💼SEC Notice for Blackstone’s Joint Transaction Application
The SEC has issued a notice regarding an application for an order that would allow certain business development companies and closed-end investment firms to co-invest in portfolio companies. This move aims to authorize joint transactions that are typically prohibited under current regulations, potentially expanding investment strategies available to applicants.
Learn More🏦Notice on Bank Holding Company Formations and Acquisitions
The Federal Reserve has issued a notice regarding applications for the formation of bank holding companies, acquisitions, and mergers. The public can review these applications and comment on them, with details concerning how to submit feedback. This aligns with the Bank Holding Company Act and regulatory requirements in the financial sector.
Learn More💼Proposed Payments Research Survey - Federal Reserve Comment Request
The Board of Governors of the Federal Reserve System (Board) invites comment on a proposal to extend for three years, without revision, the Payments Research Survey (FR 3067; OMB No. 7100-0355).
Learn More📄SEC Proposed Collection
The SEC is seeking comments on information collection related to Rule 19d-1, which requires SROs to report certain actions, including disciplinary measures and delistings. The rule aims to ensure proper oversight and compliance within the financial sector, anticipating around 850 submissions annually from approximately 17 respondents.
Learn More💰Nasdaq MRX Proposes Changes to Options Regulatory Fee Structure
Nasdaq MRX plans to amend its Options Regulatory Fee structure to enhance revenue collection from member firms for options transactions. Effective January 2, 2026, the ORF will increase, affecting transaction costs for various market participants, with an intent to better align regulatory fees with actual regulatory costs incurred by the exchange.
Learn More📄OCC Notice on Information Collection for Complex Finance Transactions
The OCC, as part of its continuing effort to reduce paperwork and respondent burden, invites comment on a continuing information collection, as required by the Paperwork Reduction Act of 1995 (PRA). In accordance with the requirements of the PRA, the OCC may not conduct or sponsor, and the respondent is not required to respond to, an information collection unless it displays a currently valid Office of Management and Budget (OMB) control number. The OCC is soliciting comment concerning the renewal of its information collection titled, "Interagency Statement on Complex Structured Finance Transactions." The OCC also is giving notice that it has sent the collection to OMB for review.
Learn More💰Nasdaq Proposal for CoinShares Litecoin ETF
The Securities and Exchange Commission has initiated proceedings to determine the approval of the proposed rule change allowing the listing of CoinShares Litecoin ETF shares on the Nasdaq Stock Market. The proposal aims to reflect Litecoin's market performance while addressing regulatory concerns around investor protection and market manipulation, inviting public commentary.
Learn More📄SEC Notice on Rule 0-4 Submission for OMB Review
The SEC gives notice regarding the extension of Rule 0-4 under the Investment Advisers Act, which prescribes the requirements for applications seeking exemptive relief. The rule aims to guide the Commission in assessing exemption requests while detailing the associated cost burdens for applicants, which vary based on application complexity.
Learn More📄SEC Proposed Collection
The Securities and Exchange Commission is seeking comments on existing information collections pertaining to Rule 17a-10, which regulates transactions between registered investment companies and their affiliates. The proposal emphasizes compliance requirements for subadvisers and associated documentation modifications necessary for legal adherence to the rule.
Learn More📈Proposed Business Conduct Standards for Swap Dealers and Participants
The SEC is seeking comments on proposed information collection related to business conduct standards for security-based swap dealers and major participants. This initiative aims to enhance transparency and investor protection within the security-based swap market, requiring detailed disclosures and compliance measures for involved entities.
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