Highlights Recently Published Regulatory Notices – 01 – 15 March, 2016

Highlights Recently Published Regulatory Notices * 01-15 March 2016

From CAT:

CAT SRO’s publish its high-level security controls that will be required by the CAT NMS plans.
From CBOE:

Issues details addressing special margin for Asian and Cliquet Style Settlement FLEX Broad-Based options.
Amends its proposal relating to counting of orders for Professional order counting purposes.
From DTC:

Issues reminder notice of the requirement of annual Business Continuity Testing of connectivity of dedicated lines to its data center.
From FINRA:

Updates its FIX and CTCI User Guide for TRACE reporting that will be effective on July 18, 2016.
FINRA issues request for comment on proposed amendments in support of the industry initiative to shorten the settlement cycle to T+2.
Issues FAQs related to research activities.
Distributes a report of its review of the rules governing the Membership Application program.
Publishes its report of disciplinary actions for March 2015.
From MSRB:

Files its rule amendment with the SEC to support the industry initiative to shorten the settlement cycle to T+2.
Releases its Annual Fact Book for 2015.
From Nasdaq:

Publishes details related to the Daily Change List identifying the Pre-Pilot Data Collection securities in the Tick Size Pilot.
Will introduce a new Valuation Report – Money Market Funds with Calculation Type message format for MFQS inbound and outbound pricing interfaces..
From NYSE:

Issues details related to its new rules and requirements addressing investigation and discipline.
From OCC:

Will introduce implied volatility modeling enhancements to its margin methodology effective April 5, 2016.
Issues details related to new option products Asian Style and Cliquet options.
From SEC:

Issues exemptive relief related to certain requirements of Rule 613 Consolidated Audit Trail.
Forms an Office of Risk and Strategy with OCIE.
From: U.S. T+2 ISC:

Officially announces the target date of September 5, 2017 for the move to a T+2 settlement cycle.
From U.S. Treasury:

FinCEN proposes rule changes that would expand the exemption for U.S. persons with signature or other authority over foreign financial accounts.

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