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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...
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Highlights Recently Published Regulatory Notices August 16, 2018 – September 15, 2018

Recently Published Regulatory Notice 08 16 18 - 09 15 18 Highlights Recently Published Regulatory Notices August 16, 2018 – September 15, 2018 From the Consolidated Audit Trail: Issues Industry Member Technical Specifications, OATS to CAT Events Mapping and FAQs. From Chicago Board Options Exchange: Proposes amendments to delete provisions related to on-floor position transfers, am...
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Highlights Recently Published Regulatory Notices August 1-15 of 2018

08 01 18 - 08 15 18 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notice August 1-15 of 2018 From Consolidated Audit Trail: Releases updated version of Technical Specifications for Participants. Issues recording of conference call to update industry on the plan Issues copy of presentation used during its conference call to update the industry on the p...
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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 ...
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Highlights Recently Published Regulatory Notices 01-15 July 2018

07 01 18 - 07 15 18 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices July 1 – 15 of 2018 From Chicago Board Options Exchange: Files rule change to reduce the ORF from $.0049 to $0028 per option contract effective August 1, 2018. Issues list of options on ETFs with recently amended position limits. Reminds members of the prohibition of Pre-Arrange...
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Highlights Recently Published Regulatory Notices from June 16-30 of 2018

06 16 18 - 06 30 18 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices June 16 – 30, 2018 From Consolidated Audit Trail: Publishes the presentation used during its Industry Update. Releases recording of its Industry Update. From Chicago Board Options Exchange: Proposes a change to modify the last trading date for options that overlie the MSCI ...
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Highlights Recently Published Regulatory Notices from June 1-15, 2018

06 01 18 - 06 15 18 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices June 1 – June 15 2018 From Chicago Board Options Exchange: Proposes to terminate its SPY Pilot Program and establish a position limit of 1,800,000 contracts on SPY options. Announces details of a new Report Card available via FINRA related to the type of orders that may rest in the...
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Highlights Recently Published Regulatory Notices 15-31 of May 2018

05 16 18 - 05 31 18Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices May 16-31, 2018 From the Consolidated Audit Trail: CAT updates its list of interpretive FAQs. From Depository Trust Company: Announces an initiative related to DTC assigned account numbers. Announces a user interface framework change on July 19, 2018 EOD, for its CAWeb that ...
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Highlights Recently Published Regulatory Notice May 01-15 2018

05 01 18 - 05 15 18 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices May 01-15 2018 From the Cboe: Proposes to modify its Rule 5.3 to permit the list of an option on underlying securities that have a market price of at least $3.00 per share for the previous three consecutive business days. Issues circular related to the April 30, 2018 migration of A...
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Highlights Recently Published Regulatory Notices 16-30 April 2018

04 16 18 - 04 30 18 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices April 16-30, 2018 From Consolidated Audit Trail: Updates its list of interpretive FAQs. From Depository Trust Company: Issues revision to its previous notice of transaction cutoff time for various settlement transactions as part of its Settlement Organization initiative until ...
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