Highlights Recently Published Regulatory Notices 16-31 July 2018

07 16 18 – 07 31 18 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

July 16-31 of 2018

From Chicago Board Options Exchange:

  •  Announces details of its mandatory test scheduled for October 13, 2018.

 From Depository Trust Company:

  •  Publishes list of non-transferrable securities scheduled for destruction on or after October 16, 2018.
  • Proposes changes to its Underwriting Service Guide.
  • Advises participants that the previously announced enhancements to Memo Seg will be available in production on August 17, 2018.
  • Revises the date for commencement of the CA Web parallel testing period for reorg lifecycle functionality to August 16, 2018.

 From Fixed Income Clearing Corporation:

  •  Reminds participants that on August 6, 2018, all U. S. Treasury auction-related settlements will occur in the GSD account at BNYM.
  • Files amendments to its rule to add terms governing MBSD/s processing of condition prepayment rate claims and make certain clarifications and corrections to its rules.

 From FINRA:

  •  Announces its Annual Meeting scheduled for August 28, 2018 2:00 PM ET to fill seats on its Board of Governors.
  • Issues request for comment on proposed amendments to the Discovery Guide Firm/Associated Persons Documents Production list to require, upon request, the production of documents concerning third-party insurance coverage in a customer arbitration proceeding.
  • Seeks comment on proposed amendments to its Membership Proceeding rules because of its retrospective review of the rule and processes.
  • Issues request for comment on “fintech” and other technology innovations within the industry.

 From the Internal Revenue Service:

  •  IRS announces enhancements to its FATCA Registration System.
  • Updates the FATCA registration system to incorporate the certification of pre-existing accounts and periodic certification process.

 From the Municipal Securities Rulemaking Board:

  • Issues request for comment on draft amendments to its Rule G-11 and G-32 related to primary offering practices with the municipal marketplace.
  • Announces a temporary reduction in the rate of assessment for its Rule A-13 fees by approximately one-third during the period of October 1, 2018 – December 31, 2018.

 From Nasdaq:

  •  Announces a new report – Charge Details billed Account Report – for PHLX, BS and NOM that details daily the month-to-date charge information at the trade level.
  • Advises members of the renaming of its Floor Broker Management System to Floor Based Management System and on August 17, 2018, all members operating on the Exchange Floor will be required to enter and submit all floor trades using FBMS.
  • Publishes list of FTP option surveillance reports that will be available August 1, 2018, on its new report portal, Report HQ.

 From National Securities Clearing Corporation:

  •  Files proposal related to its I&RS services for the delivery of certain transaction data relating to variable annuity and variable life insurance subaccounts and fees.

 From Options Clearing Corporation:

  •  Announces the availability of its pro forma stress test and clearing fund results based on proposed changes. The reports are available via ENCORE.
  • Issues detailed memo describing the effects of its planned margin modeling enhancements scheduled for implementation in 2Q 2019.

 From the U.S. Securities & Exchange Commission:

  •  Publishes Concept Release soliciting comment on the exemption from registration under the ’33 Act for securities issued by non-reporting companies pursuant to compensatory arrangements and the associated Form S-8.
  • Proposes amendments to the financial disclosure requirements under Regulatory S-X.


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