Highlights Recently Published Regulatory Notices 3 August — 14 August 2015

CBOE proposes to amend its rules related to Qualified Contingent Cross orders and publishes a Circular to restate its policy on Pre-Arranged Trades.

Effective October 1, 2015, DTC will be modifying its procedures regarding announcements of Preliminary Rates for redemptions with a “Make Whole Premium” provision.

FinCEN issues ruling related to issuing physical or digital Certificate of Ownership of Precious Metals.

New FAQs have been added to OATS Reporting by FINRA.

MSRB filed a rule change to its Rule A-12 Registration Fees and A-13 Underwriting and Transaction Assessments.

NSCC publishes the Obligation Warehouse RECAPS schedule for 2016.

OCC published its procedures that members must follow to obtain new Letters of Credit to replace those expiring on September 1, 2015.

SEC publishes its final rule related to Pay Ratio Disclosure under Regulation S-K Item 402.

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