Highlights Recently Published Regulatory Notice – 01 – 15 January 2017

01 01 17 – 01 15 17 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

01 – 15 January 2017

From the CBOE:

  • Proposes amendments to its earlier proposal to approve the AIM pilots on a permanent basis.
  • Postpones until May 1, 2017 its plans to change the symbol for SPXPM options series to SPXW in both regular and extended trading hours sessions.
  • Files rule change impacting the information and formats used by Market Makers to report executed trades.

From Depository Trust Company:

  • Receives SEC approval of its rule proposal related to MMI Finality through Optimization.


  • Updates the technical specification for TRACE supporting reporting of U.S. Treasury Securities.
  • Issues Notice to assist firms in their review, reconciliation and response to the Final Statements related to annual registration renewals.
  • Announces SEC approval to two amendments to its Arbitration rules.
  • Publishes its 2017 Examination Priorities.

From Internal Revenue Service:

  • Issues several updates to FATCA Reporting including updated schemas and agreements.

From Municipal Securities Rulemaking Board:

  • Issues its Annual Report for 2016.
  • Seeks comment on a proposal related to customer account transfer rules.
  • Issues call for qualified candidates to fill several Board of Director positions.

From National Securities Clearing Corporation:

  • Issues revisions to its enhancements related to the support of the DOL’s Fiduciary rule.
  • Announces delay until January 27, 2017 for its change to the Portal for correspondent clearing and commission billing.
  • Updates participants on its plans to accelerate its trade guaranty with additions/deletions to the Clearing Fund formula.

From New York Stock Exchange:

  • Advises members of recently amended Rule 15 (DMMs publish preopening indicators) to add a wider Applicable Price Range for securities with a Reference Price of $3.00 or lower.

From Options Clearing Corporation:

  • Proposes enhancements to its STANS margin methodology that are designed to more accurately compute clearing member margin requirements to reflect the risk of their portfolios.

From the Securities & Exchange Commission:

  • Announces its 2017 Examination Priorities.
  • Publishes details of recent settlements with Citadel Securities ($22.6 million) and Morgan Stanley ($13 million).