🔒SEC Sunshine Act Meeting
The SEC announces a closed meeting to consider matters related to injunctive actions and administrative proceedings. The remote meeting will involve Commissioners and relevant staff, discussing legal and regulatory issues impacting businesses. Changes to the agenda may occur based on Commission priorities, and future updates will be posted on the SEC's website.
Learn More📉MIAX Pearl Fee Schedule Changes Effective August 2025
The Securities and Exchange Commission has announced a modification to the MIAX Pearl Equities Fee Schedule, focusing on amendments to rebate structures for executions of orders in securities priced at or above $1.00 per share. The changes aim to enhance competitive positioning while ensuring the clarity and consistency of associated liquidity indicator codes.
Learn More💼SEC Notice on Partners Group Private Equity Co-Investment Approval
This notice from the SEC pertains to an application by Partners Group Private Equity and related companies seeking an order to permit joint transactions among business development companies and affiliated investment entities, allowing for strategic co-investment opportunities in portfolio companies.
Learn More📜SEC Notice on Regulatory Responsibility Allocation and Correction
The Securities and Exchange Commission published a document in the Federal Register on July 23, 2025, concerning an Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Green Impact Exchange, LLC. The document contained typographical errors in the title and text.
Learn More📈Miami Exchange Proposes Regulatory Rule Changes for Better Clarity
The Securities and Exchange Commission has published a notice regarding the Miami International Securities Exchange's proposed rule changes aimed at updating its Rulebook. Among the amendments are the removal of obsolete definitions and the update of citations for better clarity and precision, promoting a clearer understanding of rules for members and the public.
Learn More📄SEC Notice on Form T-4 Exemption Application Requirements
The SEC issues a notice regarding the extension of information collection for Form T-4, which issuers must complete to apply for exemptions under the Trust Indenture Act. The estimate indicates a financial and time burden associated with the mandatory preparation and filing of the form, aimed at enhancing regulatory compliance.
Learn More📄SEC Rule 19d-1
The SEC is seeking an extension for information collection under Rule 19d-1, requiring self-regulatory organizations to report various final SRO actions. This rule includes disciplinary actions and delistings and mandates timely reporting to ensure adequate compliance oversight by the SEC.
Learn More📈SEC Proposes Compliance Standards for Security-Based Swap Dealers
The SEC is seeking an extension for information collection concerning business conduct standards for security-based swap dealers and major participants. This involves compliance with new regulations established under the Dodd-Frank Act, aimed at enhancing transparency and protecting investors by establishing rigorous reporting and operational standards for entities engaging in security-based swaps.
Learn More💼SEC Notice on Joint Transactions for Investment Companies
The SEC issued a notice regarding an application from Fortress Private Lending Fund and related entities to allow joint transactions among business development companies and affiliated investment entities, seeking regulatory relief from prohibitions on certain co-investments. Interested parties may request a hearing to contest the application or seek further information.
Learn More📊SEC Notice on Information Collection Activities and Compliance Requirements
The SEC announces a request for an extension of information collection under Rule 31, requiring self-regulatory organizations to report securities transaction volumes. This step is part of the agency's ongoing regulatory efforts to ensure the proper collection of fees and assessments, crucial for maintaining oversight in the securities market.
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