Recently Published Regulatory Notices 11 May — 22 May 2015


Highlights Recently Published Regulatory Notices 11 May — 22 May 2015

CBOE issues notices related to its proposal to Complex Option Order Tickets and the postponement of the Reporting Obligation of its members related to Orders Tied to Stock under its Rule 15.2A.

The option for issuers to Distribute any Fractional Share for new issues into DTC’s system is being proposed by DTC for elimination.

Technical Specifications for OATS Reporting was released by FINRA for its September 2015 Release.

The mitigation of risk related to the addition of a Leap Second will cause Nasdaq Stock Market and the ACT System to close early on June 30, 2015.

NSCC announces due to the precise use of social codes, it will not pursue the retirement of Social Code 99 at this time.

Options Clearing Corporation is proposing to enhance visibility into and control over collateral deposits made under its Escrow Deposit Program.

The SEC proposes rules to modernize and enhance information reported by Investment Companies and Investment Advisers.