📝SEC Notice Corrects Typographical Error in NYSE Texas Filing
The Securities and Exchange Commission published a document in the Federal Register on May 22, 2025, concerning a Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Enhance the NYSE Texas Integrated Feed Market Data Product. The document contained a typographical error.
Learn More📊Proposed Changes to Rule 928NYP Enhancing Trading Risk Controls
The SEC has announced a proposed change to Rule 928NYP, allowing trading firms to implement "Gross Risk Credit Limits" as an optional pre-trade risk control. This proposal aims to enhance risk management practices and assist firms in better managing their financial exposures, thereby contributing to the overall stability of the trading market.
Learn More📈SEC Notice on Miami Exchange Rule 1327 for Options Transfers
The SEC published a notice on the Miami International Securities Exchange's proposed Rule 1327, which aims to allow in-kind exchanges of options positions and ETF shares. This rule change addresses current limitations on transfers, potentially improving tax efficiency and operational capabilities for investment vehicles like ETFs and UITs, ultimately benefiting investors.
Learn More💹MEMX Announces Supplemental Warrants Program to Boost Options Trading
The Securities and Exchange Commission has published a notice regarding MEMX LLC's filing for a Supplemental Warrants Program aimed at enhancing participation in its options market. This program is designed to supplement existing equity rights, providing traders with warrants that vest based on increased trading volumes, thereby encouraging liquidity and market participation.
Learn More💼SEC Notice on Co-Investment Application for Business Development Companies
The SEC issued a notice regarding an application for order allowing certain business development companies to co-invest in portfolio companies. The order seeks to promote collaborative investment strategies among BDCs and affiliated entities by granting exemptions from specific prohibitions under the Investment Company Act of 1940.
Learn More📄Proposed Revisions to SEC Exchange Act Rules Affecting Businesses
The SEC seeks comments on proposed revisions to Exchange Act Rules 15Ba2-1, 15Bc3-1, and others, consolidating information collections for municipal securities dealers. The updates aim to improve efficiency and transparency in the registration process, including amendments to Forms MSD and MSDW. Public comments are invited on the implications of these changes.
Learn More📈SEC Proposes Rule Change for Bitcoin and Ethereum ETFs
The SEC has issued a notice regarding a proposed rule change by NYSE Arca to amend the Bitwise Bitcoin and Ethereum ETFs, permitting in-kind creations and redemptions. This regulatory update aims to enhance operational flexibility and market efficiency for these cryptocurrency trusts, allowing Authorized Participants to engage in direct asset exchanges.
Learn More📈SEC Notice on Compliance for Regulation Crowdfunding Intermediaries
The SEC has announced a request for OMB review regarding the extension of information collection rules under Regulation Crowdfunding, detailing the compliance requirements for intermediaries facilitating securities sales. It emphasizes the operational and disclosure obligations intermediaries must fulfill to align with legal expectations, impacting investor engagement and operational procedures.
Learn More📈SEC Extends Review Period for Canary SUI ETF Rule Change
The Securities and Exchange Commission (SEC) has designated a longer period for reviewing Cboe BZX Exchange's proposed rule change to list and trade shares of the Canary SUI ETF. This extension allows the SEC more time to consider relevant issues pertaining to the ETF and its regulatory implications.
Learn More📈SEC Proposes New Rule for Multi-Class ETF Shares Trading
The SEC has published a notice regarding a proposed rule change by NYSE Arca to permit the generic listing and trading of Multi-Class Exchange-Traded Fund Shares. This rule aims to streamline compliance and enhance investment opportunities by allowing funds to operate under exemptive relief from certain regulations, potentially benefiting investors and the market overall.
Learn More