Highlights Regulatory Notices 10 November – 21 November 2014

Recently-Published-Regulatory-Notices-10-November—21-November-2014.pdf

DTC announces next phase of Settlement Web development launching Settlement Bank Statements on November 17. 2014.
FinCEN list of jurisdictions with strategic deficiencies in the AML/CFT regimes. Further they urge additional risk aversion measures and due diligence.
FINRA request comment on one of their trading information initiatives to reduce the synchronization tolerance for computer clocks. Comment period ends January 5, 2015.
In another request for comment FINRA request feedback on a proposed rule that imposes a requirement for disclosure of pricing information on same-day, retail-size principal transactions in fixed income transactions. Comment period ends January 20, 2015.
The IRS issues notice related to FATCA reporting and updated forms and instructions for Form 1099-Misc.
NSCC issued notice to its members of an upcoming re-write of the Consolidated Trade Summary and a survey that will be sent to members in November 2014 seeking their feedback.
OCC issues two notices related to the change to its Net Long Exercise Policy which will be installed into their systems on Monday November 24, 2014.
The Securities & Exchange Commission approved and published the new Regulation Systems Compliance and Integrity rule, more commonly known as Regulation SCI. Additionally, they published SEC Staff Guidance on the new regulation.

Top