💼SEC Notice on Co-Investment Application for BDCs
The SEC issues a notice regarding an application from LAGO Evergreen Credit and affiliated entities seeking permission for joint transactions prohibited under the Investment Company Act of 1940. This enables certain business development companies to co-invest with each other and affiliated entities, subject to specific conditions outlined in the application.
Learn More⏳SEC Proposes Amendment to IEX Rule 11.660 on Timestamp Granularity
The SEC has published a notice for a proposed rule change by Investors Exchange LLC to amend Rule 11.660, aligning it with the 2025 Timestamp Granularity Exemption. This change extends the exemption period for the requirement on timestamp reporting practices for industry members, allowing for compliance flexibility. The amendment aims to support regulatory obligations under the Consolidated Audit Trail.
Learn More📄SEC Notice on Form T-1 Submission for OMB Review
The SEC is requesting an extension for Form T-1, a statement of eligibility under the Trust Indenture Act. This process collects information to determine corporate qualifications to act as trustees. The SEC encourages public comments regarding the necessity and burden of this information collection, which is mandatory for compliance.
Learn More📄SEC's Extension Request for Form T-2 Compliance
The SEC has submitted an extension request for Form T-2, which assesses the eligibility of individual trustees under the Trust Indenture Act of 1939. This extension includes a call for public comment on the information collection process, highlighting its importance for ensuring qualified trustees and compliance with regulatory standards.
Learn More📊SEC's Interactive Data Submission Requirements and Compliance Update
The Securities and Exchange Commission issued a notice regarding the extension of the Interactive Data collection requirements, mandating issuers to submit specified financial information using eXtensible Business Reporting Language (XBRL). This initiative aims to facilitate better analysis of financial statements by investors, enhancing regulatory efficiency and transparency in financial reporting.
Learn More📄Compliance Reminder
The Securities and Exchange Commission is seeking comments on a proposed information collection related to Rule 17a-7, which mandates non-resident broker-dealers to maintain and provide access to specific records within the U.S. This notice emphasizes the importance of compliance and solicits feedback on the burden of information collection.
Learn More📄SEC Notice on Form T-3 Application for Indenture Qualification
The SEC is seeking comments on the extension of Form T-3, which is necessary for the qualification of indentures under the Trust Indenture Act of 1939. The form is crucial for offering debt securities not required to be registered under the Securities Act. The notice invites public feedback on the collection of information and its implications.
Learn More📈SEC Proposes Extension of Form 18 for Foreign Securities Registration
The Securities and Exchange Commission is seeking an extension for Form 18, which allows foreign governments to register securities for U.S. exchanges. This form aims to inform U.S. investors about relevant foreign investment opportunities by ensuring they receive essential material information. Public comments are invited on the information collection's necessity and burden.
Learn More📄SEC Notice for OMB Review on Form T-6 Extension
The SEC has submitted a request to the Office of Management and Budget for an extension of the information collection associated with Form T-6. This form is critical for foreign corporations aiming to act as trustees under U.S. law, outlining the eligibility requirements and information collection process essential for compliance.
Learn More📄Compliance Requirements for Form 8-A Registration by SEC
The Securities and Exchange Commission seeks an extension for Form 8-A, a registration statement for securities. This form is essential for issuers with total assets exceeding $10 million, outlining required disclosures about equity securities, thereby ensuring compliance with the Securities Exchange Act of 1934.
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