💰NYSE Texas Proposal
The NYSE Texas proposes a rule change to amend its Fee Schedule, harmonizing fees for order/quote entry ports and introducing charges for drop copy ports. The changes aim to simplify the fee structure for firms using these ports while promoting efficient use of resources. Comments on the proposed amendment are encouraged from the public.
Learn More🏦Federal Reserve Notice on Bank Holding Companies Mergers and Acquisitions
This regulatory notice from the Federal Reserve details applications from bank holding companies seeking approvals for mergers, acquisitions, and related activities under the Bank Holding Company Act. It emphasizes the need for public comments, the potential for scrutiny on the applications, and availability of related information for stakeholders.
Learn More📄SEC's Proposed Rule 194 Impacts Security-Based Swap Dealers
The SEC is soliciting comments regarding the proposed collection of information under Rule of Practice 194, which governs applications for statutory disqualifications among security-based swap dealers. The notice outlines the required process and burden hours for compliance, reflecting on the anticipated low volume of applications and notices.
Learn More📈SEC Seeks Comments on Form 13F Compliance Requirements
The Securities and Exchange Commission is soliciting comments regarding the continuation of Form 13F, which requires institutional investment managers to file quarterly reports for U.S. exchange-traded equity securities. The notice outlines regulatory obligations tied to reporting, the methodologies for estimating compliance costs, and the implications of recent amendments affecting data submission practices.
Learn More💹Nasdaq Proposes Trading Shares of Grayscale Avalanche Trust (AVAX)
The SEC is considering a proposed rule change from Nasdaq to list and trade shares of the Grayscale Avalanche Trust. This proposal, focusing on AVAX, raises essential regulatory questions and invites public comment to assess its alignment with securities regulations. The outcome may significantly affect the trading and investment landscape for digital assets.
Learn More📈SEC Application for Co-Investment Transactions Notice
The Securities and Exchange Commission (SEC) has issued a notice regarding Ardian Access LLC's application for permission to conduct certain joint transactions involving registered closed-end management investment companies and affiliated entities. This notice includes filing details, applicant information, and potential for hearing requests from interested parties.
Learn More📈SEC Notice on Co-Investment Opportunity for Investment Companies
The SEC issued a notice regarding First Trust and other applicants seeking approval for co-investment in portfolio companies, potentially enabling joint transactions among investment companies. This notice outlines the procedural aspects and application details as required under the Investment Company Act of 1940, emphasizing compliance and regulatory requirements for involved parties.
Learn More💰Proposed Rule Change for CAT Fees Impacting Industry Members
The SEC is announcing a proposed rule change by NYSE Texas to establish fees for industry members to cover budgeted costs of the National Market System Plan for the Consolidated Audit Trail. The fee will replace a previous fee and is intended for a six-month period, impacting industry financial obligations significantly.
Learn More💰SEC Notice on NYSE CAT Fees for Industry Members in 2025
The SEC has published a notice regarding proposed rule changes by NYSE National to establish fees for Industry Members related to the budgeted costs of the Consolidated Audit Trail (CAT) for the period from July 1 to December 31, 2025. The notice seeks comments on these fee implementations, which will affect securities trading practices.
Learn More💰SEC Proposal for In-Kind Transactions in Bitwise Bitcoin and Ethereum ETFs
The Securities and Exchange Commission has published a notice regarding NYSE Arca's proposed amendments to allow in-kind creations and redemptions for the Bitwise Bitcoin ETF and Ethereum ETF. This change aims to enhance trading efficiency and operational flexibility for Authorized Participants, fostering improved market dynamics for these cryptocurrency investment trusts.
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