Highlights Recently Published Regulatory Notices 20 July — 31 July 2015

Changes to the Trading Algorithms processes during Extended Trading Hours was announced by the CBOE.

A proposal to require that firms identify transactions for which a commission or mark-up/mark-down is not reflected in a TRACE Trade Report was announced by FINRA.

As part of its rule consolidation process, FINRA issues its proposal related to Accounts at Other Broker Dealers and Financial Institutions.

MSRB is revising the Content Outlines for its qualifying examinations — the Series 51, Series 52 and Series 53.

A reduction in the Options Regulatory Fee, effective September 1, 2015, was announced by Nasdaq.

NSCC announces that starting trade date November 6, 2015, it plans to make T+1 Settlement Cycle CMU RTTM Trades eligible for settlement in CNS and Non-CNS Balance Order Systems.

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