Highlights Recently Published Regulatory Notices 16-30 of November 2017

16 – 30 of November 2017 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

16 – 30 of November 2017

From the Chicago Board Options Exchange:

  • Announces, pending regulatory approval, it will change the manner in which it assesses and collects the Options Regulatory Fee and how the Fee will be processed for CMTA transfers.
  • Postpones until further notice the elimination of paper Cabinet orders and trades below $1 per contract.
  • Files amendment to provide additional justification and analysis in support of the proposed position limits.
  • Announces several changes effective December 11, 2017 to its auction process.
  • Updates its plan to implement changes that will systemically reject reserve orders during regular trading hours.

From Depository Trust Company:

  • Announces the launch of a new version of its Legal Notice System application.
  • Publishes details outlining the steps necessary to submit notices for posting to LENS.
  • Issues reminder to participants of reports available on SMART/Search to assist in managing positions in non-transferrable issues held at DTC.

From Fixed Income Clearing Corporation:

  • Announces SEC approval of its Capped Contingency Liquidity Facility effective November 15, 2018.
  • Provides details of a parallel period in which participants can view both current and future clearing fund requirements.

From FinCEN:

  • Issues a Fact Sheet and Statistics related to its compliance with Section 314(a) of the Patriot Act.


  • Files rule change to extend the Tier Size pilot until June 7, 2018.
  • Issues guidance related to FinCEN’s adoption of the Customer Due Diligence final rule.
  • Issues a Targeted Exam Letter requesting information from firms related to the impact of the receipt of order routing inducements.
  • Requests comment on the rule governing payments for market making.
  • Publishes reminder of due dates related to certain regulatory reporting requirements in 2018.

From the IRS:

  • Solicits members for a FATCA related Forms User Group.

From Municipal Securities Rulemaking Board:

  • Announces a series of free compliance webcast workshops designed to develop in-depth discussion about key provision of MSRB rules.

From Nasdaq:

  • Proposes to change the structure of its rulebook in light of recent acquisitions resulting in six (6) SRO licenses.

From National Securities Clearing Corporation:

  • Announces several changes to its Mutual Fund Profile Service II web user interface.

From Options Clearing Corporation:

  • Announces it will be changing its CGM file to add new fields for an LEI number and a CFTC Reportable Account Number.
  • Details steps it will take to comply with EU Key Information Documents regulation.