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.
- 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 TPH organization to be effective on April 2, 2018.
From Depository Trust Company:
- File rule change to adjust its fee schedule.
From Fixed Income Clearing Corporation:
- Announces a change to the TMPG fail charge rate effective with the close of the Fedwire on March 22, 2018.
- Updates guidance on its Fixed Income Price Transparency initiative.
- Issues a Request for Comment on its Carrying rule.
- Releases updated OATS Technical Specification related to the pending approval of the NYSE National Stock Exchange.
- Issues advisory to member firms to exercise caution in recommending and entering unpriced customer orders at and around the opening on the first day of trading of a direct listing of a security.
From the Internal Revenue Service:
- Releases draft certification questions to assist Responsible Officers in preparing to complete the FATCA Certifications.
- Announces updates to its user documentation.
From the Municipal Securities Rulemaking Board:
- Issues guidance on its Fixed Income Price Transparency initiative.
- Posts updated INET FIX specifications to support Contra-Broker related tax on the execution report message.
From National Securities Clearing Corporation:
- Announces several enhancements to its Mutual Fund Profile Service effective on July 9, 2018.
- Will add several new Social Codes effective July 9, 2018.
- Reminds participants of upcoming enhancements to its I&RS processing effective March 29, 2018.
From Options Clearing Corporation:
- Files rule change to clarify the time at which OCC accepts and novates a transaction it clears and streamline provisions related to trade reporting and novation.
- Announces enhancements to allow the security administrator of each firm to maintain access for the ENCORE users.