📊SEC Rule 17a-4
The Securities and Exchange Commission (SEC) is soliciting comments regarding the proposed collection of information under Rule 17a-4, which stipulates specific recordkeeping requirements for broker-dealers. This includes the preservation of various business records for designated periods. The rule impacts operational efficiency and financial resources for approximately 3,298 active firms in the securities industry.
Learn More📊MIAX Pearl Proposes Changes to Options Regulatory Fee Structure
The Securities and Exchange Commission published a notice regarding MIAX Pearl's proposed rule change to adjust the Options Regulatory Fee (ORF). The proposal includes a temporary reduction of the fee from $0.0018 to $0.0014 per contract and an increase to $0.0016 starting January 1, 2026, reflecting recent trading volumes and regulatory costs.
Learn More📈SEC Notice on Form S-3 Registration Statement Compliance
The SEC announces a proposed extension of information collection related to Form S-3, a registration statement for public securities offerings. The notice requests public comments and details on the estimated burden this form imposes on domestic issuers, highlighting the significance of regulatory compliance for stakeholders.
Learn More📄SEC Seeks Comments on Form S-1 Information Collection Activities
The SEC is soliciting comments on its Form S-1 registration statement, which is utilized by domestic issuers for public offerings of securities. The notice addresses the expected burden of information collection, including estimated time commitments and financial costs associated with compliance. The aim is to enhance transparency and adequacy of investor information in securities offerings.
Learn More📈SEC Notice on Partners Group Lending Fund Exemption Application
The SEC issued a notice regarding an application from Partners Group Lending Fund, LLC and Partners Group (USA), Inc. seeking an exemption to allow closed-end investment companies to issue multiple classes of shares. The notice outlines the process for public hearing requests and provides key contact information for further inquiries.
Learn More📈SEC Meeting on Small Business Regulations - November 2025
The Securities and Exchange Commission will hold a public meeting to discuss matters related to rules and regulations impacting small and emerging businesses and their investors. Held on November 4, 2025, the meeting will take place in-person and via videoconference, allowing public engagement on crucial legislative developments.
Learn More🏦SEC Extends Review Period for BondBloxx Private Credit Trust Listing
The SEC has designated a longer review period for a proposed rule change to list and trade shares of the BondBloxx Private Credit Trust under BZX Rule 14.11(f). The extension allows for thorough consideration of the proposed listing and any related issues raised during the comment period.
Learn More📈SEC Requests OMB Review for Form 18-K Annual Report Extension
The SEC has submitted a request to the OMB for an extension of the Form 18-K, an annual report fundamentally used by foreign governments with securities listed in the U.S. The form ensures the availability of important investment information for public disclosure, with no financial burden for the issuers since they maintain internal reporting.
Learn More📄SEC Review of Rule 12d1-3 Information Collection Request
The SEC announces the submission for OMB review for extension of Rule 12d1-3, which mandates certification for securities listing and registration. The notice details the estimated burden on respondents and highlights the public commentary opportunity for the information collection request.
Learn More📑SEC Notice
The SEC is submitting a request for an extension of information collection activities related to Rule 18a-4, which mandates segregation requirements for security-based swap transactions. The rule affects non-broker-dealer security-based swap dealers and participants by requiring reporting and compliance to ensure custodial responsibilities towards customers are met.
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