📄Compliance Requirements Under Rule 194 for SBS Entities
The SEC announces a request for OMB review concerning Rule 194, which outlines processes for security-based swap dealers and major participants involving statutorily disqualified individuals. The notice specifies information collection requirements, outlines application procedures, and discusses the expected burden on SBS entities involved in regulatory compliance.
Learn More📈MEMX Proposal to Clarify Post Only Instruction Order Handling
The SEC has published a notice about MEMX LLC's proposed rule change to clarify the handling of orders with a Post Only instruction. This change aims to enhance transparency regarding order execution under specific circumstances, ultimately promoting market efficiency and investor protection. The proposal is expected to streamline operational practices for trading firms.
Learn More📈NYSE Arca Proposes New Rule for Generic Listing of Trust Shares
The NYSE Arca has filed a proposed rule change to implement new standards under Rule 8.201-E, enabling the generic listing and trading of Commodity-Based Trust Shares. The amendments aim to enhance market efficiency, reduce costs for issuers, and promote competitive dynamics among financial products in the investment sector.
Learn More💰NYSE Arca Proposes Temporary Waiver of Gross FOCUS Fee for Businesses
The SEC has published a notice regarding NYSE Arca's proposed rule change to temporarily waive the Gross FOCUS fee for ETP Holders from September to December 2025. This waiver is designed to ensure that fee collections align with the regulatory costs, benefiting all market participants equally and posing no undue burden on competition.
Learn More📈MEMX Proposes New Fees Structure for Equities Trading
MEMX LLC has filed a proposed rule change to amend its equities transaction fee schedule, aiming to adjust criteria for liquidity provision tiers and introduce a new Tape B Volume Tier, incentivizing members to boost their order flow and enhance market quality. This initiative reflects the competitive nature of today's trading environments while aiming for equitable fee allocation.
Learn More📈New Generic Listing Standards for Commodity-Based Trust Shares
The SEC published a notice regarding the Nasdaq's proposed amendment to adopt generic listing standards for Commodity-Based Trust Shares. This change allows for efficient listing and trading of exchange-traded products that hold various commodities without the need for separate regulatory filings for each product, thereby streamlining market operations.
Learn More🏦CFTC Notice on Information Collection Activities Under Review
In compliance with the Paperwork Reduction Act of 1995 (PRA), this notice announces that the Information Collection Request (ICR) abstracted below has been forwarded to the Office of Information and Regulatory Affairs (OIRA) of the Office of Management and Budget (OMB) for review and comment. The ICR describes the nature of the information collection and its expected costs and burden.
Learn More💵Cboe BZX Proposes New Fee Schedule for Low-Priced Securities
The Cboe BZX Exchange has filed a proposed rule change to amend its fee schedule by introducing a new additive rebate for orders involving securities priced below $1.00. This change aims to enhance competitiveness and liquidity on the exchange, responding to a highly competitive trading environment while supporting its overall pricing philosophy.
Learn More📝IRS Seeks Comments on Tax Form Information Collection Activities
In accordance with the Paperwork Reduction Act of 1995, the IRS is inviting comments on the information collection request outlined in this notice.
Learn More🏦National Credit Union Administration Sunshine Act Meeting Overview
The National Credit Union Administration is holding an open meeting to discuss various topics, including a Board Briefing on the Share Insurance Fund Quarterly Report. The meeting will take place at the Alexandria, VA headquarters, providing stakeholders an opportunity to engage with key updates related to credit unions.
Learn More