1. Cboe Options Regulatory Circular 18-030 Consolidated Audit Trail – Industry Member Technical Specifications

    Today CAT NMS, LLC published version 0.6 of the CAT Reporting Technical Specifications for Industry Members (“IM Technical Specifications”) for Industry Member reporting to the CAT. The IM Technical Specifications are available on the CAT NMS Plan website. This version of the IM Technical Specifications represents the last draft version that will be published for industry comment before the release of the final IM Technical Specifications, targeted for October 30, 2018.

    9/5/2018

  2. MSRB Regulatory Notice 2018-20 Request for Information on the Accessibility, Methodology and Utility of Indices, Yield Curves and Other Benchmarks

    The MSRB is requesting information from market participants and the public on the accessibility, methodology and utility of indices, yield curves and other benchmarks currently available in the municipal market. The purpose of this notice is to obtain information and insight from commenters to inform and support the MSRB’s mission to promote a fair and efficient municipal market. This request is a continuation of the MSRB’s interest in the use and availability of benchmarks in the municipal securities market and is intended exclusively to inform the MSRB. The MSRB does not have regulatory jurisdiction in this area, and this request is not a precursor to initiating rulemaking. Comments should be submitted no later than November 27, 2018 and may be submitted in electronic or paper form.

    8/28/2018

  3. Cboe Options Regulatory Circular RG18-028 Solicited Transactions

    The following is a summary of Cboe Options Rule 6.9, Solicited Transactions. This Rule: (i) sets forth priority for solicited transactions on the Exchange; and (ii) prohibits Trading Permit Holders (“TPH”) and associated persons from trading based on knowledge of an imminent undisclosed solicited transaction. This summary is intended as a quick reference guide. Please refer to the Rule for additional information.

    8/24/2018

  4. SR-NYSENAT-2018-20 Proposed amendments to the Exchange's rules regarding qualification, registration and continuing education requirements applicable to Equity Trading Permit Holders

    Pursuant to the provisions of Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”) and Rule 19b-4 thereunder, NYSE National, Inc. (“NYSE National” or the “Exchange”) is filing with the Securities and Exchange Commission (the “Commission”) proposed amendments to the Exchange’s rules regarding qualification, registration and continuing education requirements applicable to Equity Trading Permit (“ETP”) Holders. To the extent the Exchange’s rule proposal is intended to harmonize with Financial Regulatory Authority, Inc. (“FINRA”) rules and thus promote consistency within the securities industry, the Exchange is only adopting rules that are relevant to the Exchange’s ETP Holders.

    8/15/2018

  5. MSRB Regulatory Notice 2018-17 Compliance Advisory for Brokers, Dealers and Municipal Securities Dealers

    The Municipal Securities Rulemaking Board (MSRB) is providing this Compliance Advisory as a compliance resource to assist brokers, dealers or municipal securities dealers (collectively “dealers”) in their continuing compliance efforts. This Compliance Advisory highlights certain MSRB rules and provides considerations a dealer could use in assessing its own policies and procedures for compliance with the applicable rules. This Compliance Advisory is not designed to address all regulatory obligations applicable to dealers pursuant to each MSRB rule or under other securities laws and regulations (“applicable rules”) or identify an exhaustive list of considerations for ensuring compliance with the applicable rules. This resource should be read in conjunction with the relevant rules and related guidance. It does not create new legal or regulatory requirements, or new interpretations of existing requirements, and should not be interpreted as establishing new standards of conduct.

    8/14/2018

  6. MSRB Regulatory Notice 2018-18 Compliance Advisory for Municipal Advisors

    The Municipal Securities Rulemaking Board (MSRB) is providing this Compliance Advisory as a compliance resource to assist municipal advisors in their continuing compliance efforts. This Compliance Advisory highlights certain MSRB rules and provides considerations a municipal advisor could use in assessing its own policies and procedures for compliance with the applicable rules. This Compliance Advisory is not designed to address all regulatory obligations applicable to municipal advisors pursuant to each MSRB rule or under other securities laws and regulations (“applicable rules”) or identify an exhaustive list of considerations for ensuring compliance with the applicable rules. This resource should be read in conjunction with the relevant rules and related guidance. It does not create new legal or regulatory requirements, or new interpretations of existing requirements, and should not be interpreted as establishing new standards of conduct.

    8/14/2018

  7. MSRB Regulatory Notice 18-19 Request for Comment on Draft Frequently Asked Questions Regarding Use of Social Media under MSRB Advertising Rules

    The Municipal Securities Rulemaking Board (MSRB) requests comment on a draft set of frequently asked questions (FAQs) regarding the use of social media by brokers, dealers or municipal securities dealers (collectively, “dealers”), as part of their municipal securities activities, or municipal advisors, as part of their municipal advisory activities. In particular, these draft FAQs illustrate the application to social media of MSRB G-21, on advertising by dealers, and of MSRB Rule G-40, on advertising by municipal advisors (Rule G-21, together with Rule G-40, the “advertising rules”). The MSRB invites market participants and the public to submit comments in response to this request, along with any other information that they believe would be useful to the MSRB in developing these FAQs. Information may be submitted through September 14, 2018 in electronic or paper form.

    8/14/2018

  8. FINRA Regulatory Notice 18-25 FINRA Reminds Alternative Trading Systems of Their Obligations to Supervise Activity on Their Platforms

    FINRA is issuing this Notice to remind Alternative Trading Systems (ATSs) of their supervision obligations. As registered broker-dealers and FINRA members, ATSs—like other broker-dealer trading platforms—are required to maintain supervisory systems that are reasonably designed to achieve compliance with applicable securities laws and regulations, and with applicable FINRA rules, including, for example, rules on disruptive or manipulative quoting and trading activity.

    8/13/2018

  9. SR-NASDAQ-2018-067 Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete and Replace the Current Rules on Arbitration

    The Exchange proposes to delete the current rules on arbitration (“Current Arbitration Rules”), currently under the 10000 Series (Rules 10001 through 10102), and adopt the Nasdaq ISE, LLC (“ISE”) rules on arbitration in Chapter 18 of the ISE’s rulebook (“Proposed Arbitration Rules”) into General 6 in the Exchange’s rulebook’s (“Rulebook”) shell structure.

    8/13/2018

  10. FINRA Regulatory Notice 18-24 Update to Security Futures Risk Disclosure Statement and Supplement

    FINRA has released an updated Security Futures Risk Disclosure Statement to replace the one that was originally issued in 2002, and a new integrated supplement. The updated Security Futures Risk Disclosure Statement (Updated Statement) incorporates into the main body of the document the cumulative changes made to date. Among other changes, the Updated Statement reflects that the standard settlement cycle for most broker-dealer transactions is now two business days after the trade date (T+2) and the current cash limit protection of the Securities Investor Protection Corporation (SIPC). The new supplement (2018 Supplement) integrates, in a single supplement, all the disclosure updates made through prior supplements released in 2010 and 2014, and the updated disclosures described herein. The implementation date of the Updated Statement and 2018 Supplement is September 5, 2018.

    8/10/2018

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