Notice 1 Jul 2025 sec, regulations, finance, investment, finra, business development companies, capital formation

📈FINRA Rule Changes for Business Development Companies and IPO Access

The notice discusses the SEC's approval of FINRA's proposed rule change allowing specific business development companies (BDCs) to access new issues without traditional restrictions. The change aims to facilitate investment diversification and enhance capital formation while maintaining investor protections inherent in the Investment Company Act.

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Notice 27 Jun 2025 compliance, investment, nasdaq, securities regulation, cryptocurrency, polkadot trust

📈SEC Proceeds with Nasdaq's 21Shares Polkadot Trust Proposal

The SEC is evaluating a proposed rule change from Nasdaq to list and trade shares of the 21Shares Polkadot Trust. This proposal aims to track DOT token performance, adhering to regulatory standards for investor protection and market integrity. The regulations invite public commentary on any issues related to the proposal's approval or disapproval.

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Notice 27 Jun 2025 sec, regulation, investment, etfs, ethereum, cryptocurrencies, staking

💰SEC Notice on Cboe BZX Proposed Rule Change for Ethereum ETF

The SEC has published a notice regarding a proposed rule change by Cboe BZX Exchange, allowing the Invesco Galaxy Ethereum ETF to engage in staking ether. This modification seeks to improve investor returns and enhance tracking of ether value, providing clarity and detail on the staking process within the fund's operations.

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Notice 27 Jun 2025 compliance, regulation, securities, investment, us, canada, retirement accounts

📈SEC Rule 237

The SEC has submitted a request for extension and approval concerning Rule 237, which allows Canadian-U.S. Participants to manage investments in Canadian retirement accounts without U.S. registration. The rule facilitates the offering and sale of foreign securities, requiring specific disclosures in offering documents to inform investors of the exemption from U.S. securities laws.

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Notice 26 Jun 2025 regulation, securities, investment, nyse, commodities, copper

🪙Proposed Rule Change for Sprott Physical Copper Trust Trading

The SEC has announced a proposed rule change allowing NYSE Arca to list and trade shares of the Sprott Physical Copper Trust. This trust aims to invest primarily in physical copper, providing investors with a regulated investment option in the copper market. The initiative will enhance trading opportunities and may influence copper prices in broader markets.

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Notice 24 Jun 2025 compliance, investment, costs, securities regulation, canada

📊SEC Notice on OMB Review for Form F-80 about Canadian Securities

The SEC announces a request for extension of Form F-80, used by large Canadian issuers for registering securities in business combinations. This registration provides U.S. investors with necessary information for informed decisions. The notice invites public comment on the information collection process and outlines the estimated costs and burdens associated with it.

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Notice 23 Jun 2025 sec, regulation, finance, securities, investment, nyse american, cryptocurrency

💰SEC Extends Review Period for Grayscale Bitcoin Trust Options

The Securities and Exchange Commission (SEC) has announced a longer review period for the proposed rule change by NYSE American LLC, focused on allowing FLEX options on the Grayscale Bitcoin Trust. The decision is part of a regulatory process that aims to provide the SEC with adequate time to assess the implications of this financial product.

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Notice 23 Jun 2025 compliance, sec, regulation, investment, advisory

🏦SEC Notice for Advisors Series Trust Exemption Request

The SEC issued a notice regarding Advisors Series Trust and Distribution Cognizant LLC's application for an exemption from certain provisions of the Investment Company Act of 1940. The proposed exemption would facilitate the amendment of subadvisory agreements without requiring shareholder approval, while also relieving specific disclosure requirements related to fees paid to subadvisers.

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Notice 23 Jun 2025 sec, exchange, regulation, securities, investment, etf, cryptocurrency

📈SEC Proposes Rule Change for Franklin XRP ETF Listing

The SEC is reviewing a proposed rule change by Cboe BZX Exchange to list and trade shares of the Franklin XRP ETF, which aims to reflect the performance of XRP. The review process will assess the proposal’s compliance with legal standards and solicits public comments on potential investor protection concerns.

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Notice 23 Jun 2025 sec, exchange, investment, options trading, commodities, etfs

📈SEC Proposes Options Trading on Commodity-Based Trust Shares

The SEC is considering amendments to allow the listing and trading of options on Commodity-Based Trust Shares, enhancing trading capabilities for ETFs and fostering a more transparent market environment. The proposed changes aim to provide investors with better tools for hedging and price discovery while maintaining compliance with existing regulatory requirements.

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