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TRENDING TAGS
Stories of Interest
- Sarah ten Siethoff is New Associate Director of SEC Investment Management Rulemaking Office
- Catherine Keating Appointed CEO of BNY Mellon Wealth Management
- Credit Suisse to Pay $47Mn to Resolve DOJ Asia Probe
- SEC Chair Clayton Goes 'Hat in Hand' Before Congress on 2019 Budget Request
- SEC's Opening Remarks to the Elder Justice Coordinating Council
- Massachusetts Jury Convicts CA Attorney of Securities Fraud
- Deutsche Bank Says 3 Senior Investment Bankers to Leave Firm
- World’s Biggest Hedge Fund Reportedly ‘Bearish On Financial Assets’
- SEC Fines Constant Contact, Popular Email Marketer, for Overstating Subscriber Numbers
- SocGen Agrees to Pay $1.3 Billion to End Libya, Libor Probes
- Cryptocurrency Exchange Bitfinex Briefly Halts Trading After Cyber Attack
- SEC Names Valerie Szczepanik Senior Advisor for Digital Assets and Innovation
- SEC Modernizes Delivery of Fund Reports, Seeks Public Feedback on Improving Fund Disclosure
- NYSE Says SEC Plan to Limit Exchange Rebates Would Hurt Investors
- Deutsche Bank faces another challenge with Fed stress test
- Former JPMorgan Broker Files racial discrimination suit against company
- $3.3Mn Winning Bid for Lunch with Warren Buffett
- Julie Erhardt is SEC's New Acting Chief Risk Officer
- Chyhe Becker is SEC's New Acting Chief Economist, Acting Director of Economic and Risk Analysis Division
- Getting a Handle on Virtual Currencies - FINRA
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Reminders from the Regulators
- Amex: Re: Depth Guidelines, Price Participation Points for Nasdaq Securities.
- CBOE: Re: Complex Order Auction Responses in SPX, OEX, XEO.
- FINRA: Re: Holiday Schedules.
2. CBOE: Re: Complex Order Auction Responses in SPX, OEX, XEO. CBOE reminds TPH's (Trading Permit Holders) that for SPX, OEX and XEO, the minimum net debit or credit price increment for submitting responses to the electronic complex order RFR auction (COA) is $0.05. They should not rely on Exchange systems to block COA responses that don't satisfy the $0.05 minimum increment requirement. [CBOE Reg'y Circ 10-113, 11/1]
3. FINRA: Re: Holiday Schedule. In observation of Thanksgiving, FINRA's ADF System and other markets will be closed on Thursday, 11/25. As pertains to ADF's, FINRA may send out unmarked test data via its data feeds on market holidays. Direct data feed subscribers, including recipients of ADF data, should take the necessary precautions to prevent data corruption. [FINRA ADF Announcements, 11/12]
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