Highlights Recently Published Regulatory Notices 22 June — 3 July 2015

Highlights Recently Published Regulatory Notices 22 June — 3 July 2015

The Options Regulatory Fee rate will be reduced, as announced by the CBOE, from $0.0086 to $0.0064 per option contract effective on August 1, 2015.

FICC announces changes to its logic for determining which Clearing Bank a Netting Member must deliver its obligations to, and receive its obligations from.

FINRA announces revisions and updates to its Interpretations of Financial and Operations Rules.

To codify its expectations, FINRA is proposing a rule amendment to state the FINRA members must report transactions to TRACE as soon as practicable after expectation and not deliberately delay the reporting.

NSCC announces it will begin collecting the Exchange Transaction Fees for BATS X and BATS Y Exchanges.

Several enhancements are planned by the Options Clearing Corporation related to its STANS Portfolio Margin Methodology scheduled for early 4Q 2015.

SEC is seeking comments related to Audit Committee and Audit Relationships and potential improvements to enhance information provided to investors related to the audit committee responsibilities and activities.

SEC issues a public statement announcing its support of the industry’s Proposal to Shorten the Trade Settlement Cycle.

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