💼NYSE American Options Fee Schedule Modification Notification
The NYSE American LLC submitted a proposed rule change to modify its Options Fee Schedule by removing outdated fee texts related to the Pillar Platform migration. The proposed change aims for immediate effectiveness and invites public comments to assess its consistency with the Securities Exchange Act.
Learn More📝SEC Notice
The Securities and Exchange Commission published a notice document in the Federal Register on February 27, 2025, concerning a Submission for OMB Review; Comment Request; Reinstatement without Change: Reports of Evidence of Material Violations. The document contained a typographical error.
Learn More📄SEC Notices Extension Request for Rule 239 Compliance
The Securities and Exchange Commission has submitted a request for an extension of information collection under Rule 239, which provides exemptions for certain security-based swaps. The notice invites public comments on the relevance and burden of the information collection process to enhance its utility and minimize compliance costs for clearing agencies.
Learn More📈SEC Proposes Extension on Crowdfunding Information Collection Rules
The SEC is soliciting comments on the extension of Rules 400-404 under Regulation Crowdfunding, essential for funding portals. These rules require portals to collect and maintain specific information to improve transparency and compliance with federal securities laws, affecting how they operate and report to the Commission.
Learn More📈SEC Approves NYSE’s Amendment for Trading Debt Securities
The Securities and Exchange Commission has granted the New York Stock Exchange approval to amend a prior exemption, allowing issuers of debt securities to trade on NYSE Bonds even if their securities are not registered with the Exchange Act, provided certain conditions are met. This aims to improve competition and transparency in the public debt markets.
Learn More🔒SEC Announces Closed Meeting on Financial Regulatory Matters
The Securities and Exchange Commission (SEC) will hold a closed meeting to discuss sensitive topics, including injunctive actions and administrative proceedings. Attendance will include key commission personnel, and possible changes to the meeting schedule will be announced on the commission's website. The outcomes of this meeting could have important implications for regulatory compliance in the financial sector.
Learn More🏦Temporary Exemptive Relief for U.S. Treasury Securities CCAs Explained
The SEC has adopted temporary exemptive relief from enforcing compliance with Rule 17ad-22(e)(6)(i) for U.S. Treasury securities clearing agencies until September 30, 2025. This measure aims to facilitate the separation of margin for proprietary versus customer transactions, assisting direct participants in implementing the necessary operational changes. The exemption is intended to reduce market disruption and promote orderly implementation of the new regulations.
Learn More💰SEC Notice on Rule 22e-3 and Redemption Suspension Requirements
The SEC announced a request for extension regarding Rule 22e-3, which permits money market funds to suspend redemptions during liquidation processes under specific conditions. This rule aims to ensure orderly asset liquidation and compliance with regulatory requirements for funds considering such actions. The notice invites public commentary on the information collection aspects of the rule.
Learn More📅SEC Sunshine Act Meeting Agenda and Public Participation Details
The Securities and Exchange Commission announces a public meeting on March 6, 2025, addressing critical topics like artificial intelligence's operational effects and investor fraud. The public is encouraged to submit written statements, fostering engagement and transparency in regulatory discussions.
Learn More📄Regulatory Update
The SEC has submitted a request for extension on Rule 17a-8, which regulates mergers of affiliated investment companies. The rule provides exemptions for certain transactions while imposing requirements for asset valuation and shareholder approvals, emphasizing governance and compliance responsibilities for funds engaging in mergers.
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