Highlights Recently Published Regulatory Notices 27 April 2015 — 8 May 2015


It has been a busy two weeks for regulators publishing notices.

CBOE proposes new Rule 6.79 to codify policies related to Floor Broker Errors and Error Accounts.

CBRS Phase 5 was announced by DTCC Solutions.

TRACE Fact Book 1Q 2015 has been released by FINRA.

The IRS issues a FATCA News & Information notice where it announces that entities who are not assigned a GIIN number must register for a FATCA Identification Number.

MSRB releases its Report of Timing of Annual Financial Disclosures by Issuers of Municipal Securities. This is an update to its 2013 report.

Nasdaq announces it will migrate its Disaster Recovery Data Center from Ashburn VA to Chicago IL.

Nasdaq adopts new harmonized Obvious Error rule in conjunction with other option exchanges.

NSCC is updating its rules related to the removal of Buy-In Notices within CNS if the buy-in position is satisfied by settling trades or miscellaneous activity.

In an effort to reduce confusion regarding the pricing of an IPO, NYSE is proposing to discontinue publishing Order Imbalance Information if the security is a new issue.

Options Clearing Corporation announces a Risk Model they propose to add to its STANS methodology to support the clearance and settlement of Asian and Cliquet Style options.

Options Clearing Corporation proposes to change its rule related to Escrow Deposits, Cash and Securities Deposits and the manner in which members make deposits.

OFAC releases its Terrorist Asset Report for calendar year 2014 to Congress.

SEC releases several notices — its proposed rule related to Disclosure of Pay Versus Performance, its approval of the Tick Size Pilot Program, Outreach Program for Reg SCI, Outreach Program for Investment Advisors and Investment Company Senior Officers and in partnership with FINRA, a National Outreach Program for Broker Dealers.