Highlights Regulatory Notices 8 December – 19 December 2014

In response to industry request, CBOE announces it is postponing the implementation date of February 9, 2015 of its new requirement related to Tied to Stock Order Marking & Reporting Requirements.

DTC announces that its Corporate Action Identifier (CA ID) will be expanded to 9 digits in early Q1 2015 and anticipates it being further expanded up to 16 digits.

Expressing its concern, FINRA issues reminder to members of their disclosure obligations related to Extended Trading Hours.

FINRA announces several reporting and dissemination changes to TRACE Reporting effective April 27, 2015.

The SEC approved MSRB’s proposal to adopt the first explicit best-execution rule for transactions in municipal securities.

NSCC announces enhancements to its Alternative Investment Product Services effective on March 26, 2015.

In preparation for Extended Trading Hours, Options Clearing Corporation is filing a rule change to implement a framework for clearance of trades executed in the overnight sessions.

SEC amends its rule to extend the date of sunsetting Rule 206(3)-3T Principal Trades with Certain Advisory Clients from December 31, 2014 to December 31, 2016.

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