📊Sunshine Act Meeting Announcement by Farm Credit Administration
The Farm Credit Administration announces an upcoming public meeting to discuss various important matters, including updates on funding conditions and proposed rulemaking related to loan performance. Participants can attend in person or virtually, with a specified registration process for observers.
Learn More📄SEC Review of Rule 12d1-3 Information Collection Request
The SEC announces the submission for OMB review for extension of Rule 12d1-3, which mandates certification for securities listing and registration. The notice details the estimated burden on respondents and highlights the public commentary opportunity for the information collection request.
Learn More💵FICC's Intraday Mark-to-Market Charge
The SEC has approved a proposed rule change by the Fixed Income Clearing Corporation (FICC) to adopt an Intraday Mark-to-Market Charge. This change aims to manage intraday risks associated with Members' portfolios by adjusting margin calculations, thereby enhancing financial stability and risk assessment for government securities trading.
Learn More📈SEC Notice
The SEC issues a notice regarding an application by FPLF Management LLC and Fortress Private Lending Fund for an exemption under the Investment Company Act. This exemption would permit certain registered closed-end investment companies to issue multiple classes of shares with distinct pricing structures, potentially altering their operational landscape and compliance requirements.
Learn More📈MIAX Sapphire Updates Rule Citations for Regulation NMS Compliance
The Securities and Exchange Commission has published a notice regarding MIAX Sapphire's proposed rule change to update citations to Rule 600(b) of Regulation NMS. This change aims to enhance clarity and compliance within the Exchange's Rulebook and ensure that members and the investing public can navigate the rules more effectively.
Learn More💲NYSE Proposes Waiver of Gross FOCUS Fee for Member Organizations
The New York Stock Exchange (NYSE) has filed a proposed rule change to waive the Gross FOCUS fee from September 2, 2025, through December 31, 2025. This measure aims to ensure that collected fees do not exceed regulatory costs, providing temporary relief for member organizations while maintaining adequate funding for regulatory activities.
Learn More📈Cboe BZX Regulation Change
Cboe BZX Exchange has filed a proposed rule change to amend its Rule 11.23, which would allow extending the Quote-Only Period for an IPO Auction when a Derivative Security does not meet listing requirements. This enhancement aims to clarify the Exchange's discretion in maintaining market integrity and compliance for new securities.
Learn More💼SEC Notice on Exemption Application for Investment Companies
The SEC has issued a notice regarding TCG Strategic Income Fund's application for exemptions under the Investment Company Act of 1940. The application seeks permission for registered closed-end investment companies to issue multiple classes of shares and charge asset-based fees and early withdrawal penalties. Interested parties can request a hearing or further information from the SEC.
Learn More📈SEC Notice on PennantPark Enhanced Income Fund Exemption Application
The Securities and Exchange Commission (SEC) has issued a notice regarding an application by PennantPark Enhanced Income Fund for exemptions under the Investment Company Act. The application seeks to allow certain investment companies to issue multiple classes of shares while imposing asset-based fees and early withdrawal charges. Interested parties can request a hearing by a specified deadline.
Learn More💰OCC Proposed Rule Changes for Liquidation Risk Management and GSP
The OCC has proposed revisions to its liquidity risk management framework, specifically regarding the accounting processes for Guaranty Substitution Payments (GSP). These changes aim to improve accuracy in financial assessments related to defaulting Clearing Members, ensuring that the OCC better manages its liquidity demands and reduces unnecessary resource collection from its members.
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