Highlights of Recently Published Regulatory Notices 26 October – 6 November 2015

Highlights Recently Published Regulatory Notices

26 October 2015 – 6 November 2015

CBOE announces the expansion of the type of Multi-Class Spread orders permitted under its allowable Spread Combinations by including SPX and SPXW and removing VXST.

Under Regulation SCI, member participation in Annual Testing has been proposed by DTC, FICC, FINRA, MSRB, Nasdaq and NSCC.

FICC announces it will suspend the execution of GCF Repo Transactions on an Interbank Basis as of the close of business on July 15, 2016. After that transactions among GCF participants will be permitted only within the same clearing bank.

The effective date of November 30, 2015 for its amendments to TRACE rules to codify that firms are required to report transactions to TRACE as soon as practicable following the execution has been announced by FINRA.

FINRA and the ISG announce an extension of the compliance date for the reporting of certain data elements in Electronic Blue Sheets to align themselves with the SEC.

Nasdaq publishes updates to its FIX and CTCI Specifications to support trade reporting to FINRA/Nasdaq TRF for transactions in Exchange Traded Managed Funds like NextShares.

NSCC announces an enhancement release that will impact ACATS FundSERV services effective February 29, 2016.

NYSE is transferring certain of the regulatory functions currently performed by FINRA to NYSE Regulation effective on January 1, 2016.

OCC outlines several changes it will make to enhance the Risk Management framework of its Stock Lending programs.

SEC adopts Regulation Crowdfunding providing a framework of rules to govern the offer and sale of securities under Section 4(a)(6) of the ’33 Act.

SEC provides exemptive relief to the Large Trader registration and a broker-dealer’s surveillance to allow the Identifying Level for Option Transactions to be calculated based on the premium rather than the underlying value.
SEC issues exemptive order delaying the compliance with the Tick Size Pilot until October 6, 2015.

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