Highlights Recently Published Regulatory Notices 16 – 31 January 2016

Highlights Recently Published Regulatory Notices 16 – 31 January 2016

From CBOE:

Files a rule proposal to make it clear how firms are to count complex orders, parent/child orders and cancel/replace orders for Professional Order counting purposes.
Announces a new target date of March 14, 2016 for its change to the behavior of quote cancel request by class in the Quote Cancel Request messaging.
From DTC:

Issues notice of the timeline on which it will retire the CCF Corporate Action files.
Announces a delay (TBA) in the implementation of its changes to Memo Seg related to DRS receives.
From: DTCC:

Publishes a whitepaper discussing its thoughts on secured distributed ledger that it believes could provide significant operations improvements, mitigate risk and reduce post-trade costs.
From FICC:

Reminds its participants of the requirements to include an MPID when submitting trades to RTTM.
Offers its participants a machine readable output report of Clearing Fund Required Deposits and Funds on Deposit twice daily.
From FINRA:

Issues reminder to firms of the requirement to establish, maintain and enforce written policies and procedures related to trade and reporting OTC transactions in the event of a system issue.
Files a rule change to delay the implementation date related to the TRACE rule change to require members to report a non-remuneration indicator on TRACE reports until July 18, 2016.
Issues notice of a recent SEC No-Action Letter that provides for broker-dealers to file required annual and supplemental reports electronically through the SEC’s EDGAR system.
Publishes technical information related to the files it will provide that will identify the Tick Size Pilot securities.
From MSRB:

Proposes to lengthen the term that a Board Member may serve from three years to four years.
Publishes the criteria for designating participants for mandatory functional and performance testing of the operations of its BC/DR plans under Reg SCI.
Publishes the agenda of topics to be discussed at its Board of Directors meeting.
Revises the content of the Series 9/10 qualification examinations.
From NSCC:

Advises participants that the changes described in MSRB Notice 2015-07 are available in its Participant Services Environment for testing.
Issues notice of its plan to enhance AIP to support changes related to FINRA Regulatory Notice 15-02.
From NYSE:

Proposes to eliminate the pre-trade Electronic Order Capture system requirement that ATP Holders give up the name of the Clearing Members responsible for clearing each trade before representing a trade in open outcry.
From OCC:

Announces it will, during 2016, work with its members and exchanges to convert from MQ and NDM connections to TLS Transport Layer Security.

Top