Notice
4 Feb 2025
compliance, sec, regulation, finance, securities, swap execution facilities
📈SEC Grants Registration for New Security-Based Swap Execution Facilities
The Securities and Exchange Commission has approved the registration of eight entities as Security-Based Swap Execution Facilities (SBSEFs). This document outlines the compliance requirements these facilities must adhere to, including adherence to specific regulatory rules and statutory core principles designed to ensure market integrity and transparency.
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Notice
3 Feb 2025
market data, compliance, sec, regulation, finance, securities, nyse
📈SEC Notice on NYSE Arca's Market Data Fee Change
The Securities and Exchange Commission (SEC) has published a notice regarding NYSE Arca's proposed rule change to expand the Per User Access Fee for the NYSE Aggregated Lite data feed. This change is set to take effect soon, following a solicitation for public comments on the proposal to enhance compliance and operational protocols among market participants.
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Compliance, Regulatory Changes
30 Jan 2025
sec, regulations, finance, clearing agencies, investment policy
Regulatory Change, Compliance
29 Jan 2025
sec, regulatory compliance, finance, investment management, sub-advisory agreements
Regulatory Compliance, Financial Services
29 Jan 2025
compliance, regulations, finance, securities, business, ficc
Regulatory Compliance, Investment Strategy
28 Jan 2025
sec, business regulation, finance, investment companies, co-investment
Compliance, Regulatory Requirements
22 Jan 2025
compliance, sec, finance, securities, investment companies, rule 482, advertising regulations
Regulatory Compliance, Financial Services
21 Jan 2025
sec, finance, proposed rule change, clearing agency, lch, fee grid
Compliance, Financial Services, Investment
21 Jan 2025
compliance, regulation, finance, securities, investment, nyse, cryptocurrency
Financial Reports, Regulatory Requirements, Professional Events
17 Jan 2025
regulatory compliance, finance, grants, public meetings, legal services, budgeting