Highlights Recently Published Regulatory Notices – 16-30 of September 2017

09 16 17 – 09 30 17 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

16 – 31 of September 2017

From the Chicago Board Options Exchange:

  • Announces several changes to its Cabinet Order processing.
  • Publishes details of a change to accept new order handling instructions allowing TPHs to apply an Electronic Only Instructions to orders.
  • Delays its scheduled symbology changes to October 9, 2017.
  • Proposes a new “electronic-only” order type.
  • Announces changes to the Obvious Error rules effective October 2, 2017.

From Commodity Futures Trading Commission:

  • Adopts final rule establishing a new delegation of authority to its Staff under its safeguard rules.

From Depository Trust Company:

  • Issues reminder of the retirement of the Activity and Position Inquiry functions on PTS.
  • Announces that its annual ISO20022 maintenance process will occur on November 19, 2017.
  • Introduces a new form for redemption processing.
  • Issues details of CBRS Phase 7 enhancements and testing for its User Master File on November 10, 2017.

From FinCEN:

  • Issues advisory related to corruption in Venezuela.
  • Files amendments to make several non-substantive corrections to its Customer Due Diligence final rule.


  • Posts FAQs related to the application of its Rule 4210 and SEC Rules 15c3-1 and 15c3-3 for covered agency transactions.
  • Proposes to extend the implementation date of its new rules to require margin on TBA fixed-income transactions.
  • Publishes FAQs and guidance related to changes to its margin rule for covered agency transactions.
  • Proposes amendment related to trading halts and when a member may resume trading following a Trending Pause of Regulatory Halt in a NMS stock.

From Internal Revenue Service:

  • Announces a delay in processing File Status Notifications due to the large number of incoming files.

From Nasdaq:

  • Updates its FIX 12.1.8 specifications document to denote enhancements to the Execution Report Message for Stock Leg Short Sale indicators.
  • Announces effective October 2, 2017, it will begin using a new Theoretical Price Calculator Tool for determining a theoretical price for obvious and catastrophic errors.
  • Publishes details of its Disaster Recovery support for its MFQS and MFDS to Chicago, IL on October 9, 2017.

From National Securities Clearing Corporation:

  • Announces the implementation on October 16, 2017 a change to the Family-Issued Securities margin charge to net unsettled positions in Family-Issued Securities for all NSCC members.
  • In anticipation of banks being closed on Columbus Day, and its increased exposure to risk, will collect an additional 15% of each member’s start of day Volatility charge.

From Options Clearing Corporation:

  • Announces effective September 18, 2017 it will extend the inactivity period in ENCORE from 30 minutes to 2 hours.

From the U.S. Securities & Exchange Commission:

  • Issues No-Action Letter related to the definition of “Fully Paid Securities” under its Customer Protection Rule.
  • Announces that Section 31 Fees will remain at the current rate until 60 days after the enactment of the regular appropriation for the Commission.