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Entity Initiative Last Update
CBOEAdditional Cboe Updates02/04/2020
CBOECBOE Regulatory Request Reporting Format10/31/2014
CBOEExtended Trading Hours03/26/2015
CBOEOptions Tied to Stock07/07/2015
CFPBElectronic Funds Transfer (Regulation E)08/29/2014
DTCCACATS (including Mutual Fund Transfers)08/14/2019
DTCCAdditional DTCC Updates02/13/2020
DTCCCorporate Bond, Municipal Bond, UIT (CMU) Real-Time Trade Matching (RTTM)03/22/2016
DTCCDTCC Corporate Actions Re-engineering05/25/2016
DTCCDTCC Cost Basis Reporting Service (CBRS)09/12/2014
DTCCDTCC Limit Monitoring04/26/2016
DTCCFICC Government Securities Division (GSD)11/16/2015
DTCCNSCC Obligation Warehouse06/01/2015
DTCCNSCC Real-Time QSR and Correspondent Clearing11/20/2015
DTCCNSCC Universal Trade Capture (UTC)02/02/2016
DTCCOTC Market Impact of European T+2 Settlement07/18/2014
DTCCRAD Default05/22/2014
DTCCSettlement Matching 05/24/2016
DTCCWealth Management Services - Mutual Funds01/29/2015
Exchanges/SIPsEquity SIP Expanded Message Header Formats05/26/2015
Exchanges/SIPsMarket Data Capacity 03/27/2015
Exchanges/SIPsNSX Reopening12/15/2015
Exchanges/SIPsSale Condition Modifiers02/26/2015
FIFArchive Initiatives02/07/2014
FINRAAdditional FINRA Rules/Notices02/18/2020
FINRAAlternate Display Facility10/07/2016
FINRAClock Synchronization08/15/2016
FINRAEnhanced Price Disclosure02/26/2016
FINRAFINRA - Electronic Blue Sheets (EBS)10/01/2019
FINRAFINRA 2232 (Customer Confirmations)11/17/2016
FINRAFINRA ATS Transparency08/13/2018
FINRAFINRA Comprehensive Automated Risk Data System (CARDS)11/09/2015
FINRAFINRA Equity Trading Initiatives - Clock Synch11/12/2014
FINRAFINRA Equity Trading Initiatives - OATS/ATS Trade Reporting06/23/2017
FINRAFINRA Equity Trading Initiatives - Trade Sequencing11/12/2014
FINRAFINRA Hybrid Securities05/23/2014
FINRAFINRA Rule 2090/2111 Know Your Customer/Suitability09/25/2013
FINRAFINRA Rule 4210 - MBS Margining01/29/2019
FINRAFINRA Rule 6121.0109/01/2016
FINRAFINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)11/23/2015
FINRAFINRA Rules 4314, 4330, and 434002/03/2014
FINRAFINRA Self-Trading - (SR-FINRA-2013-036)10/02/2014
FINRAFINRA/MSRB - Confirmation Disclosure of Fixed Income Pricing Information12/11/2015
FINRAGuidance on Best Execution Obligations11/20/2015
FINRALarge Options Position Reporting (LOPR)10/11/2016
FINRAOrder Audit Trail (OATS)07/11/2019
FINRAOver-the-Counter Reporting Facility (ORF)04/15/2019
FINRASecurities Trader Registration06/06/2016
FINRATRACE "No Remuneration" Indicator06/10/2016
FINRATRACE Non-Member Affiliate Reporting10/02/2015
FINRATRACE Reporting of ATS Transactions04/27/2016
FINRATrade Reporting04/10/2018
FINRATrade Reporting and Compliance Engine (TRACE)01/29/2020
IRS/TAXAdditional IRS Updates09/25/2017
IRS/TAXCost Basis Reporting04/16/2015
IRS/TAXForeign Account Tax Compliance Act (FATCA)07/23/2014
ISGElectronic Blue Sheets (EBS)12/30/2016
MSRBBest Execution for Municipal Transactions11/20/2015
MSRBCentral Transparency Platform09/02/2014
MSRBOther MSRB Rules and Interpretive Guidance01/31/2020
NYSEAccount Type Indicator05/17/2016
NYSEAdditional NYSE Updates11/06/2019
NYSEPillar Platform Change05/28/2019
NYSERequirements for OffExchange Transactions01/28/2016
OCCAdditional OCC Updates02/13/2020
OCCMandate Customer ID on Post Trade CMTA Transfers11/26/2014
OFR/DTCCLegal Entity Identifier (LEI)01/21/2014
SECAdditional SEC Initiatives02/21/2020
SECBroker-Dealer Reporting07/31/2013
SECCovered Clearing Agency09/28/2016
SECDisclosure of Order Handling Information11/02/2018
SECFinancial Responsibility Rules03/06/2014
SECLarge Trader Reporting02/22/2016
SECLost Securityholders and Unresponsive Payees01/16/2013
SECMoney Market Fund Reform08/29/2014
SECReg ATS-N03/12/2019
SECShort Sale Reporting Study06/05/2014
SEC/SROsConsolidated Audit Trail (CAT)02/12/2020
SEC/SROsRegulation SCI / Market Stability07/24/2017
SEC/SROsShort Sale Regulation (Rule 201 and Order Marking FAQs)10/15/2015
SEC/SROsTick Size Pilot04/11/2019
SIFMAIndustry BCP Testing04/21/2016
SROsAdditional Equities Initiatives05/16/2016
SROsAdditional Options Initiatives01/09/2019
SROsClearly Erroneous Executions06/19/2014
SROsCommon Suffix Symbology02/26/2014
SROsExchange Traded Managed Funds (ETMFs)04/08/2016
SROsLimit Up-Limit Down (LULD)12/18/2018
SROsMarket Dynamics Analysis07/24/2014
SROsMarket Share Analysis07/11/2014
SROsOptions Penny Pricing Pilot03/11/2015
SROsProfessional Customer Designation05/16/2016
SROsT+2 Settlement08/30/2017

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