Highlights Recently Published Regulatory Notices 01-15 of May 2017

05 01 17 – 05 15 17 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

01 – 15 of May 2017

From Chicago Board Options Exchange:

  • Releases details and TPH action items related to the SIFMA Annual BCP test scheduled for October 14, 2017.

From Depository Trust Company:

  • Announces enhancement to its MMI Tracking screen in Settlement Web.
  • Issues list of non-transferrable securities to be destroyed on or after August 11, 2017.

From Fixed Income Clearing Corporation:

  • Reminds Foreign Netting Members of their annual requirement to file updates to their foreign legal opinions with FICC by June 9, 2017.


  • In coordination with the SEC, announce details of the Compliance Outreach Program.
  • Releases topics for discussion at its May Board of Directors meeting.
  • Files rule proposal to establish fees broker-dealers will pay to build and maintain the Consolidated Audit Trail.
  • Issues revised FIX specification for TRACE Reporting of Treasury Securities.
  • Solicits responses to its annual Risk Control Assessment Survey.
  • Receives SEC approval of several rule changes to support the industry’s move to a shortened settlement cycle.
  • Publishes test script in preparation for the reporting of Treasury Securities to the TRACE environment.
  • Files rule change to reduce the delay period for the release of Historic TRACE Data Sets for corporate and agency debt from eighteen months to six months.

From Internal Revenue Service:

  • Updates information related to FATCA FFI Agreements.

From National Securities Clearing Corporation:

  • Issues clarifying information related to the processing of ETF Create/Redeem activity and when it is released to CNS.
  • Announces details of an Obligation Warehouse RECAPS processing test as part of the industry move to shortened settlement cycle.

From Options Clearing Corporation:

  • Reminds members that on May 20, 2017 it will be enhancing the On-Demand Position file to include excess closing buy and sell transactions.
  • Announces SEC approval of rule changes related to its Stock Loan program.

From the Securities & Exchange Commission:

  • Responding to the FAST Act, proposes to amend the definition of a venture capital rule and the private fund adviser exemption rule under the ’40 Act.
  • Announces technical changes to Form ADV effective July 1, 2017.