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utr:S
sro00:Trades
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As filed
with the Securities and Exchange Commission on January 31, 2034
THIS
DOCUMENT IS A TECHNICAL ILLUSTRATION OF HOW CERTAIN DISCLOSURES IN SEC FILINGS ARE TO BE TAGGED. IT DOES NOT INDICATE WHICH
PARTICULAR DISCLOSURES MUST BE INCLUDED AND/OR TAGGED IN COMMISSION FILINGS, AND IT DOES NOT CONSTITUTE LEGAL GUIDANCE OF ANY SORT.
UNITED
STATES
SECURITIES
AND EXCHANGE COMMISSION
WASHINGTON,
D.C. 20549
ANNUAL
REPORT ON STRAIGHT THROUGH PROCESSING
Form
TBD
XYZ
Clearing Agency
(name
of registrant)
100 F St.
NE
Washington,
DC 20549
Summary of Policies
and Procedures to Facilitate Straight Through Processing
XYZ
Clearing Agency has policies and procedures to facilitate straight through processing (STP) of securities transactions. XYZ Clearing Agency
provides users a platform that uses automated trade matching, settlement instruction and settlement statuses for all parties to enable
straight through processing…
Description of the XYZ Clearing Agency’s progress in
facilitating STP
Over the past twelve months, the number
of securities transactions completed by XYZ Clearing Agency by using STP increased significantly due to [...]
Over the next 12 months, XYZ Clearing Agency plans to perform
additional outreach to inform users of the availability of XYZ Clearing Agency’s platform to automate
trade matching, settlement instruction and settlement statuses to enable STP…
STP Data Table (in millions)
January 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
February 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
March 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
April 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
May 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
June 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
July 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
August 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
September
2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
October 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
November 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |
December 2033 |
|
|
|
|
|
|
|
|
|
Central Matching |
Electronic Trade Confirmation |
|
Service Provider |
Broker-Dealer |
Service Provider |
Broker-Dealer |
|
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Stocks |
Bonds |
Number of trades submitted |
8.00 |
6.00 |
10.00 |
12.00 |
9.00 |
7.00 |
9.00 |
11.00 |
Number of allocations submitted |
7.75 |
575 |
975 |
1,175 |
8.75 |
6.75 |
8.75 |
10.75 |
Number of confirmations submitted |
7.50 |
5.50 |
.95 |
11.50 |
8.50 |
6.50 |
8.50 |
10.50 |
Number of confirmations canceled |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
0.50 |
Percentage of confirmations affirmed on trade date |
80% |
81% |
82% |
83% |
84% |
85% |
86% |
87% |
Average seconds from confirmation to affirmation |
6.0 |
5.5 |
5 |
4.5 |
4 |
3.5 |
3 |
2.5 |
Percentage of allocations and confirmations that are matched and automatically confirmed |
75% |
76% |
77% |
78% |
79% |
80% |
81% |
82% |
Progress Metric specific to XYZ Clearing Agency |
60% |
61% |
62% |
63% |
64% |
65% |
66% |
67% |