Highlights Recently Published Regulatory Notices
01 – 15 January 2017
From the CBOE:
- Proposes amendments to its earlier proposal to approve the AIM pilots on a permanent basis.
- Postpones until May 1, 2017 its plans to change the symbol for SPXPM options series to SPXW in both regular and extended trading hours sessions.
- Files rule change impacting the information and formats used by Market Makers to report executed trades.
From Depository Trust Company:
- Receives SEC approval of its rule proposal related to MMI Finality through Optimization.
- Updates the technical specification for TRACE supporting reporting of U.S. Treasury Securities.
- Issues Notice to assist firms in their review, reconciliation and response to the Final Statements related to annual registration renewals.
- Announces SEC approval to two amendments to its Arbitration rules.
- Publishes its 2017 Examination Priorities.
From Internal Revenue Service:
- Issues several updates to FATCA Reporting including updated schemas and agreements.
From Municipal Securities Rulemaking Board:
- Issues its Annual Report for 2016.
- Seeks comment on a proposal related to customer account transfer rules.
- Issues call for qualified candidates to fill several Board of Director positions.
From National Securities Clearing Corporation:
- Issues revisions to its enhancements related to the support of the DOL’s Fiduciary rule.
- Announces delay until January 27, 2017 for its change to the Portal for correspondent clearing and commission billing.
- Updates participants on its plans to accelerate its trade guaranty with additions/deletions to the Clearing Fund formula.
From New York Stock Exchange:
- Advises members of recently amended Rule 15 (DMMs publish preopening indicators) to add a wider Applicable Price Range for securities with a Reference Price of $3.00 or lower.
From Options Clearing Corporation:
- Proposes enhancements to its STANS margin methodology that are designed to more accurately compute clearing member margin requirements to reflect the risk of their portfolios.
From the Securities & Exchange Commission:
- Announces its 2017 Examination Priorities.
- Publishes details of recent settlements with Citadel Securities ($22.6 million) and Morgan Stanley ($13 million).