mar 12, 2013 - Back Office Meeting Agenda
Feb 12, 2013 - Back Office Meeting Agenda
Jan 08, 2013 - Back Office Meeting Agenda
Dec 11, 2012: Back Office Meeting Agenda
Nov 13, 2012: Back Office Meeting Agenda
Oct 9, 2012 - Back Office Meeting Agenda
Sep 11, 2012 - Back Office Meeting Agenda
Aug 14, 2012 - Back Office Meeting Agenda
Jul 10, 2012 - Back Office Meeting Agenda
Jun 12, 2012 - Back Office Meeting Agenda
May 8, 2012 - Back Office Meeting Agenda
Apr 10, 2012 - Back Office Meeting Agenda
Mar 13, 2012 - Back Office Meeting Agenda
Feb 14, 2012 - Back Office Meeting Agenda
Jan 10, 2012 - Back Office Meeting Agenda
Dec 13, 2011 - Back Office Meeting Agenda
Nov 08, 2011 - Back Office Meeting Agenda
Oct 11, 2011 - Back Office Meeting Agenda
Sep 12, 2011 - Back Office Meeting Agenda
Aug 09, 2011 - Back Office Meeting Agenda
Jul 12, 2011 - Back Office Meeting Agenda
View All Representative Meeting Agendas →