📈SEC's Rule 15a-6
The SEC has submitted a request for the extension of Rule 15a-6, which outlines the conditions under which foreign broker-dealers can operate in the U.S. market. This rule provides necessary exemptions for foreign entities engaging with U.S. institutional investors while imposing specific compliance reporting requirements on U.S. registered broker-dealers.
Learn More📊BE-185 Quarterly Survey Requirements for Financial Services
By this Notice, the Bureau of Economic Analysis (BEA), Department of Commerce, is informing the public that it is conducting the mandatory survey titled Quarterly Survey of Financial Services Transactions between U.S. Financial Services Providers and Foreign Persons (BE-185). The data collected on the BE-185 survey are needed to measure U.S. trade in financial services and to analyze the impact of U.S. trade on the U.S. and foreign economies. This survey is authorized by the International Investment and Trade in Services Survey Act and by Section 5408 of the Omnibus Trade and Competitiveness Act of 1988.
Learn More🏦Change in Bank Control Notices by Federal Reserve
The Federal Reserve System issued a notice inviting applications for acquiring shares of banks or holding companies under the Change in Bank Control Act. It outlines the requirements for public comment on these applications and emphasizes the importance of compliance with the regulatory framework. Comments will be publicly disclosed, necessitating careful consideration from interested parties.
Learn More⚡Combined Notice of Electric Corporate Filings from FERC
This notice includes various electric corporate filings submitted to the Federal Energy Regulatory Commission (FERC), detailing applicants, filing descriptions, and comment deadlines. Key filings include requests for authorizations under the Federal Power Act and notices of self-certification for exempt wholesale generator status, relevant to businesses in the energy sector.
Learn More📈Cboe BYX Notice on Increased Monthly Fees for Trading Ports
The SEC has published a notice regarding Cboe BYX Exchange's proposed rule change to increase the monthly fee for 10 Gb physical ports. The change has been designated for immediate effectiveness, and comments from interested parties are invited for consideration within a specified timeframe.
Learn More📊Compliance Requirements for NRSROs Under Rule 17g-4
The Securities and Exchange Commission (SEC) seeks comments on an information collection under the Paperwork Reduction Act regarding Rule 17g-4. This rule mandates that nationally recognized statistical rating organizations maintain policies to prevent the inappropriate dissemination of nonpublic information, impacting their operations and compliance efforts in the financial sector.
Learn More📈Compliance and Registration Requirements for Investment Companies
The SEC announces a request for an extension on Form N-8A, essential for investment company registration under the Investment Company Act of 1940. The form facilitates the notification of existence to the Commission, ensuring companies are subject to necessary regulations regarding their organizational structure and activities. Compliance is mandatory, and the document invites public comments on the information collection request.
Learn More💰Cboe EDGA Exchange Proposes Fee Increase for 10 Gb Ports
The Securities and Exchange Commission has published a notice regarding Cboe EDGA Exchange's proposed rule change to increase the monthly fee for 10 Gb physical ports. This change is designated for immediate effectiveness and invites public comments on its implications. The full details and context are available on the Exchange's and SEC's websites.
Learn More💵Cboe's Proposed Fee Changes for Timestamping Service Reports
The Securities and Exchange Commission published a notice regarding Cboe Exchange's proposed rule change to amend its fee schedule. This amendment aims to adopt fees for Cboe Timestamping Service reports, which could have significant implications for businesses using these services. The proposed changes have been designated for immediate effectiveness, allowing for public commentary within a specified period.
Learn More📝SEC Form ID Submission Extension for OMB Review
The SEC has initiated a request for an extension of Form ID, necessary for gaining access to the EDGAR electronic filing system. This form must be filed by individuals and organizations seeking to comply with federal securities laws, ensuring secure access to the Commission's data gathering and retrieval services. The regulation underscores the importance of maintaining up-to-date compliance with securities disclosures.
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