Highlights Recently Published Regulatory Notices 12 October – 23 October 2015

It has been a busy two weeks!

CBOE proposed to amend its Complex Order rules and has revised the content outline for the Series 4 Options Principalexamination.

DTC reminds its participants that beginning on January 1, 2016, it will charge a fee of $50,000 to clients taking CCF Files for Distribution announcements regardless of whether one file or multiple files are taken.

FICC announces effective June 10, 2016 it will discontinue populating the Extended Settlement Days field on certain NSCC Fixed Income AutoRoute files and updates its members on the Novation initiative.

FINRA requests comment on its revised proposed rule to require member firms to Disclose additional information onCustomer Confirmations on transactions in Corporate and Agency Debt instruments.

Addressing the financial exploitation of Seniors and Other Vulnerable Adults, FINRA seeks comment on proposed rules related to that topic.

FINRA OATS announces a proposal, a file layout, FAQs and revised OATS Technical /Specifications that would facilitate the requirement of Tick Size Pilot and Market Maker members to report to FINRA and OATS specific data elements related to the Tick Size Pilot.

The MSRB extends its deadline for comments related to the revised Confirmation Disclosure proposal to align its comment period with FINRA.

Nasdaq announces it will add Short Sale Indicators and Execution Time timestamps in Milliseconds to the Clearing Submissions to NSCC for Nasdaq Stock Market, BX and PSX.

NSCC announces the effective date of November 20, 2015 for the requirement of its participants to submit Correspondent Clearing Transactions in Real Time and the prohibition of Aggregation of Submissions.

OCC announces report and screen changes to its ENCORE System to be implemented on October 31, 2015 as part of its management of Liquidity Risk.

SEC announces it had a good year (personal opinion) related to Enforcement Actions in that it filed 807 Enforcement Actions and obtained Settlement Orders totaling approximately $4.20 BILLION in disgorgement and penalties.

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