📈SEC Extends Review Period for Nasdaq's Trading Halt Rule Proposal
The Securities and Exchange Commission has issued a notice regarding Nasdaq's proposed rule change to introduce an optional trading halt functionality for Exchange-Traded Products on their launch day. This halt is intended to mimic the trading halts employed during initial public offerings, enhancing market oversight and product launch strategies. The SEC has extended the review period to allow for thorough consideration.
Learn More📄Proposed Collection Notice for Form T-3 Application by SEC
The SEC is requesting comments on the Form T-3 application, used for the qualification of indentures under the Trust Indenture Act of 1939. The notice outlines the information collection process, estimated response times, and invites stakeholders to offer input on its necessity and clarity.
Learn More📈SEC Notice on ICE Clear Credit's Liquidity Risk Rule Change
The SEC has published a notice regarding ICE Clear Credit LLC's proposed rule change to its Liquidity Risk Management Framework, aimed at updating outdated references. This rule change is designated for immediate effectiveness, with a solicitation for public comments on its consistency with regulations governing securities exchanges and clearing agencies.
Learn More📄SEC Notice on Form T-1 Collection and Compliance Requirements
The SEC is soliciting comments on the extension of Form T-1, which evaluates corporations' qualifications to act as trustees under the Trust Indenture Act of 1939. The notice outlines the information collection process and invites feedback on its necessity and burden. Stakeholders are encouraged to provide their input within the given timeframe.
Learn More⏰MEMX Extends Pre-Market Trading Hours to 4 AM Eastern Time
The SEC has announced the immediate effectiveness of a proposed rule change by MEMX LLC to begin the Exchange's pre-market session at 4 a.m. ET, shifting from the previous start time of 7 a.m. This alignment with other exchanges aims to enhance trading accessibility. Interested parties are invited to comment on the proposal.
Learn More📄SEC Seeks Comments on Form T-6 Eligibility for Foreign Trustees
The SEC announces a proposed collection under the Paperwork Reduction Act for comments on Form T-6, which assesses eligibility for foreign corporations to act as trustees under the Trust Indenture Act. The notice details the application process and invites feedback on the utility and burden of the information collection.
Learn More📈SEC Notice on Advisory Fee Exemption for Investment Companies
The SEC has issued a notice regarding an application from ISQ Infrastructure Income Fund and I Squared Capital Registered Advisor LLC for an exemption allowing registered investment companies to pay advisory fees in shares of common stock instead of cash. The notice outlines the details of the application and the process for potential hearings.
Learn More📈SEC Notice on Investment Fund Exemptions and Share Classes
The SEC has issued a notice regarding an application from ISQ Infrastructure Income Fund and I Squared Capital Registered Advisor LLC for exemptions under the Investment Company Act. The application seeks permission for investment companies to issue multiple classes of shares while applying certain fees, subject to potential hearings if requested.
Learn More📄SEC Requests Comments on Form 8-A Registration Process
The SEC is soliciting comments on a proposed collection of information related to Form 8-A, a registration statement for securities. This form is essential for businesses registering shares under the Securities Exchange Act. Comments on the collection process and its practical utility are welcomed within 60 days of publication.
Learn More🔐SEC Closed Meeting Notice - March 2025
The Securities and Exchange Commission (SEC) announces a closed meeting to discuss matters including injunctive actions, administrative proceedings, and enforcement issues. This meeting is restricted to selected attendees, and updates will be made available on the SEC's website if timing or location changes.
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