Highlights Recently Published Regulatory Notices
16 – 30 April 2016
- Updates TPHs on the inactivation of the Quote Lock Timer functionality.
- Proposes an amendment to codify an exception to the availability of split-price priority when the width of a series’ quote is at the minimum increment.
- Announces it will enhance Settlement Web to include “Grand Totals” improved search capability.
- Offers webinar training and Q&A session to prepare for the transition of redemptions lifecycle functionality.
From DTCC Solution:
- Announces testing and production dates for CBRS Phase 6 input and output.
- Publishes notice addressing the responsibilities of firms to supervise the sale of pension income stream products.
- Advises members of recent SEC action related to the treatment of foreign equity securities having a “ready market” under Net Capital rules and Reg T.
- Responding to industry concerns, it delays the implementation of its Deb Research Rule 2242 until July 16, 2016.
- Announces a technology refresh on its NOM trading system that will require network and IP changes by participants.
- Eliminates the publication of OTC Important Notice for updates to the List of OTC Securities.
- Announces it will begin validating principal trade amounts submitted on OTC transactions.
- Proposes to amend the definition of “block” purposes of Rule 72(d) and the size of proposed cross transactions eligible for the Cross function in Rule 76.
- Reminds members of the implementation of its Stock Loan Position Balancing initiative.
- Publishes details of its new Stock Loan Buy-In/Sell-Out (BISCO) screen in ENCORE.
- Publishes an inspection brief previewing the results of 2015 inspections.
- Approves an extension of the pilot period for LULD until April 17, 2017.
- Issues request for comment on Consolidated Audit Trail.