Highlights Recently Published Regulatory Notices 16-28 of February 2018

02 16 18 – 02 28 18 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

February 16-28, 2018

From the Consolidated Audit Trail:

  • Updates its FAQs related to reporting of foreign securities.
  • Releases a “discussion draft” as an excerpt of the CAT Reporting Technical Specifications for Industry Members.

From the Depository Trust Company:

  • Publishes list of non-transferrable securities scheduled for destruction on or after May 16, 2018.
  • Adds several changes to its upcoming enhancement to CA Web and delays implementation until April 26, 2018.
  • Announces a delay for the retirement date for CCF files associated with Entitlements and Allocations for Distribution, Redemption and Reorganization event types to June 30, 2019.

From Fixed Income Clearing Corporation:

  • Issues reminder to participants of the requirement to update their Certificate of Incumbency on file with FICC.
  • Announces details of its annual Capped Contingency Liquidity Facility test scheduled for April 23, 2018.


  • Publishes an Investor Alert to warn investor a financial scam that con artists are posing as regulators.
  • Files proposal to eliminate a $400 fee to parties requesting an explained Arbitration decision.
  • Issues request for comment on a new rule related to outside business activities of registered persons.

From Municipal Securities Rulemaking Board:

  • Releases its annual Fact Book for 2017.

From Nasdaq:

  • Announces details of its annual BCP and DR test scheduled for October 13, 2018.

From Options Clearing Corporation:

  • Extends the Encore Cash window closing time until 1:30 CT effective February 30, 2018.
  • Advises Clearing Members of a projected increase of $3.1 Billion dollars to the Clearing Fund Requirement for March 2018.

From the U.S. Securities & Exchange Commission:

  • Announces interpretive guidance to assist public companies in preparing disclosures about cybersecurity risks and incidents.
  • Announces a settlement with Ameriprise Financial settling charges for recommending and selling higher-fee mutual fund shares to retail retirement customers and failing to provide sales charge waivers.