Highlights Recently Published Regulatory Notices 01-15 of September 2017

09 01 17 – 09 15 17 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

01 – 15 of September 2017

From the Consolidated Audit Trail:

  • Releases the initial version of the Industry Member technical specifications document for reporting order and trade data to the Consolidated Audit Trail.

From Chicago Board Options Exchange:

  • Publishes a list of several enhancements planned for its auction process.
  • Announces a delay to its planned symbology changes not effective on October 2, 2017.
  • Advises members of its plan to systemically prohibit reserve orders on SPX, SPXW, VIX, OEX, XEO and DJX during regulatory trading hours sessions in the 4Q 2017.

From Depository Trust Company:

  • Publishes list of non-transferrable securities scheduled to be destroyed on or after December 13, 2017.

From FinCEN:

  • Advises financial institutions about the possibility that certain South Sudanese senior political figures may try to use the U.S. financial system to move or hide proceeds of public corruption.
  • Issues notice related to the recent update of jurisdictions with strategic anti-money laundering and combatting the financing of terrorism deficiencies which may affect a financial institution’s obligations and risk-based approaches concerning those jurisdictions.


  • Announcers upcoming nomination and election process to fill vacancies on its District Committees and Small Firm Advisory Board.
  • Updates its Trade Reporting FAQs.
  • Publishes its monthly Disciplinary Actions report for September 2017.

From Internal Revenue Service:

  • FATCA announces it will host an Individual Taxpayer Identification Number Process webinar on September 20, 2017.

From Municipal Securities Rulemaking Board:

  • Publishes a market advisory related to the practice of “selective disclosure” and its potential negative impact on investors and the market.
  • Issues a request for comment on proposed amendments to its rule related to primary offerings.

From Nasdaq:

  • Announces the systemic enforcement of the 8:1 allowable ratio of options to related shares of underlying on Stock Option orders with the migrations to INET.
  • Details the beginning of a phase-in enhancement to its Closing Cross process that allows customer to enter LOC order after the first Net Order Imbalance Indicator is disseminated.

From Options Clearing Corporation:

  • Announces on September 23, 2017 it will install a change to the print feature of Core Reports which will require users to install a new version of the plugin.

From the U.S. Securities & Exchange Commission:

  • Together with FINRA and MSRB, announce details of a compliance outreach program for municipal advisors.