Highlights Recently Published Regulatory Notices 28 September – 9 October, 2015

Highlights Recently Published Regulatory Notices

28 September – 9 October 2015

CBOE proposes to hardcode the complex order type parameter as it relates to Complex Orders with three or more legs that are entered on an immediate or cancel basis.

DTC issues reminder that it will discontinue the option offered to issuers that allows for the Distribution of Fractional shares when it handles fractional dispositions of shares resulting from corporate actions.

The long awaited TBA Margin Proposal was published for comment by FINRA.

MSRB publishes its RTRS Specifications and its RTRS User Manual that documents the enhancements to RTRS related to its post trade price transparency effective May 23, 2016.

Nasdaq announces updated TRF Specifications to support amendments to FINRA rules governing the Reporting of OTC Transactions beginning February 1, 2016.

NSCC announces rule filing to require trade data submitted through its Correspondent Clearing service to be submitted in real time and to prohibit pre-netting and other practices that prevent real time trade submission.

OCC publishes its standards by which it will require clearing members to participate in the Industry-Wide Business Continuity Test on October 24, 2015.

SEC announces disciplinary actions and fine against Credit Suisse related to Deficient Blue Sheet submissions.

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