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 members of the prohibition of prearranged trades.
  • Proposes new rule in which its system cancels a buy (sell) or stop-limit order if the BBO at the time the system receives the order is equal to or above (below) the stop price.
  • On January 1, 2018, it will change the method in which it communicates Notices with its members.
  • Files rule change to reduce the Options Regulatory Fee from $.0081 to $.0049 per contract effective February 1, 2018.

From Commodity Futures Trading Commission:

  • Issues request for comment on a proposed exemption, in response from ICE Clear, et al., to grant an exemption to permit the investment of futures and swap customer funds in certain categories of euro-denominated sovereign debt.
  • Issues second request for comment on a proposed interpretation of the term “actual delivery” with the specific context of retail commodity transaction in virtual currency.

From the Depository Trust Company:

  • DTC (FICC and NSCC) proposes rule change to address loss allocations and the use of Participant Fund as a liquidity resource.
  • DTC (FICC & NSCC) propose to adopt a Recovery and Wind-Down Plan.
  • Files rule change to restore the timeframe for the processing of Credit PPAs from the Ninety-Day Cutoff back to a One Year Cutoff.
  • Proposes to codify the current practice it uses to determine the “Reference Amount” in the methodology that determines whether a Participant must deposit additional funds to satisfy a deficiency that occurs intra-month.

From Fixed Income Clearing Corporation:

  • Proposes to remove the fees it charged to build Novation from its clearing rules effective January 1, 2018.
  • Announces it will reset the CCLF requirements for Clearing Members that Selected Options 1 or 2 on the Officers’ Certificate effective January 2, 2018.

From the National Association of Securities Administrators Association:

  • Issues request for comment on revision to the NASAA Corporation Finance Statements of Policy.

From Nasdaq:

  • Publishes list of changes to the Options Penny Pilot program effective January 3, 2018.
  • Updates the list of ETPs eligible for Tier 1 of the LULD Plan effective January 2, 2018.

From National Securities Clearing Corporation:

  • Files rule change to enhance its calculation of the Volatility Component of the Clearing Fund Formula.

From Options Clearing Corporation:

  • Announces the availability of KIDS documents in compliance with EU Regulation No 1286/2014.
  • Posts FAQs related to the Cboe’s listing of BITCOIN futures.

From the Public Company Accounting Oversight Board:

  • Issues Staff Guidance describing changes to the auditor’s report that are effective for audits for fiscal years ending on or after December 15, 2017.
  • Issues its Inspection Report on Grant Thornton LLP as required under Sarbanes Oxley.

From the U. S. Securities & Exchange Commission:

  • Proposes changes to its rules related to the Freedom of Information Act regulations.
  • Announces publication of Staff Guidance for publicly traded companies, auditors and other interested persons to assist in timely public disclosures of the accounting impacts of the Tax Cuts and Jobs Act.
  • Releases the Annual Report on NRSROs and a summary of the findings.

From the U. S. Treasury:

  • OFAC adopts a final rule amending the Iraq Stabilization n d Insurgency Sanctions regulations effective December 27, 2017.
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