Highlights Recently Published Regulatory Notices 16 February – 27 February 2015

CBOE, in preparation for its implementation of Extended Trading Hours (ETH), issued several notices to members related to its operations, testing, disclosures and the initial list of Clearing TPH and OCC member numbers available for give-up upon the launch of the ETH session.

The fourth and final phase of DTC’s Settlement Matching initiative, which subjects all institutional deliveries to the Receiver Authorized Delivery protocol, will be implemented for trades settling February 27, 2015.

FINRA introduces a revised TRACE New Issue form beginning on March 2, 2015.

Monthly, quarterly and yearly aggregate market information for the period 2010-2014 related to the municipal bond market was published by the MSRB in the form of its FACT Book.

NSCC is re-writing and updating its legacy output known as the Consolidated Trade Summary and has established a website where members can obtain specific details on this initiative.

In preparation for CBOE’s Extended Trading Hours, Options Clearing Corporation announced new requirements for Clearing Members in that they must provide contact information and a deposit of initial margin.

U.S. Treasury Office of Foreign Assets Control (OFAC) issued two updates related to Kingpin Designations and Counter Terrorism Sanctions.

The rate for Section 31 Fees will remain static through fiscal year 2015. The SEC announce that a mid-year adjustment is not required.

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