💵New Liquidity Risk Framework Changes Approved for LCH SA
The Securities and Exchange Commission has approved revisions to LCH SA's Liquidity Risk Modelling Framework, enhancing its approach to managing liquidity risks associated with clearing services. The updates aim to clarify operational requirements, improve data accuracy, and ensure compliance with regulatory standards for effective liquidity management.
Learn More📞Advisory Committee Meeting on Actuarial Exams Notice
The Joint Board for the Enrollment of Actuaries gives notice of a teleconference meeting of the Advisory Committee on Actuarial Examinations (a portion of which will be open to the public) on July 10-11, 2025.
Learn More🏦Regulatory Notice on Bank Control and Acquisitions
The Federal Reserve System announced application procedures under the Change in Bank Control Act for acquiring shares of banks or bank holding companies. Notificants must comply with specific standards during the application process, which are subject to public comment and disclosure. Interested parties can express their views regarding applications under review.
Learn More📈SEC Proposes Exemption for Closed-End Funds from Annual Meetings
The SEC is considering a new rule allowing Closed-End Funds listed from May 20, 2025, onward to be exempt from annual shareholder meetings, streamlining operations and potentially enhancing market participation. This change aims to protect shareholders while encouraging the formation of new funds by reducing regulatory burdens associated with costly annual meetings.
Learn More🏦Change in Bank Control Notices
The Federal Reserve System has issued a notice regarding applications under the Change in Bank Control Act for acquiring shares of banks or bank holding companies. It outlines the process for public comment, including deadlines and contact information for submissions, emphasizing the importance of stakeholder input in regulatory decisions.
Learn More📈NYSE Proposes Rule Change to Enhance Pillar Depth Market Data
The NYSE has proposed changes to enhance the Pillar Depth market data product, aiming to provide improved content including Auction Imbalance Information. This enhancement is designed to offer a consolidated view of market data and increase transparency, competing effectively with existing products from other exchanges.
Learn More📈SEC Reviews Dream Exchange Holdings Inc. Registration Application
This notice details the SEC's proceedings regarding Dream Exchange Holdings, Inc.'s application for registration as a national securities exchange. It outlines DreamEx's trading platform's structure, compliance requirements under the Securities Exchange Act, and the potential grounds for denial of the application, inviting public comment on various aspects of the proposal.
Learn More📉Notice of Applications for Deregistration Under Investment Company Act
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On September 27, 2025, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $44,294 incurred in connection with the liquidation were paid by the applicant. Filing Dates: The application was filed on February 13, 2025 and amended on May 13, 2025. Applicant's Address: 660 Fifth Avenue, Level 15, New York, New York 10103.
Learn More📉Cboe BZX Introduces Program for Small Retail Brokers with Fee Waivers
Cboe BZX Exchange proposes a rule change to establish a Small Retail Broker Hosted Solutions Program, aiming to enhance data accessibility for retail investors. The initiative includes fee waivers for hosting brokers and external subscribers, promoting collaboration within the sector. This aims to foster competitiveness and broaden market access, potentially benefiting smaller firms and their investors.
Learn More📉Capital Alignment Partners III License Surrender by SBA
The Small Business Administration has declared the investment license for Capital Alignment Partners III, L.P. null and void, as per authorities under the Small Business Investment Act. This action signifies a regulatory shift within the Small Business Investment Company landscape, potentially affecting current and future investment activities.
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