Recently Published Regulatory Notices 6 July — 17 July 2015

In preparation of its new Extended Hours Trading Session, CBOE announces details related to pre-open order entry.

DTC announces enhancements to DWAC Functionality and Memo Segregation scheduled for implementation in October. 2015.

FINRA issues several publications — new FAQs related to firms participating in the MCDC Initiative, an Investor Alert related to Bond Liquidity, New FAQs for OATS Reporting, updated FAQs for Trade Reporting and a request for Comment on a TRACE Academic Data Product.

Mirroring FINRA, MSRB is seeking comment related to an Academic Data Product related to Municipal Bond Trade Reporting.

New IP Addresses were published by Nasdaq for connectivity to its new back-up DR Center in Chicago.

Information related to its upcoming Trade Capture Changes was updated by NSCC.

Authorization related to its Expiration Processes will no longer be required by OCC starting on December 5, 2015.

OFAC issues regulations related to Blocking Property and suspending entry of certain persons contributing to the situation in Venezuela.

The joint regulators of the U.S. Financial Markets, including the SEC, issued a report analyzing the Significant Volatility in the U.S. Treasury Market on October 15, 2015.

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