Highlights Recently Published Regulatory Notices 16-31 of October 2017

16 – 31 of October 2017 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

16 – 31 of October 2017

From the Chicago Board Options Exchange:

  • Announces “Cboe Global Markets Inc.” as its new corporate name for its parent company.
  • Delays until December 2017 its planned enhancements for AIM Responses from market makers and AIM AON contra-side match orders.
  • Will activate on December 11, 2017 its Electronic Only order functionality.
  • A new PULSe Trader Workstation will be released beginning the week of October 30, 2017.

From Depository Trust Company:

  • Announces several enhancements to its LENS application to be released around December 1, 2017.
  • Posts instructions on how to submit Legal and Tax notices for posting to its enhanced LENS application.
  • Proposes new Rule 37 to provide for a specifically designated account to which a participant or pledgee may credit securities to as property of their customers that trade commodities, options, swaps and other products subject to the Customer Property Segregation rules.
  • Posts notice of revisions to its “Issuer Representation…Form” as of October 27, 2017.

From Fixed Income Clearing Corporation:

  • Issues reminder to Netting members of their requirement to report certain GSD netting-eligible activity engaged in by their foreign affiliates to FICC by January 31, 2018.

From FinCEN:

  • Issues advisory warning financial institutions related to potential fraud in the wake of recent disasters.


  • Issues reminder to firms of their sales practice obligations in connection with the sale and marketing of volatility-linked ETPs.
  • Publishes its disciplinary actions report for October 2017.
  • Advises members that until Congress acts, the Section 31 fee rate will remain at $23.10 per million.
  • Releases the 3Q 2017 corporate and agency data tables for TRACE.
  • Requests comments on proposed rule changes to its Arbitration rules.
  • Requests comments related to the efficacy of allowing compensated non-attorneys to represent clients in arbitration and mediation subject to certain exceptions,
  • Issues several election notices.
  • Proposes to make permanent the exemption from TRACE reporting for transaction executed on the NYSE.
  • Files rule proposal to establish fees for the new TRACE Securities Activity Report and the End-of-Day TRACE Transaction file.
  • Announces an update to its Transparency Services Uniform Executed Broker Agreement.
  • Publishes details of its 2018 registration Renewal Program beginning on November 13, 2017.

From the Internal Revenue Service:

  • Announces a delay in the publication of its FFI list until November 10, 2017.

From the Municipal Securities Rulemaking Board:

  • Issues list of discussion items for its October 2017 Board meeting.
  • Releases its Budget Summary for Fiscal Year 2017.
  • Announces members of its newly formed Compliance Advisory Group.

From Nasdaq:

  • Announces it will resume the implementation of its Closing Cross enhancements on October 30, 2017.
  • Will implement its LULD Auction Collar information on all impacted products on November 20, 2017.
  • Reminds members of the end of Daylight Savings Time on November 5, 2017.
  • Will add a new data fields to the MFQS daily List and Symbol Directory on January 29, 2017.
  • Announces on December 28, 2017 it will change the system start time from 4:00 am EST to 2:00 am EST for its PLHX, NOM, and BX markets.

From National Securities Clearing Corporation:

  • Publishes detail and schedule for its enhancements to its automated ETF primary market clearing process scheduled for Q1 2018.
  • Announces confirmation and details related to its planned enhancement for shorten the ACATS cycles.

From Options Clearing Corporation:

  • Announces it will begin supporting five integer prices of futures tentatively scheduled for mid Q4-2017.
  • Files rule change in accordance with the requirements of Section 17A of the ’34 Act.

From the U.S. Securities & Exchange Commission:

  • Issues series of No-Action letters related to implementation of MiFID in January 2018.
  • Orders the extension of the compliance date for Phase 3 of Large Trader until November 15, 2018.

From U.S. Treasury:

  • Announces revision to its Global Terrorism Sanctions regulations.