Highlights Recently Published Regulatory Notices September 16-30, 2018

Please note Verus Consulting Group has decided to retire the publication of Recently Published Regulatory Notices.  This is the final edition.

091618 – 093018 Recently Published Regulatory Notices

Highlights Recently Published Regulatory Notices

September 16-30 of 2018

From Chicago Board Options Exchange:

  • Advises members effective October 1, 2018, new applicants seeking to register in a representative capacity must pass the Security Industry Essentials examination prior to their registration becoming effective.

From the Depository Trust Company:

  • Publishes spreadsheet reflecting the new CA ID assigned to the re-announced events on September 22, 2018.

From Fixed Income Clearing Corporation:

  • Issues details of its mandatory (for netting members) CCLF test scheduled for November 15, 2018.
  • Reminds participants of the fully executed CCLF Officers’ Certificates are due November 1, 2018.

From FinCEN:

  • Publishes updated list of jurisdictions with strategic anti-money laundering and combatting financing of terrorism deficiencies that may affect financial organization’s obligation and risk based programs.


  • Announces enhancements and presentation changes the CRD system related to the implementation of its restructured qualification examination program.
  • With the SEC, reminds members of the legal obligation that apply when initiating a quote in an OTC security in addition to the filing of Form 211.
  • Proposes rule change that contains certain revisions related to test results information on the content outlines of certain FINRA representative-and principal-level qualification examination.

From the Municipal Securities Rulemaking Board:

  • Request comment on a draft compliance resource regarding the application of the content standards under its Rule G-40 on advertising by municipal advisors.
  • Issues notice of its intent to establish professional qualification requirements for municipal advisor principals.
  • Proposes to establish professional qualification requirements for municipal advisor principals.
  • Responding to industry feedback, issues revised draft FAQs related to compliance with Rule G-40.

From Nasdaq:

  • Announces a new optional feature for MAQ to allow participants to configure their MPID to only allow MAQ orders to execute when one contra-side order is equal to or greater than the minimum quantity designation on the order.
  • Delays the implementation of OTTO 2.1.4 into its NTF until October 1, 2018.
  • Beginning October 15, 2018, it will enforce the system requirement that the seller has sole responsibility to ensure that a short sale indicator is correctly reported to the TRF on a match-eligible trade.

From National Securities Clearing Corporation:

  • Proposes changes to its Buy-In processing and CNS processing.

From the U.S. Securities Exchange Commission:

  • Proposes amendment to the exemption provision in the broker-dealer annual reporting rule under the ’34 Act in cases where the securities business of the broker-dealer is limited to acting as broker for a single issuer in soliciting subscription for securities of that issuer.

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