Highlights Recenlty Published Regulatory Notices 5 January – 16 January 2015

CBOE files rule proposal extending the implementation date related to its requirement for Trading Permit Holders to identify Option Orders Tied to Stock and report on such orders.

FICC updates its member on the processes and procedures related to its new Development Fee to support its Novation Services.

Modifications to the FINRA’s Customer Account Statement Requirements related to the inclusion of a per share estimated value for DPPs and Unlisted REITS received SEC approval.

FINRA issues its 2015 Regulatory & Exam Priorities letter to its membership.

Modifying certain of the reporting requirements, FINRA reminds it members of the technical changes to TRACE Dissemination and Reporting effective April 27, 2015.

Options Clearing Corporation announces the processes and procedures related to the explansion of options trading in Extended Trading Hours.

The SEC released its Compliance Inspections and Examination priorities for 2015.

Section 31 Fees for funding the SEC will change to $18.40 per $1,000,000 in transactions effective on February 14, 2015.

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