Securities Operations Advisory Group Content

[29535] December 9, 2015 TO: SECURITIES OPERATIONS ADVISORY COMMITTEE RE: MARK YOUR CALENDAR: NEXT SECURITIES OPERATIONS ADVISORY COMMITTEE MEETING – FEBRUARY 10, 2016   The next meeting of the Securities Operations Advisory Committee (SOAC) will take place on Wednesday, February 10th...

[29501] November 19, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 82-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 57-15 INTERNATIONAL MEMBERS No. 40-15 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ESMA PUBLISHES CONSULTATION PAPER REGARDING INDIRECT CLEARING ARRANGEMENTS FOR...

[29484] November 12, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 79-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 55-15 REGISTERED FUND CPO ADVISORY COMMITTEE SECURITIES OPERATIONS ADVISORY COMMITTEE RE: U.S. PRUDENTIAL REGULATORS PUBLISH JOINT FINAL MARGIN AND CAPITAL...

[29479] November 9, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 78-15 FIXED-INCOME ADVISORY COMMITTEE No. 34-15 INVESTMENT ADVISER MEMBERS No. 26-15 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI SUBMITS COMMENT LETTER ON FINRA PROPOSAL TO REQUIRE MARGIN FOR TBA TRANSACTIONS...

[29453] October 29, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 77-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 53-15 INTERNATIONAL MEMBERS No. 37-15 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI GLOBAL SUBMITS COMMENT LETTER TO MONETARY AUTHORITY OF SINGAPORE ON MARGIN...

[29447] October 26, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 76-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 51-15 INTERNATIONAL MEMBERS No. 36-15 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: ICI GLOBAL LETTER TO EUROPEAN COMMISSION ON HAIRCUTTING OF MARGIN OF CLIENTS OF...

[29426] October 16, 2015 TO: DERIVATIVES MARKETS ADVISORY COMMITTEE No. 74-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 49-15 INTERNATIONAL COMMITTEE No. 56-15 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: DRAFT ICI GLOBAL LETTER TO MONETARY AUTHORITY OF SINGAPORE ON MARGIN...

In June, the Industry Steering Committee (ISC) to shorten the U.S. securities settlement cycle released a white paper recommending a migration target of the 3rd quarter, 2017 for the move to T+2 settlement cycle.

[29397] October 5, 2015 TO: EQUITY MARKETS ADVISORY COMMITTEE No. 21-15 ICI GLOBAL REGULATED FUNDS COMMITTEE No. 62-15 ICI GLOBAL TRADING & MARKETS COMMITTEE No. 47-15 INTERNATIONAL COMMITTEE No. 55-15 INTERNATIONAL INVESTING SUBCOMMITTEE No. 11-15 INTERNATIONAL OPERATIONS ADVISORY...

[29384] September 29, 2015 TO: ETF (EXCHANGE-TRADED FUNDS) COMMITTEE No. 25-15 ETF ADVISORY COMMITTEE No. 24-15 EQUITY MARKETS ADVISORY COMMITTEE No. 18-15 SECURITIES OPERATIONS ADVISORY COMMITTEE RE: SEC’S EQUITY MARKET STRUCTURE ADVISORY COMMITTEE MEETING SCHEDULED FOR OCTOBER 27  ...