📈SEC Proposed Rule 139b
The SEC is soliciting comments on the proposed extension of Rule 139b, which provides a safe harbor for broker-dealers publishing research reports on covered investment funds. It requires standardized performance disclosures aimed at reducing investor confusion. The process may elevate compliance costs for involved broker-dealers, impacting their operational practices.
Learn More💰ICE Clear Credit LLC Treasury Policy Changes and Margin Calls
The Securities and Exchange Commission approved ICE Clear Credit LLC's proposed rule change regarding its Treasury Operations Policies and Procedures. The updates formalize the intraday margin call processes, improving risk management and supporting more effective operations in clearing credit default swap contracts. This development enhances transparency and operational capacity amid fluctuating market conditions.
Learn More📉Notice of Applications for Deregistration Under Investment Company Act
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. On September 27, 2025, applicant made liquidating distributions to its shareholders based on net asset value. Expenses of $44,294 incurred in connection with the liquidation were paid by the applicant. Filing Dates: The application was filed on February 13, 2025 and amended on May 13, 2025. Applicant's Address: 660 Fifth Avenue, Level 15, New York, New York 10103.
Learn More📈Nasdaq Proposes Major Amendments on Trading Fees and Incentives
The Nasdaq Stock Market has filed a proposed rule change that involves amendments to transaction fees and credits aimed at enhancing liquidity and attracting more trading participation. Key changes include fee reductions and the introduction of new credits for member firms, promoting a more competitive trading environment while addressing previously outdated fee structures.
Learn More📈SEC Notice on Proposed Rule Change for Bitwise 10 Crypto Index Fund
The SEC issued a notice regarding NYSE Arca's proposed rule change to list and trade shares of the Bitwise 10 Crypto Index Fund. The notice outlines the timeline for commission action and invites comments from stakeholders. The SEC is allowing additional time for thorough evaluation of the proposed rule change, underscoring the significance of regulatory assessments in the evolving landscape of digital asset investments.
Learn More📈SEC Notice on Coatue Innovation Fund's Co-Investment Application
The SEC has issued a notice regarding the Coatue Innovation Fund's application for an order that would allow certain business development companies and associated investment entities to co-invest in portfolio companies, permitting transactions typically restricted under the Investment Company Act of 1940. The document outlines the application details and implications for involved parties.
Learn More📉BOX Exchange Proposes New Trading Fee Incentives for Public Orders
The SEC has accepted a proposed rule change from BOX Exchange to amend its fee schedule, introducing incentives for public customer auction and non-auction transactions. This change aims to enhance trading liquidity and provide participants with methods to qualify for lower fees and rebates based on national customer transaction volumes, thereby encouraging increased participation in the BOX Options Market.
Learn More💼SEC Notice on Co-Investment Application for Business Development Companies
The SEC released a notice regarding the Coller Secondaries Private Equity Opportunities Fund's application for co-investment permissions under the Investment Company Act. This allows specified investment companies to collaborate on investments, enhancing their operational flexibility and potential funding strategies. Interested parties can request a hearing regarding this application.
Learn More🏛️SEC Sunshine Act Meeting Invitation for June 2025
The Securities and Exchange Commission will hold a public meeting on Sunshine Act provisions, inviting public comments on matters including non-GAAP financial measures and mandatory arbitration clauses. The meeting is scheduled for June 5, 2025, and will be accessible both in-person and via webcast. Public submissions are encouraged prior to the event.
Learn More📈SEC Proposes Rule Change for Options Trading on Commodity Trusts
The SEC has initiated proceedings to evaluate a proposed rule change by Nasdaq ISE, which would amend listing criteria, allowing options trading on Commodity-Based Trust Shares. This innovation aims to enhance transparency and investor protection in the trading environment, providing new opportunities for hedging and price discovery.
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