Highlights Recently Published Regulatory Notices 17 August — 28 August 2015

CBOE announces procedures for automatic renewal of FBW and FBW2 login IDs.

ISO 20022 Redemption Lifecycle processing messages are available for client parallel production testing at DTC.


FinCEN proposes rules for minimum standards for anti-money laundering programs to be established by Investment Advisers.

FINRA proposes to incorporate NASD Rule 3040 into the Consolidated Rule Book as FINRA Rule 3280 Private Securities Transactions of an Associated Person.

IRS publishes several updates to FATCA reporting.


Nasdaq announces details related to its migration of the DR Data Center to Chicago.

In an effort to support firms in the Money Market Reform Initiative, NSCC has announced changes to its social codes used in fund processing.

OCC will expand its Large Trader Reporting capability to begin collecting Large Trader data from Futures participants for CFE products.


The Public Company Accounting Oversight Board issued its annual report on its interim inspection program for auditors of broker-dealers.

SEC issues the first Fee Rate Advisor for Fiscal Year 2015 announcing that the fees public companies and other issuers pay to register their securities will be set at $100.70 per million dollars for fiscal year 2016.