FIF Service Bureau
Although Service Bureaus represent the majority of U.S. broker/dealer firms in back office processing and hundreds of firms in order routing and management, until recently they have not had a forum to discuss and act on industry issues that specifically impact service bureau organization and their clients. The Financial Information Forum Service Bureau and Clearing Firm Committee was formed to pro-actively address industry changes from a multi-client perspective. The committee meets regularly to address the following topics:
- Information Disclosure: Mutual Fund Reform, Patriot Act, NASDR INSITE
- Order handling: NYSE OTS, NASD OATS
- Price transparency: MSRB & TRACE Reporting
- Post-trade Processing: Mutual Fund Reform, RTTM
- Implementation: Multi-client Environment, Testing
- New SEC and exchange reporting requirements
Archive Documents
(FIF members please log in to access documents)
FIF Comment Letter on NASD OATS Changes [Posted: 2005-01-21]
Comment letter on changes to NASD OATS Reporting. Covers issues including non-member reporting and multiple OSO Orders.
December 15, 2004- Meeting Minutes and Materials [Posted: 2004-12-31]
Meeting Notes from the December 15, 2004 Service Bureau Meeting. Topics include TAF Fees, Section 31 Fees, NASD Corporate Debt Panel Feedback, and Regulation NMS.
November 22, 2004- Meeting Minutes and Materials [Posted: 2004-12-07]
Meeting Notes from the November 22, 2004 Service Bureau Meeting. Topics include MSRB Real Time Transaction Reporting, NASD Corporate Debt Panel, and Regulation SHO
September 15, 2004- Meeting Minutes and Materials [Posted: 2004-09-21]
Meeting Notes from the September 15, 2004 Service Bureau Meeting. Topics include Section 31 Fees, NASD OATS, NYSE OTS, SHO revisions, and 1099 Reporting Changes.
August 18, 2004- Meeting Minutes and Materials [Posted: 2004-09-03]
Meeting Notes from the August 18, 2004 Service Bureau Meeting. Topics include MSRB Real Time Trade Matching, NASD OATS, NYSE OTS, Section 31 Fees, SHO revisions, and Reg. NMS.
August 20,2004 - OATS Workshop Notes [Posted: 2004-08-30]
Notes taken during the August 20,2004 OATS Workshop held in New York.
July 22, 2004- Meeting Minutes and Materials [Posted: 2004-08-02]
Meeting Notes from the July 22, 2004 Service Bureau Meeting. Topics include NASD OATS, NYSE OTS, Section 31 Fees, SHO revisions, and Reg. NMS.
June 16, 2004 - Meeting Minutes and Materials [Posted: 2004-06-28]
Meeting notes from the June 16,2004 Service Bureau Meeting. Topics include OTS, Reg NMS, Securities Transactions Settlements, and BCP.
June 23, 2004 - NYSE OTS follow-up letter [Posted: 2004-06-24]
A comment letter from the FIF to the NYSE describing Open Business Issues related to the NYSE Order Tracking System.
FIF Comment Letter on SEC Filing #S7-13-04 [Posted: 2004-06-16]
Comment on the SEC Securities Transactions Settlement Concept Release. This addresses FIF's comments on proposed changes to trade confirmation and affirmation, securities settlement cycles, and the immobilization and dematerialization of securities certi
April 12, 2004 - FIF Comment Letter on SEC Filing #S7-06-04 [Posted: 2004-04-12]
Comment on Proposed Rules 15c2-2 and 15c2-3 and Proposed Amendments to Rule 10b-10 which would require broker/dealers to disclose additional information to investors on purchases of open-end mutual funds and other similar investment products.
March 17, 2004 - Meeting Agenda and Materials [Posted: 2004-03-16]
March 17, 2004 - Meeting Agenda and Materials
March 2004 Meeting Agenda and Materials [Posted: 2004-03-16]
March 2004 Meeting Agenda and Materials
Feb 17, 2004 - FIF Service Bureau Meeting Materials [Posted: 2004-02-17]
Materials discussed on conference call.
TEST2 FIF Comments on Inter-Agency BCP White Paper [Posted: 2004-02-17]
TEST2 FIF Comments on Inter-Agency BCP White Paper
TEST Market Data Committee Meeting Minutes - Jan 29, 2004 [Posted: 2004-02-05]
Materials presented at Jan 29 meeting by Brett Redfearn of AMEX regarding AMEX Closing Price Project.
Jan 22, 2004 - FIF Service Bureau Committee Minutes [Posted: 2004-02-02]
Minutes from January Meeting.
Sept 12, 2003 - FIF Comment Letter to the MSRB on Reporting [Posted: 2003-11-25]
FIF Comment Letter on MSRB Notice 2003-23 - Proposed Changes to Rule G-12 and G-14 to Require Real-time Transaction Reporting
fifinfo@fif.com . 212 422 8568
Financial Information Forum. 5 Hanover Square New York, NY. 10004
Financial Information Forum. 5 Hanover Square New York, NY. 10004