Meeting Details

• Date: Tuesday, June 9, 2009 @ 11 AM ET

Meeting Agenda

• FINRA OATS - OATS Email Retirement (Paul McKenney, FINRA) – Effective Date: Aug 31, 2009
• DTCC Obligation Warehouse (Vinny McDevitt, DTCC)
• Additional DTCC Updates
  • DTCC #4559-09 – ADR Fees
  • DTCC Deriv/SERV #766 – Revisions to Operating Procedures – Interest Rates – Effective Date: May 22, 2009
  • DTC WINS
    • DTC #B5124-09 – DTC Rule Change SR-DTC-2009-10 which establishes the Web Inquiry Notification System (“WINS”).
    • DTC #5086-09 – Web Inquiry Notification System (WINS)
• NSCC Updates
  • NSCC A#6818 – ACATS – Foreign Asset Extension Modifications – Optional Changes – Effective Date: May 22, 2009
  • NSCC A#6819 – Enhancements To Fund/SERV, ToRA and ACATS-Fund/SERV – Effective Date: Oct 5, 2009
• Options Symbology Initiative (OSI)
  • DTC #B5017-09 Options Symbology Initiative (OSI) – Premium Payment Orders (PPOs)
  • CBOE Information Circular #IC09-46 – Options Symbology Initiative
• Cost Basis Update
  • FIF Cost Basis Survey
  • Next FIF Cost Basis Committee Meeting – Tue, Jun 16 @ 4PM ET
• TRACE Expansion ( Approved April 14, 2009) - Regulatory Notice 09-24 – SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"; Effective Date: June 15, 2009
• Treasury Market Practices Group
  • TMPG and SIFMA Finalize Closing Time Practice Recommendations, May 28, 2009 Effective Date: Jul 1, 2009
  • Recommended Closing Time Practices for Delivering Fedwire-Eligible Securities, May 28, 2009
  • Frequently Asked Questions: Recommended Closing Time Practices for Delivering Fedwire-Eligible Securities, May 28, 2009
• Consolidated FINRA Rulebook
  • Release No. 34-59921; File No. SR-FINRA-2009-028 – Notice of Filing of Proposed Rule Change to Adopt FINRA Rule 2231 (Customer Account Statements) in the Consolidated FINRA Rulebook
  • Release No. 34-59987; File No. SR-FINRA-2009-016 – Order Approving Proposed Rule Change as Amended, Relating to the Adoption of FINRA Rule 2080 (Obtaining an Order of Expungement of Customer Dispute Information from the Central Registration Depository (CRD System)), FINRA Rule 2310 (Direct Participation Programs), FINRA Rule 4551 (Requirements for Alternative Trading Systems to Record and Transmit Order and Execution Information for Security Futures) and FINRA Rule 2266 (SIPC Information) in the Consolidated FINRA Rulebook
  • Regulatory Notice 09-25 – Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations; Comment Period Expires: June 29, 2009
  • SR-FINRA-2009-036 – Proposed Rule Change to Adopt FINRA Rules 2124 (Net Transactions with Customers), 2220 (Options Communications), 4370 (Business Continuity Plans and Emergency Contact Information) and 5250 (Payments for Market Making) in the Consolidated FINRA Rulebook
• Office of Foreign Assets Control (OFAC) Program Certification
  • DTC #B5122-09 – Implementation of Confirmation of an OFAC Program Certification Requirement.  See also: NSCC A#6826 – Implementation of Confirmation of an OFAC Program SR-NSCC-2009-03
  • FICC #GOV078.09 – Implementation of Confirmation of an OFAC Program Certification Requirement; FICC #MBS109.09 – Implementation of Confirmation of an OFAC Program Certification Requirement
  • SEC Release No. 34-59917; File Nos. SR-DTC-2009-07, SR-FICC-2009-06, SR-NSCC-2009-03 – Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to Economic Sanctions and Embargo Programs Administered and Enforced by the Office of Foreign Assets Control
• MSRB Electronic Municipal Market Access System (EMMA)
  • Release No. 34-59881; File No. SR-MSRB-2009-05 – Notice of Filing of Proposed Rule Change Relating to the Subscription Service for Continuing Disclosure Documents Through the Electronic Municipal Market Access System (EMMA®)
  • Release No. 34-59964, File No. SR-MSRB-2009-03 – Order Granting Approval of Proposed Rule Change Relating to the Establishment of a Pilot Phase of Its Upcoming Continuing Disclosure Service of the Electronic Municipal Market Access System (EMMA®)
  • Release No. 34-59966; File No. SR-MSRB-2009-02 – Order Granting Approval of Proposed Rule Change Relating to the Establishment of a Primary Market Disclosure Service and Trade Price Transparency Service of the Electronic Municipal Market Access System (EMMA®) and Amendments to MSRB Rules G-32 and G-36
• Direct Edge Applies for Exchange Status
• FIF Symbology Symposium III sponsored by Broadridge – June 29 th @ 4:30 – 8 PM ET