Highlights Recently Published Regulatory Notices
CBOE proposes to add new products eligible for trading during its Extended Trading Hours.
A 2-Factor Authentication procedures will be applied to DTC’s Web portal Applications effective October 10, 2015.
FINRA issues Election Notices for District Committee vacancies and Small Firm Advisory Board positions.
MSRB revised the effective date for new Rule G-18 on Best Execution to be no later than April 29, 2016.
Nasdaq’s Disaster Recovery site for its six option and equities markets is now live in Chicago.
NYSE issues notice to remind its members of their obligations to review for Professional Customers and to mark order accordingly.
OCC announces changes to its member’s Clearing Fund Requirements and reminds members of their obligations to meetIntraday Margin Calls.