Highlights Recently Published Regulatory Notices

04 16 16 – 04 30 16 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

16 – 30  April 2016

From CBOE:

  • 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.

From DTC:

  • 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.

From FINRA:

  • 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.

From NSCC:

  • 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.

From NYSE:

  • 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.

From OCC:

  • 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.

From PCOAB:

  • Publishes an inspection brief previewing the results of 2015 inspections.

From SEC:

  • Approves an extension of the pilot period for LULD until April 17, 2017.
  • Issues request for comment on Consolidated Audit Trail.
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