📑CFTC Notice on Swap Documentation Information Collection
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 certain collections of information mandated by Subpart I of Part 23 of the Commission's Regulations (Swap Documentation).
Learn More📊Nasdaq Proposes Changes to SQF Port Fees for Market Makers
The Securities and Exchange Commission has issued a notice regarding Nasdaq's proposed rule change to limit the number of Specialized Quote Feed (SQF) Ports Market Makers can subscribe to, from an unlimited allocation to a maximum of 250 ports per month. This regulation aims to enhance market efficiency and secure a stable trading environment while ensuring compliance among Market Makers.
Learn More📈Regulatory Changes to Options Trading for Bitcoin ETFs Approved
The SEC has approved amendments to NYSE Arca's trading rules concerning options on the Grayscale Bitcoin Mini Trust and Bitwise Bitcoin ETF. These changes include the elimination of current position limits, allowing for the trading of FLEX options, which aim to enhance market transparency and reduce counter-party risk.
Learn More⚖️Proposed Rule Change for LCH SA's Risk Governance Framework
LCH SA has filed proposed rule changes regarding its risk governance framework, covering collateral, financial resources, and various risk policies to enhance transparency and compliance. The changes aim to align risk management practices with regulatory requirements and improve operational resilience within the clearing agency's operations.
Learn More📈Rule 17Ad-16 Compliance Requirements for Transfer Agents
The SEC issued a notice concerning Rule 17Ad-16, requiring registered transfer agents to notify qualified securities depositories of any changes in their services. This rule aims to prevent delays in certificate transfers by ensuring accurate communication between transfer agents and depositories. The notice includes an estimated financial burden for compliance, reflecting the need for thorough record-keeping and notification practices.
Learn More🏦Proposed Regulation BB Information Collection – Business Implications
The Board of Governors of the Federal Reserve System (Board) invites comment on a proposal to extend for three years, without revision, the Reporting, Recordkeeping, and Disclosure Requirements Associated with Regulation BB (FR BB; OMB No. 7100-0197).
Learn More📈SEC Extends Review Period for Truth Social Bitcoin ETF Proposal
The SEC has announced a longer review period for NYSE Arca's proposed rule change to list and trade shares of the Truth Social Bitcoin ETF. This extension is intended to provide the Commission with adequate time to evaluate the implications and issues related to the proposed change, highlighting the significance of regulatory scrutiny in the cryptocurrency market.
Learn More🏦Federal Reserve Notice for Bank Application Information Collection
The Board of Governors of the Federal Reserve System (Board) invites comment on a proposal to extend for three years, without revision, the Federal Reserve Membership and Bank Stock Applications (FR 2083, FR 2083A, FR 2083B, FR 2083C, FR 2030, FR 2030a, FR 2056, FR 2086, FR 2086a, and FR 2087; OMB No. 7100-0042).
Learn More📈Cboe EDGX Exchange's Proposed Changes for Retail Orders
The SEC has published a notice regarding Cboe EDGX Exchange's proposed rule change to amend Rule 11.21, allowing Retail Member Organizations to enter retail orders in a principal capacity under new compliance requirements. The Commission has extended the decision timeline to allow further consideration of the proposal and its implications for the trading landscape.
Learn More📉SEC Notice of Deregistration Applications for Investment Companies
Applicant seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to Horizon Funds, and on April 17, 2025, made a final distribution to its shareholders based on net asset value. Expenses of $585,676 incurred in connection with the reorganization were paid by the applicant's investment adviser and the acquiring fund's investment adviser. Filing Dates: The application was filed on June 5, 2025, and amended on July 21, 2025. Applicant's Address: 48 Wall Street, Suite 1100, New York, New York 10005.
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