📊Cboe Proposes New Rule for Annual Audits from Trading Permit Holders
The Cboe Exchange proposes to update its rules for Trading Permit Holders (TPHs), mandating annual audited reports in alignment with SEC requirements. This aims to simplify compliance and enhance regulatory oversight, ensuring all TPHs follow consistent financial reporting standards, regardless of previous exemptions.
Learn More📄SEC Notice on Proposed Amendments to Clearing Member Agreement
The Securities and Exchange Commission announces the immediate effectiveness of a proposed rule change by The Options Clearing Corporation concerning the Clearing Member Agreement. The amendment removes the requirement for an Officer's Certificate, enhancing the application process for clearing membership by accommodating diverse corporate governance practices, ultimately streamlining administrative procedures.
Learn More📈SEC Notice on Grayscale Cardano Trust Listing Proposal
The SEC issued a notice regarding NYSE Arca's proposed rule change to list and trade shares of the Grayscale Cardano Trust (ADA). The notice outlines the timeline for approval processes and comments from the public, reflecting ongoing regulatory considerations in the cryptocurrency market.
Learn More📈SEC Notice on Third Point's Investment Company Exemption Application
The SEC provides a notice regarding an application from Third Point Private Capital LLC seeking exemption under the Investment Company Act to allow registered closed-end investment companies to issue various classes of shares. This application facilitates more flexible financial product offerings for business development companies.
Learn More📈SEC Notice on Joint Transactions for Investment Companies
The SEC has issued a notice regarding an application from Main Street Capital Corporation and others, seeking permission for joint transactions that would typically be prohibited under the Investment Company Act of 1940. The application aims to facilitate co-investment opportunities among business development companies and affiliated investment entities.
Learn More📑SEC Notice on Rule 17a-7 Compliance Requirements
The SEC is requesting an extension for information collection under Rule 17a-7, requiring non-resident broker-dealers to maintain records in the U.S. This rule impacts their operational obligations and compliance costs, estimated at approximately $18,232 annually for the industry. Public comments on the necessity and burden of this information collection are invited.
Learn More📈IEX Rule Amendments and NYSE Chicago Name Change Notification
The Securities and Exchange Commission has published a notice regarding proposed amendments to the Investors Exchange LLC rules, including the addition of 24X National Exchange LLC as an away trading center and the renaming of NYSE Chicago to NYSE Texas. These changes aim to enhance operational compliance and market data transparency ahead of 24X's launch.
Learn More💵SEC Adjusts Registration Fee Rates for Fiscal Year 2026
The Securities and Exchange Commission has announced annual adjustments to the registration fee rates for fiscal year 2026. This includes a fee of $138.10 per million applicable to securities registration, reflecting changes based on inflation and aggregate maximum offering prices from previous fiscal years. The adjustments are designed to align collections with statutory targets.
Learn More📈SEC Notice on Dream Exchange's Securities Exchange Registration
The SEC has announced a longer period for reviewing Dream Exchange Holdings, Inc.'s application for national securities exchange registration. Initially filed in February 2025, the application and its amendments have received no public comments. The new deadline for a decision is set for November 28, 2025, allowing the SEC more time to assess compliance with regulatory standards.
Learn More📉GEMX Proposes Changes to Maker Rebates and Taker Fees
The Securities and Exchange Commission has published a notice regarding a proposed rule change by Nasdaq GEMX to amend pricing schedules for options trading. The amendment includes adjustments to Maker Rebates for Market Makers and changes to Taker Fees for Priority Customers, aimed at incentivizing order flow and maintaining competitive market dynamics.
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