Highlights Recently Published Regulatory Notice January 16-31 2018

01 16 18 – 01 31 18 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

January 16 – 31, 2018

From Consolidated Audit Trail:

  • Announces a webinar on January 30, 2018 to update the industry on the progress of the CAT.

From Depository Trust Company:

  • Issues reminder of the retirement of the Activity Research Too and Security Position screens in its PBS on January 19, 2018.

From Fixed Income Clearing Corporation:

  • Issues reminder to the GSD and MBSD Netting Members of the annual requirement to submit updates to their foreign legal opinions that are due no later than June 8, 2018.
  • Advises Netting Members of a new Liquidity Fund Report available January 19, 2018 that reflects the Netting Member’s Individual Total Amount in anticipation of changes to its Committed Liquidity resource.
  • Reminds Netting Members of the requirement to report certain GSD netting-eligible activity engaged in by their foreign affiliates to FICC by February 9, 2018.


  • Issues its monthly report on disciplinary actions.
  • Publishes guidance on protecting personal information in registration form filings.
  • Issues the TRACE Fact Book for 2017.
  • Proposes rule changes to its arbitration rules to allow for a “Special Proceeding” for simplified arbitration.
  • Extends the effective date data elements related to Large Trader reporting until November 1, 2018 and other immediately effective reporting changes related to requestor codes and exchange codes.

From Municipal Securities Rulemaking Board:

  • Announces topics of discussion during its upcoming Board of Directors meeting.
  • Publishes report of the history of the MSRB and its SRO model as it related to the application of its rules.
  • Files rule change addressing harmonization of its advertising rules with other regulatory bodies as well as apply such rules to municipal advisors.

From Nasdaq:

  • Files a proposal to relocate the CAT Rules to General 7, Sections 1-13 of its Rulebook.
  • Announces changes to the naming convention of its Excessive Order and Excessive Quoting compliance reports effective January 30, 2018.

From National Securities Clearing Corporation:

  • Announces changes to the calculation of the Corporate Bond Haircut effective February 5, 2018.
  • Publishes several critical announcements for the ETF Near Real-Time Create/Redeem Enhancements and Controls Initiative that will be effective January 26, 2018.

From the Options Clearing Corporation:

  • Announces the implementation date of March1, 2018 of its changes that establish a minimum cash requirement for member’s Clearing Fund Deposits.

From the Office of the Comptroller of Currency:

  • Issues an updated “Municipal Securities Rulemaking Board Rule” booklet of the Comptroller’s Handbook.