Prohibition on wireless handheld devices. NYSE Regulation issued a notice regarding the prohibition against the use of equities and options wireless trading devices by members and their employees. (1/16/2015) NYSE Regulation Information Memo 15-2.
Exempt CPOs and CTAs. The National Futures Association announced that members who reasonably determine the registration and membership status of previously exempt persons will not be in violation of NFA rules if, between January 1 and March 31, 2015, they transact customer business with a previously exempt person that fails to either become registered and a member of NFA, file a notice affirming its exemption from CPO registration, or provide a written representation as to why the person is not required to register or file the notice affirming the exemption. (1/15/2015) NFA Nitce-I-15-02.
Conduct policies. Members of the NYSE exchanges have been reminded of NYSE Regulation conduct policies on floor conduct and safety; gambling; weapons; and harassment. (1/14/2015) NYSE Regulation Information Memo 15-1.