Highlights Regulatory Notices 25 November – 5 December 2014

CBOE is proposing to amend its rule related to Complex Option Orders.

Proposed amendments to GSD & MBSD rules from FICC on insolvency and ceasing to act situations.

Changes to TRACE are proposed by FINRA to require members to identify transactions with non-member affiliates.

Instructions related to Form 1042 (2014) were issued by the Internal Revenue Service.

Concerns related to Qualified Contingent Trades Outside NBBO was raised by Nasdaq.

Clearing Fund Requirements for NSCC will be changed in December 2014 due to the implementation of the third phase of the elimination of the ID Offset.

New limits on equity collateral pledged as margin will be implemented by Options Clearing Corporation on December 5, 2014.

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