Highlights Recently Published Regulatory Notice April 1-15 2018

 04 01 18 – 04 15 18 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

April 1-15 2018

From the Chicago Board Options Exchange:

  • Issues notice of correction to Circular 18-12.

From the Depository Trust Company

  • Announces revisions related to its planned enhancements to CA Web and ISO20022 enhancements.
  • Publishes notice of changes to settlement input times as part of their Settlement Optimization initiative.

From Fixed Income Clearing Corporation:

  • Announces details of its Capped Contingency Liquidity Facility test scheduled for April 23, 2018.

From FinCEN:

  • Releases FAQs to assist financial institutions related to the new Customer Due Diligence rules.


  • Releases revised AML Template for Small Firms in lights of FinCEN’s enhanced Customer Due Diligence requirements.
  • Proposes a second trade reporting entity to provide means for a broker-dealer to continue to report trades when the first trade reporting entity is experiencing technology issuesPublishes its summary of disciplinary actions for April 2018.

From Municipal Securities Rulemaking Board:

  • Files rule proposal to address several changes it plans to make to Real-Time Transaction Reporting.
  • Announces the establishment of an investor education program on its website related to upcoming confirmation mark-up disclosures.
  • Issues a document as a resource to assist market participants understand the regulatory framework for swaps and other derivatives under Dodd Frank.
  • Publishes reminder to the industry related to investor protection rules when dealing with the securities of distressed municipalities and customers.

04 01 18 – 04 15 18 Recently Published Regulatory NoticesFrom Nasdaq:

  • Announces changes, pending regulatory approval, to the intra-day electronic quoting requirements.
  • Has registered “MELO” as a new Market Identification Code (MIC) for all M-ELO executions.

From National Securities Clearing Corporations:

  • Announces a redesign and enhanced DTCC Limit Monitoring web application.

From Options Clearing Corporation:

  • Will move the window close time for Monday and Wednesday SPY expirations from 7:00 PM to 6:30 PM Central Time.
  • Announces a delay in the CGM file enhancements until July 15, 2018.
  • Publishes details of ENCORE enhancements to allow clearing members to delete government securities deposits that are pending and not yet OCC approved.
  • Issues notice of the Cboe C2 trading platform conversion to BATS technology on May 14, 2018 and advises members of front-end account mapping difference between the current platform and the BATS platform.

From the U.S. Securities & Exchange Commission:

  • Issues letter detailing its stance in situations where a d broker-dealer utilizes a third-party for recordkeeping and certain contractual conditions in which the third-party deletes or withholds.