📈CFTC Announces Compliance Reporting Requirements for Chief Compliance Officers
The Commodity Futures Trading Commission ("Commission" or "CFTC") 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 the collections of information mandated by Commission Regulation 3.3 (Chief Compliance Officer).
Learn More⚖️NYSE Proposes Rule Change for Pre-Trade Risk Controls on Trading
The Securities and Exchange Commission has announced a proposed amendment by the New York Stock Exchange to modify the pre-trade risk controls accessible to Floor brokers. The adjustment aims to streamline the process, allowing only member organizations to set specific controls, reinforcing their compliance and risk management responsibilities.
Learn More📈DTC Proposed Rule Change for Recovery and Wind-Down Plan
The SEC published a notice regarding a proposed rule change by the Depository Trust Company (DTC) to amend its Recovery and Wind-Down Plan. The changes reflect recent business developments and aim to enhance clarity and efficiency in risk management protocols, thereby ensuring continued access to critical services in liquidity or credit crises.
Learn More📈Proposed Amendments to NSCC Recovery and Wind-Down Plan
The Securities and Exchange Commission has published notice of the National Securities Clearing Corporation's proposed amendments to its Recovery and Wind-Down Plan. These amendments are aimed at reflecting recent business developments, enhancing clarity, and ensuring effective risk management practices in maintaining continuous critical services essential for market stability. The plan outlines strategies for recovery and orderly wind-down of operations under stress scenarios.
Learn More📈FICC Proposes Changes to Recovery and Wind-Down Plans
The SEC has published a notice for the proposed amendments to the Recovery and Wind-Down Plan by the Fixed Income Clearing Corporation (FICC). These amendments reflect recent business developments, improve clarity, and ensure compliance with regulatory requirements essential for maintaining operations and services during potential recovery scenarios.
Learn More💼NYSE American Connectivity Fee Schedule Changes
The Securities and Exchange Commission announces a proposed rule change by NYSE American LLC to amend its Connectivity Fee Schedule, updating lists of third-party systems and data feeds. The changes aim to consolidate and clarify existing services without impacting current user fees, ensuring equitable access to market participants.
Learn More📈NYSE National's Proposed Changes to Connectivity Fee Schedule
The NYSE National has filed a notice proposing amendments to its Connectivity Fee Schedule, updating the list of third-party systems and data feeds available for market participants. These changes aim to streamline the services offered without altering existing fees, promoting clarity and efficiency in market operations.
Learn More📊NYSE Arca Proposes Rule Change for Connectivity Fee Schedule
The NYSE Arca has filed a proposed rule change to amend its connectivity fee schedule, updating the list of third-party systems and data feeds available for market participants. The changes aim to streamline options without altering existing fees, ensuring all users retain equal service access while enhancing overall clarity and transparency in service offerings.
Learn More🪙SEC Crypto Task Force Sunshine Act Meeting Announcement
The SEC announces a public meeting for its Crypto Task Force focused on "Know Your Custodian
Learn More📉SEC Notice of Deregistration Under Investment Company Act
Applicant seeks an order declaring that it has ceased to be an investment company. On October 17, 2024 and November 19, 2024, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of approximately $129,000 incurred in connection with the reorganization were paid by the applicant's administrator/sponsor, Alight Solutions, LLC. Applicant also has retained approximately $75,000 for the purpose of paying outstanding liabilities. Filing Dates: The application was filed on December 20, 2024 and amended on March 26, 2025. Applicant's Address: 320 South Canal Street, 50th Floor--Suite 5000, Chicago, Illinois 60606.
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