🏦Regulatory Notice on Bank Holding Company Formations and Acquisitions
The Federal Reserve System issued a notice regarding applications for the formation and acquisition by bank holding companies. Companies are invited to comment on these applications, which include potential acquisitions and mergers affecting banks and non-banking entities, underscoring the importance of regulatory compliance in the financial sector.
Learn More💰NYSE Arca Withdraws Proposed Waiver on Options Regulatory Fee
NYSE Arca, Inc. filed and subsequently withdrew a proposed rule change to waive the Options Regulatory Fee for December 2024. The proposal was temporarily suspended by the Securities and Exchange Commission, leading to its withdrawal, indicating ongoing scrutiny of trading fees and market operations.
Learn More📉Applications for Deregistration Under Investment Company Act
Applicant, a unit investment trust, seeks an order declaring that it has ceased to be an investment company. Applicant has never made a public offering of its securities and does not propose to make a public offering or engage in business of any kind. Filing Date: The application was filed on June 21, 2024. Applicant's Address: One American Row, Hartford, Connecticut 06103.
Learn More📈Nasdaq's Rule Change Enhances Services for Eligible Switches
The Securities and Exchange Commission approved Nasdaq's proposed rule change to enhance its package of complimentary services for companies switching their listings, expanding the eligibility criteria beyond the New York Stock Exchange. This initiative aims to streamline services and bolster competition among national securities exchanges, ensuring companies receive valuable tools during their transition.
Learn More📊SEC Proposes Extension of Information Collection Under Rule 15c3-1
The SEC is soliciting comments on the existing collection of information related to Appendix F of Rule 15c3-1, which governs net capital rules for OTC derivatives dealers. The notice highlights compliance requirements and seeks feedback on the proposed information collection process, ensuring its practicality and potential improvements.
Learn More📈SEC Publishes Proposed Rule Change for Hashdex NFT ETF
The SEC has published a notice regarding a proposed rule change from Nasdaq, focusing on service providers and basket size for the Hashdex Nasdaq Crypto Index US ETF. This change aims to streamline compliance with the Trust's registration statement while maintaining listing requirements under Nasdaq Rule 5711(d). Interested parties are invited to comment on the proposed changes.
Learn More📈Compliance Update
The Securities and Exchange Commission announces the accelerated approval of rules for trading complex FLEX orders that include both FLEX and non-FLEX components. This regulatory change enhances trading flexibility, allowing investors to execute more customized strategies efficiently, while continuing to ensure the protection of market participants and maintaining fair trading practices.
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