Highlights Recently Published Regulatory Notices 30 March — 10 April 2015

Recently-Published-Regulatory-Notices-30-March—10-April-2015.pdf

Highlights Recently Published Regulatory Notices

30 March — 10 April 2015

CBOE announces effective date for Order Marking Requirements related to Option Orders Tied to Stock. It also announces it will again postpone the effective date for the Reporting Requirements for this initiative.

The 2015 Timeline of Events for the DTC ISO 20022 message standard release for Corporate Action messaging that is scheduled for November 2015.

The Capped Contingency Liquidity Facility Test will be held by FICC on May 18, 2015.

To assist in the development of a new Series 57 Securities Trader qualification examination, FINRA will be conducting a survey during April 2015.

AIP products will be subject to Account Transfer Fees under a proposal from NSCC.

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