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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 ...
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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 TP...
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Highlights Recently Published Regulatory Notices from 01-15 March 2018

03 01 18 - 03 15 18 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices March 1-15, 2018 From Consolidated Audit Trail: Publishes updated Reporting Technical Specifications for Participants. Issues its Business Clock Synchronization requirements and Certification Form. Updates its FAQs for Industry Members. From Chicago Board Options Exchange: ...
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Highlights Recently Published Regulatory Notices 16-28 of February 2018

02 16 18 - 02 28 18 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices February 16-28, 2018 From the Consolidated Audit Trail: Updates its FAQs related to reporting of foreign securities. Releases a “discussion draft” as an excerpt of the CAT Reporting Technical Specifications for Industry Members. From the Depository Trust Company: Publishes ...
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Highlights Recently Published Regulatory Notices 01-15 of February 2018

Highlights Recently Published Regulatory Notices February 01-15, 2018 From Consolidated Audit Trail: Publishes initial list of FAQs related to interpretative questions. Announces it will published new portions of the CAT Reporting Technical Specifications for Industry Members upon review by the Operating Committee. From Cboe: Proposes change to the manner in which Complex Orders ...
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Highlights Recently Published Regulatory Notice January 16-31 2018

01 16 18 - 01 31 18 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices January 16 – 31, 2018 From Consolidated Audit Trail: Announces a webinar on January 30, 2018 to update the industry on the progress of the CAT. From Depository Trust Company: Issues reminder of the retirement of the Activity Research Too and Security Position screens in its PB...
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Highlights of Recently Published Regulatory Notices January 1-15, 2018

01 01 18 - 01 15 18 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices January 1-15, 2018 From the Consolidated Audit Trail: Releases updated specification for Participant reporting. From Depository Trust Company: Issues list of non-transferrable securities for which the certificates will be destroyed on or after April 13, 2018. From FINRA: ...
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Highlights Recently Published Regulatory Notices 16-31 of December 2017

16 - 31 of December 2017 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices 16-31 of December 2017 From Consolidated Audit Trail: Releases record of its Industry Update Webinar and the presentation used during the event. From Chicago Board Options Exchange: Announces SEC approval of amendments to its Listing Procedures. Issues reminder to memb...
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Highlights Recently Published Regulatory Notices 01-15 of December 2017

01 -15 of December 2017 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices December 01 – 15 of 2017 From the Chicago Board Options Exchange: Updates members on enhancements effective December 4, 2017 to its CTM terminal to require the designation of a “Reason Code” when a trade record is added or deleted or if certain fields are changed. Announces a n...
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Highlights Recently Published Regulatory Notices 16-30 of November 2017

16 - 30 of November 2017 Recently Published Regulatory Notices Highlights Recently Published Regulatory Notices 16 – 30 of November 2017 From the Chicago Board Options Exchange: Announces, pending regulatory approval, it will change the manner in which it assesses and collects the Options Regulatory Fee and how the Fee will be processed for CMTA transfers. Postpones until further notice...
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