Highlights Recently Published Regulatory Notices 14 September — 25 September 25, 2015

Highlights Recently Published Regulatory Notice 14 September through 25 September 2015

CBOE proposes changes to its Margin Rules that would provide for a specific margin treatment related to all covered puts and calls to apply to all Index Options in the same manner.

DTC announces testing is now available related to its enhancements to FAST Deposit and Memo Seg and the implementation date is being revised to October 9, 2015.

FINRA publishes it long anticipated rule proposal to establish Margin Requirements to the TBA Market and another proposal to apply the Mark-Up rule to Government Securities Transactions.

Department of Treasury and the IRS announced amendments to FATCA regulations section 1471-1774 to extend the time that certain FATCA Transitional Rules will apply.

MSRB seeks public comment on its revised proposal to require Disclosure of Mark-Ups on Principal Trades with Retail Customers.

Options Clearing Corporation announces its Hedge Eligibility Securities report is now updated on a daily basis and is available up to 5 business days.

SEC proposes rule changes to require Open-End Mutual Funds to establish a Liquidity Risk Management Program.

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