📈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📈Proposed Rule Change on Sponsored Access and Compliance Requirements
The SEC is reviewing a proposed rule change by MX2 LLC to amend its rules regarding Sponsored Access. The changes aim to define Sponsored Access clearly and codify compliance obligations under SEC's Market Access Rule, ensuring clarity for Sponsoring Members and Sponsored Participants in market access relationships. This aims to promote clarity and regulatory compliance in trading operations.
Learn More📊SEC Notice on Form 10-Q Information Collection Activities
The Securities and Exchange Commission announces an extension of information collection for Form 10-Q, which issuers must file quarterly. This form is crucial for maintaining transparency and investor confidence, as it provides vital financial information about issuers to the public, thereby supporting informed investment decisions.
Learn More📈SEC Closed Meeting Notice
The Securities and Exchange Commission (SEC) announces a closed meeting to discuss various important topics, including the settlement of injunctive actions and administrative proceedings. While the meeting is not open to the public, the SEC may address key regulatory matters affecting businesses. Relevant changes will be communicated on the SEC website.
Learn More📈SEC Notice on Man Diversified Income Fund Regulatory Exemption
The SEC published a notice regarding an application from Man Diversified Income Fund and Man Solutions LLC seeking exemptions under the Investment Company Act of 1940. The application requests permission for certain investment companies to issue multiple classes of shares and impose fees, potentially affecting regulatory practices in asset management.
Learn More📊SEC Notice on Paxos Clearing Agency Application Impacts
Paxos Securities Settlement Company, LLC has filed an application with the SEC for registration as a clearing agency. The application details its intended services, including clearance and settlement through a private, permissioned settlement service using distributed ledger technology. The SEC is soliciting comments on this application as part of its review process.
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.
Learn More💰SEC Approves FLEX Options for iShares Bitcoin Trust ETF
The SEC is set to allow FLEX options trading on the iShares Bitcoin Trust ETF, enhancing trading flexibility and risk management for market participants. This proposed rule change aims to improve market efficiency and broaden the variety of investment tools available for investors in bitcoin-related products, promoting a more competitive trading environment.
Learn More📈Proposed Rule Change on Backtesting Charge Impacts Margin Requirements
The Securities and Exchange Commission has published a notice regarding a proposed rule change by the Fixed Income Clearing Corporation to clarify and modify the definition of the Backtesting Charge in its Government Securities Division Rulebook. The changes aim to enhance understanding and accuracy in margin calculations, potentially increasing margin requirements for affected members.
Learn More🏦SEC Notice on Texas Stock Exchange Application and Amendments
The Securities and Exchange Commission published a notice regarding Texas Stock Exchange LLC's pursuit of national registration under the Securities Exchange Act. The notice includes details on TXSE's operational structure, proposed rule amendments, and invites public comments for further evaluation of its application.
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