LEGAL & REGULATORY

Important Notices

Doc # Date Subsidiary Category Subject
  • GOV828-20
  • Jan 14, 2020
  • FICC - GOV
  • Membership Updates
  • Retirement of Government Securities Division – Cowen Execution Services LLC
  • GOV826-20
  • Jan 13, 2020
  • FICC - GOV
  • Membership Updates
  • Delete Sponsored Member
  • GOV827-20
  • Jan 13, 2020
  • FICC - GOV
  • Membership Updates
  • New Sponsored Member
  • GOV824-20
  • Jan 09, 2020
  • FICC - GOV
  • Service Updates
  • Reminder Regarding Submission of Trade Data of Repo Transactions
  • GOV825-20
  • Jan 09, 2020
  • FICC - GOV
  • Membership Updates
  • Delete Sponsored Member
  • GOV823-20
  • Jan 07, 2020
  • FICC - GOV
  • Membership Updates
  • New Sponsored Member
  • GOV821-20
  • Jan 03, 2020
  • FICC - GOV
  • Membership Updates
  • New Sponsored Member
  • GOV819-20
  • Jan 02, 2020
  • FICC - GOV
  • Membership Updates
  • Delete Sponsored Member
  • GOV820-20
  • Jan 02, 2020
  • FICC - GOV
  • Membership Updates
  • New Sponsored Member
  • GOV815-19
  • Dec 27, 2019
  • FICC - GOV
  • Service Updates
  • Submission of Rule Filing SR-FICC-2019-007 – Sponsoring Member/Sponsored Member Service – Proposed Changes to Close-out and Funds-Only Settlement Processes
Doc # Date Subsidiary Category Subject
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