📈Nasdaq ISE's Proposed Options Expiration Changes and Compliance Impacts
Nasdaq ISE has proposed a rule change to introduce additional expirations for options trading on individual stocks and ETFs. This adjustment aims to enhance trading flexibility but raises concerns about increased operational risks, complexity, and costs for broker-dealers, with potential consequences for the broader options market.
Learn More⚖️Nasdaq Automation Rule Change for Trade Reporting Compliance
The Nasdaq Stock Market LLC has proposed a new rule to automate the resubmission of rejected trade reports through its WorkX platform. This enhancement aims to streamline the reporting process, improve operational efficiency, and ensure compliance with SEC regulations, ultimately fostering market integrity and protecting investors.
Learn More📈Cboe Proposes Options Trading Rules for VanEck Bitcoin ETF
The Cboe EDGX Exchange has proposed a rule change to permit the listing and trading of options on the VanEck Bitcoin ETF. This amendment expands the eligibility for Fund Shares, enhancing trading opportunities and providing investors with low-cost tools for managing Bitcoin exposure. The Exchange emphasizes the benefits of transparency and increased market activity facilitated by this development.
Learn More📈NYSE American Options Fee Schedule Waiver
The SEC has published a notice regarding a proposed rule change by NYSE American to waive maximum combined Floor Broker credits for certain trades during selected months. This adjustment aims to promote liquidity and encourage continued trading activity within the exchange, thereby enhancing the overall market execution environment for participants.
Learn More📈SEC Notice on Man Diversified Income Fund Regulatory Exemption
The SEC published a notice regarding an application from Man Diversified Income Fund and Man Solutions LLC seeking exemptions under the Investment Company Act of 1940. The application requests permission for certain investment companies to issue multiple classes of shares and impose fees, potentially affecting regulatory practices in asset management.
Learn More📉Nasdaq MRX Proposes Decrease in Options Regulatory Fee Effective 2026
The Nasdaq MRX has filed a notice to decrease the Options Regulatory Fee, reducing it from $0.0139 to $0.0116 per contract side, effective January 2, 2026. This proposal follows a review of the Exchange's regulatory costs and fees and aims to align the ORF with expected regulatory expenses, benefiting market participants.
Learn More📈SEC Proposes Compliance Standards for Security-Based Swap Dealers
The SEC is seeking an extension for information collection concerning business conduct standards for security-based swap dealers and major participants. This involves compliance with new regulations established under the Dodd-Frank Act, aimed at enhancing transparency and protecting investors by establishing rigorous reporting and operational standards for entities engaging in security-based swaps.
Learn More📈Regulatory Notice on Bank Holding Company Mergers and Acquisitions
The Federal Reserve System issued a notice regarding applications for the formations, acquisitions, and mergers of bank holding companies. It provides details on public comment opportunities concerning the applications, regulatory compliance, and available resources for obtaining further information regarding the ongoing processes.
Learn More📈Proposed Rule Change on Backtesting Charge Impacts Margin Requirements
The Securities and Exchange Commission has published a notice regarding a proposed rule change by the Fixed Income Clearing Corporation to clarify and modify the definition of the Backtesting Charge in its Government Securities Division Rulebook. The changes aim to enhance understanding and accuracy in margin calculations, potentially increasing margin requirements for affected members.
Learn More💹SEC Approves Options Trading for VanEck Bitcoin Trust
The SEC has published a notice approving the Miami International Securities Exchange's proposed rule change to list and trade options on the VanEck Bitcoin Trust. This includes amendments to position and exercise limits, aiming to enhance market access and transparency related to Bitcoin investments while ensuring robust regulatory safeguards against manipulation.
Learn More