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.
- 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.
- 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.