Highlights – Regulatory Notices 27 October 2014 – 7 November 2014

· OCC announcement related to Clearing Fund requirements and the additional prudential measures they have scheduled for the month of November and going forward until a new standard clearing fund sizing methodology can be implemented. (OCC Info Memo #35507 issued October 31, 2014)
· Continuing on the Clearing Fund theme, OCC announces details related to the Clearing Fundrecalculations and the procedures for firms to deal with when responding to a deficit situation. (OCC Info Memo #35521 issued November 3, 2014)
· CBOE announces the delay of the compliance date of the recently revised Regulatory Reporting Data Submission Format the member are required to use when responding to a CBOE regulatory information request. (CBOE Regulatory Circular 14-154 issued on October 31, 2014)
· Several notices were issued from U. S. Treasury/Internal Revenue Service related to updated FATCA information. (FATCA News & Information 2014-37 through 2014-39 issued on November 3, 2014)
· Proposed enhancements to RTRS and comments received on proposed Rule G-37 were items discussed at the MSRB quarterly meeting. (MSRB Holds Quarterly Board Meeting published November 3, 2014)
· Enhancements were announced by NSCC to their Mutual Fund Profile Service, Fund/SERV, DTCC Payment aXis and Networking which will be effective April 27, 2015. (NSCC Important Notice a7926 issues on November 3, 2014)
· DTC announces changes to their processing to not reject Memo Segregation transactions submitted on globally lock CUSIPs via automated input. (DTC Important Notice 2179-14 issues on November 6, 2014)
· Investor Strong Support for Additional Regulatory Protections was announced by FINRA as a result of a survey they took of 1000 investors. (FINRA News Release November 6 2014)