🪙SEC Announces Meeting on Crypto Trading Regulations
The Securities and Exchange Commission will hold a public meeting conducted by its Crypto Task Force to discuss regulatory approaches for crypto trading. The roundtable, titled "Between a Block and a Hard Place
Learn More🪙SEC Crypto Task Force Sunshine Act Meeting Announcement
The SEC announces a public meeting for its Crypto Task Force focused on "Know Your Custodian
Learn More📉SEC Notice to Cancel Registrations of Non-Compliant Advisers
The SEC announces its intent to cancel the registrations of certain investment advisers under Section 203(h) of the Investment Advisers Act of 1940. This decision arises from findings that some registrants are no longer in business or have not fulfilled their regulatory obligations. Interested parties may request a hearing on these cancellations before April 22, 2025.
Learn More💼SEC Notice for Co-Investment Permitting in Investment Funds
The SEC has issued a notice regarding an application for an order to allow certain investment companies to co-invest in portfolio companies, which could facilitate joint transactions that are otherwise prohibited. The notice details the applicants and the procedure for any hearing requests related to the application.
Learn More💰SEC Notice
The SEC has issued a notice regarding the application from various investment companies for an order permitting joint transactions, otherwise prohibited under the Investment Company Act. The application aims to facilitate co-investment in portfolio companies among business development companies and closed-end management investment companies, promoting collaboration and enhanced investment strategies.
Learn More🔒SEC Announces Closed Meeting on Legal Matters - April 2025
The Securities and Exchange Commission (SEC) has scheduled a closed meeting to discuss various legal matters, including injunctive actions and administrative proceedings. The meeting will be attended by key commissioners and staff, focusing on enforcement actions and related topics. Changes to the meeting's schedule will be posted on the SEC's website if necessary.
Learn More📈FINRA Proposes Rule Change for Non-Traded BDCs and IPO Access
The SEC published a notice regarding FINRA's proposed rule change to exempt certain business development companies (BDCs) from compliance with specific rules related to the purchase and sale of new issues. This change aims to enhance non-traded BDCs' ability to invest in initial public offerings, thereby increasing capital access for these entities and their investors while promoting market integrity.
Learn More📈SEC Proposed Rules on Crowdfunding for Intermediaries
The SEC is soliciting comments on proposed information collection rules for intermediaries under Regulation Crowdfunding. The rules detail compliance requirements for intermediaries to facilitate securities offerings, including registration, investor interactions, and disclosure obligations, emphasizing the need for operational transparency and accountability in crowdfunding activities.
Learn More💻Cboe EDGA Proposes Increase in 10 Gb Physical Port Fees
The Cboe EDGA Exchange has announced a proposed rule change to increase the monthly fee for 10 Gb physical ports from $7,500 to $8,500. This adjustment aims to better reflect service quality and operational costs after a lengthy period without fee increases. The proposal is designed to support continued technological improvements and competitive offerings within the exchange market.
Learn More🏦SEC Regulation S-ID
The Securities and Exchange Commission proposes an extension of Regulation S-ID, focusing on information collection requirements to combat identity theft. The regulation mandates SEC-regulated entities to implement identity theft prevention programs, which includes developing policies, staff training, and regular assessments, leading to substantial compliance costs for covered institutions.
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