Highlights Recently Published Regulatory Notices 16 March — 27 March 2015

CBOE issues several notices related to its new Extended Trading Hours sessions.

DTC announces the retirement of several legacy PTS/PBS functions as they continue to implement its Corporation Actions initiative.

Due to increased exposure related to trade processing over the Good Friday Holiday, FICC will increase its members’ Value-at-Risk component of their Clearing Fund Requirements by 15%.

FINRA requests comment on a proposal to require the registration of associated persons involved in any way of the development of a Algorithmic Trading Strategies.

MSRB files with the SEC a rule proposal to amend its Real Time Trade Reporting procedures, Real Time Service procedures and Subscription Services in order to enhance further the post-trade price transparency information provided through RTRS.

Nasdaq issues a technical notice that the FINRA/Nasdaq TRF will support the amendments to FINRA rules governing the trade reporting of OTC transactions.

NSCC announces plans to require submission details External Position Movements, Intra-Family Positions Movements, Original Execution and Real Time Submission to Universal Trade Capture.

Securities & Exchange Commission adopts amendments to Regulation A to implement Section 401 of the JOBS Act.

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