🏦Federal Reserve Notice on Bank Holding Company Mergers & Acquisitions
The Federal Reserve System announces applications from companies seeking approval to become bank holding companies or acquire banks. The notice outlines the regulatory framework and encourages public comments regarding the applications. Interested parties are informed about the process and deadlines for submitting their views.
Learn More💰Proposed Rule Change on Fees for Industry Members Related to CAT
The SEC published a notice regarding a proposed rule change by the Long-Term Stock Exchange, Inc., aiming to establish fees for Industry Members associated with the Consolidated Audit Trail (CAT) for the latter half of 2025. This notice invites public comments and details the regulatory framework surrounding CAT costs and fee structures.
Learn More📊Cboe C2 Exchange's Proposed Rule Change on CAT Fees
Cboe C2 Exchange has filed a significant proposal to amend its fee schedule for the Consolidated Audit Trail (CAT) Fund, aiming to establish necessary fees for industry members for July through December 2025. This is part of an ongoing effort to manage the costs related to the CAT, which captures all customer and order event data across markets.
Learn More💰Cboe EDGX Announces New CAT Fees Impacting Industry Members
Cboe EDGX Exchange has filed a notice regarding a proposed rule change to establish fees for Industry Members connected to reasonably budgeted costs for the Consolidated Audit Trail. This change will apply from July through December 2025, emphasizing compliance and financial planning for affected businesses.
Learn More📈SEC Notice on Hamilton Lane Private Assets Fund Regulation
The SEC has issued a notice regarding Hamilton Lane's application for an exemption under the Investment Company Act to allow multiple share classes and impose fees. This development highlights potential regulatory changes affecting investment strategies and compliance in the financial sector.
Learn More📈SEC Proposal on Risk Management Controls for Broker-Dealers
The SEC is seeking comments on the proposed information collection related to Rule 15c3-5, which requires broker-dealers to establish and document risk management controls and supervisory procedures. The requirements include annual CEO certifications and regular evaluations of these controls, promoting stronger regulatory compliance in the financial sector.
Learn More📈Proposed Rule Change for Industry Member Fees in 2025
The SEC issued a notice regarding a proposed rule change by MEMX LLC that introduces new fees for industry members related to the National Market System Plan for the Consolidated Audit Trail. This initiative aims to recover budgeted costs and enforce compliance among securities firms from July to December 2025.
Learn More📈Analysis of SEC Rule Change for MX2 Options Trading
The Securities and Exchange Commission (SEC) published a notice regarding a proposed rule change for MX2 Options, detailing the terms, purpose, and significant aspects of the new electronic trading system for options. The proposal emphasizes compliance with regulatory standards, member participation, and market maker obligations, seeking to enhance the current trading framework.
Learn More🏦NCUA Public Hearing on Dade County Federal Credit Union Charter
The NCUA will hold a public hearing on a request from Dade County Federal Credit Union, submitted on September 19, 2024, seeking to expand its existing community charter. The Census Bureau estimates the proposed community's population is 6,263,813 people. This public hearing is being held pursuant to the NCUA's Chartering and Field of Membership Manual, and the agency is requesting comments from interested stakeholders regarding whether the area qualifies as a well- defined local community.
Learn More📈Proposed NYSE Rule Changes on Trading Halts Impact Businesses
The New York Stock Exchange (NYSE) filed proposed rule changes to amend its regulations on trading halts, intending to merge existing rules for clarity and consistency across self-regulatory organizations. The changes aim to enhance regulatory oversight for trading activities in response to operational or regulatory disruptions, thus promoting orderly market conditions.
Learn More