💰New CAT Fee 2025-2 Impacting Industry Members Announced by NYSE
The NYSE has filed a proposed rule change to implement CAT Fee 2025-2, which establishes fees related to the costs of the Consolidated Audit Trail for the second half of 2025. This initiative aims to recover budgeted expenses associated with the operation and compliance of the CAT system, impacting industry members and transaction costs.
Learn More💸FINRA Proposes CAT Cost Recovery Fee 2025-2 Impacting Industry Members
FINRA's notice announces a proposed rule change to implement the Prospective CAT Cost Recovery Fee 2025-2, designed to recover budgeted costs for the consolidated audit trail system from industry members. This fee is structured based on transaction volumes and is integral for fulfilling the regulatory requirements and maintaining financial accountability within the National Market System Plan.
Learn More📈Proposed Rules for Micro Narrow-Based Index Options Trading
The Miami International Securities Exchange proposes to amend index options rules to introduce micro narrow-based indexes. This includes establishing listing and maintenance standards for these indexes, aiming to enhance trading opportunities and market liquidity. The regulations are designed to ensure proper oversight and maintain market integrity while fostering innovation in options trading.
Learn More🏦FDIC Requests Comments on Agency Information Collection Activities
The Federal Deposit Insurance Corporation (FDIC), as part of its obligations under the Paperwork Reduction Act of 1995, invites the general public and other Federal agencies to take this opportunity to comment on the request to renew the existing information collections described below (OMB Control No. 3064-0152; -0190 and -0207). The notices of proposed renewal for these information collections were previously published in the Federal Register on April 25, 2025, allowing for a 60-day comment period.
Learn More📊SEC Proposes Extension for Form Custody Filing Compliance
The SEC is requesting an extension for the collection of information related to Form Custody, which requires broker-dealers to report on asset custody. This process is crucial for regulatory oversight and entails significant compliance costs, impacting approximately 3,470 entities in the securities industry. Comments are invited to enhance the collection's quality and feasibility.
Learn More📊CFTC Notice on Margin Requirements for Uncleared Swaps Compliance
The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on the proposed renewal of a collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the burdens associated with the information collections associated with the Commission's Margin Requirements for Uncleared Swaps for Swap Dealers and Major Swap Participants--Cross-Border Application of the Margin Requirements, including (1) requesting a comparability determination from the Commission; (2) maintaining policies and procedures for compliance with the Commission's special provisions for non-netting jurisdictions and non-segregation jurisdictions; and (3) maintaining books and records properly documenting that all of the requirements of the special provisions for non-netting jurisdictions and non-segregation jurisdictions are satisfied.
Learn More💼SEC Notice for Lord Abbett Funds on Investment Company Act Exemption
The Securities and Exchange Commission announces an application for an exemption from specific provisions of the Investment Company Act, allowing Lord Abbett Credit Opportunities Fund and related entities to make monthly repurchase offers on their shares. The notice outlines the conditions and procedures for interested parties to request a hearing on the application.
Learn More📊CFTC Announces Market Surveys Information Collection for Comments
The Commodity Futures Trading Commission ("CFTC" or "Commission") is announcing an opportunity for public comment on the proposed collection of certain information by the agency. Under the Paperwork Reduction Act ("PRA"), Federal agencies are required to publish notice in the Federal Register concerning each proposed collection of information, including each proposed extension of an existing collection of information, and to allow 60 days for public comment. This notice solicits comments on the collections of information associated with market investigations.
Learn More📜OFAC Sanctions Notice
The U.S. Department of the Treasury's Office of Foreign Assets Control (OFAC) is publishing the names of persons who have been removed from OFAC's List of Specially Designated Nationals and Blocked Persons (SDN List).
Learn More💰2025 U.S. Mint Gold Products Pricing Update and Business Impact
The United States Mint is announcing an update to our Numismatic Pricing Grid to include the 25TH Anniversary Sacagawea Golden Dollar 24K One Half-Ounce Gold Proof Coin and Comic Arts One Half- Ounce Gold Coin. An excerpt of the appears below: [GRAPHIC] [TIFF OMITTED] TN01JY25.002
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