Highlights Recently Published Regulatory Notices 16-31 March 2018

03 16 18 – 03 31 18 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

March 16 – 31, 2018

From the Consolidated Audit Trail:

  • Updates its General FAQs.

From Cboe:

  • Proposes amendments to provide that the continuous electronic quoting obligations may be satisfied by market-makers either individually or collectively with market-makers of the same TPH organization to be effective on April 2, 2018.

From Depository Trust Company:

  • File rule change to adjust its fee schedule.

From Fixed Income Clearing Corporation:

  • Announces a change to the TMPG fail charge rate effective with the close of the Fedwire on March 22, 2018.


  • Updates guidance on its Fixed Income Price Transparency initiative.
  • Issues a Request for Comment on its Carrying rule.
  • Releases updated OATS Technical Specification related to the pending approval of the NYSE National Stock Exchange.
  • Issues advisory to member firms to exercise caution in recommending and entering unpriced customer orders at and around the opening on the first day of trading of a direct listing of a security.

From the Internal Revenue Service:

  • Releases draft certification questions to assist Responsible Officers in preparing to complete the FATCA Certifications.
  • Announces updates to its user documentation.

From the Municipal Securities Rulemaking Board:

  • Issues guidance on its Fixed Income Price Transparency initiative.

From Nasdaq:

  • Posts updated INET FIX specifications to support Contra-Broker related tax on the execution report message.

From National Securities Clearing Corporation:

  • Announces several enhancements to its Mutual Fund Profile Service effective on July 9, 2018.
  • Will add several new Social Codes effective July 9, 2018.
  • Reminds participants of upcoming enhancements to its I&RS processing effective March 29, 2018.

From Options Clearing Corporation:

  • Files rule change to clarify the time at which OCC accepts and novates a transaction it clears and streamline provisions related to trade reporting and novation.
  • Announces enhancements to allow the security administrator of each firm to maintain access for the ENCORE users.