Highlights Recently Published Regulatory Notices

Announces enhancements to its PAR Trade Book, Trade All and Sweep functions.
Temporarily inactivates its Qualified Contingent Cross functionality for simple and complex orders.
Will enhance its price protections for complex orders expanding protections for calendar spreads.
Proposes amendment to its rules providing guidance on TPH reporting duties in which certain required reporting information is unknown.
File rule change to reduce the order handling and exposure period of its AIM and SAM processes from 1 second to a time period designated by the Exchange of no less than 100 milliseconds and no more than 1 second.

Announces several enhancements to its CA Web application effective April 6, 2017.
Issues notice and details related to Business Continuity testing for 2017.

Files proposed change to the Private Placement Filer Form a member completes when submitting private placement filings.
Proposes amendments to NASD/NYSE rules related to qualification and registration requirements into the FINRA Rulebook which restructures current qualification examinations and creates a new general knowledge examination.
Issues Special Notice seeking comment on its current engagement programs.
Publishes a list of FAQs related to its recently amended Rule 3210.
Updates the Web API specifications for TRACE.
Receives SEC approval of its proposal related to the protection of seniors and vulnerable adults.

Files rule change related to continuing education requirements for municipal advisors.
Announces SEC approval of a rule change to support the industry’s move to a shortened settlement cycle.

Proposes amendments to its rules to specify the execution priority of an order that has been locked or crossed at its non-displayed price by a post-only order and re-priced for purposes of the opening, closing or halt cross.
Announces the addition of a new liquidity code on executions for orders that removed the against price improving non-displayed liquidity.

Publishes its schedule of the rollout of new clearing dashboard presentations of CNS screens.
Announces the implementation of new logic to identify foreign securities for the purposes on excluding them from Obligation Warehouse.
Files rule change to enhance the matrix used to evaluate risk posed by certain members and other amendments to increase transparency.
Updates participants on its ACATS enhancements.
Reschedules its PSE testing of enhancements to Mutual Fund Profile Service II – Security Issue Database to April 5, 2017.
Details its implementation plan for the Consolidated Trade Summary Re-Write which is scheduled to go live June 23, 2017.
Announces it will cease the Parallel Period and introduce the Accelerated Trade Guaranty on April 24, 2017.
Proposes enhancements to its I&RS Services to provide for a new data repository related to fees, expenses and commissions.

Issues bulletin notifying its DMMs of recent amendments to its Rule 103B governing the allocation and reallocation of issuers’ securities to DMM units.

OCC and NSCC have agreed, pending regulatory approval, to modify their “Accord” related to issues arising from dual margin collection.
Announces an enhancement to its On-Demand Position file to include excess closing buy and sell transactions to assist firms in trade balance and position adjustments.
Issues details of its plans for business continuity testing in 2017.

Adopts amendment to the Settlement Cycle Rule 15c6-1(a) under the ’34 Act to shorten the standard settlement cycle from three business days after the trade date to two business days after the trade date.
Announces the schedule of its compliance outreach programs seminars for investment companies and investment advisors for 2017.
Adopts amendments to the JOBS Act.

Responding to industry feedback, DTCC will change the Prime Broker disaffirmation cutoff time for the T+2 settlement environment from 9:30 AM ET T+1 to 5:00 PM ET T+1.
Issues corporate action test events for upcoming test cycles.