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:

  • Proposes a new discount program for retail clients in certain options classes.
  • Announces effective immediately it will resume issuing Regulatory Circulars via email.
  • Files proposal to Market Maker continuous electronic quoting obligations, which would allow for satisfaction individually or collectively with Market-Makers of the same TPH organization.
  • Issues notice regarding clock synchronization as part of the Consolidated Audit Trail.

From Depository Trust Company:

  • Publishes list of non-transferrable securities scheduled for destruction on or after June 12, 2018.

From FINRA:

  • Publishes criteria for a designation for firms that report a significant volume in transactions in Treasury securities to TRACE for mandatory BC/DR testing.
  • Issues its monthly report of disciplinary actions.

From MSRB:

  • Publishes notice and details of its Designation criteria and Measurements Period is has established for BCP/DR testing under Regulation SCI.
  • Issues brief about historical policy issues and considerations related to the use of minimum denominations in the sale of municipal securities.

From Nasdaq:

  • Issues notice regarding clock synchronization as part of the Consolidated Audit Trail.
  • Announces effective March 30, 2018 no Midpoint Peg Post only order will participate in the Closing Cross.
  • Issues notice of future changes to the FINRA/Nasdaq TRF interface for short sale reporting.

From National Securities Clearing Corporation:

  • Publishes notice of a redesign of CMU RTTM web system scheduled for the end of Q3 2018.

From the New York Stock Exchange:

  • Issues notice regarding clock synchronization as part of the Consolidated Audit Trail.

From Options Clearing Corporation:

  • Announces enhancement that will allow users to reset their own passwords.

From the U.S. Securities & Exchange Commission:

  • Issues two (2) No-Action Letters: 1) Related to cash balances in the Customer Reserve Account sunder SEC Rule 15c3-3, and 2) Related to the application of haircuts on positions in PowerShares Treasury Collateral Portfolio under SEC Rule 15c3-1.
  • Proposes to conduct a Transaction Fee Pilot for NMS stock to study the effects that transaction-based fees and rebates may have on order routing behavior, execution quality and market quality.

 

 

 

 

 

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