📊SEC Proposed Collection for Rule 17j-1
The SEC is seeking comments on the proposed extension of Rule 17j-1, which governs conflicts of interest for investment company personnel. This rule requires investment organizations to implement ethical codes, report personal securities transactions, and maintain records to enhance regulatory compliance and oversight among Access Persons.
Learn More📊SEC Rule 10A-1 Reinstatement
The Securities and Exchange Commission announces a request for OMB review regarding the reinstatement of Rule 10A-1, which mandates reporting on illegal acts that could materially affect financial statements. Businesses must be aware of compliance requirements and reporting obligations to the SEC, particularly in relation to auditor communications.
Learn More📈SEC Notice on TCW Direct Lending VII LLC Application
The SEC issued a notice regarding an application by TCW Direct Lending VII LLC to permit certain joint transactions, enabling specific investors to exchange their units for shares in an Extension Fund. The notice outlines the process for interested parties to request a hearing and provides contacts for further information.
Learn More📄SEC Notice on Information Collection for Form TH
The Securities and Exchange Commission (SEC) issued a notice regarding the extension of Form TH, which registrants use to notify the SEC of reliance on a temporary hardship exemption for filing documents in paper form. This notice invites public comment on the necessity and burden of the information collection process.
Learn More📄SEC Notice
The SEC announces the submission for OMB review regarding the extension of Form SE under the Paperwork Reduction Act. This form is used for submitting paper documents that accompany electronic filings and enables the SEC to compile compliant submissions from various filers. The public is invited to comment on the necessity and burden of this information collection.
Learn More📈Nasdaq PHLX Proposed Rule Change for Options Execution Transactions
The Securities and Exchange Commission has published a notice regarding Nasdaq PHLX LLC's proposed rule change to amend Options 8, Section 22, relating to the execution of options transactions. The amendments aim to clarify rules without introducing significant changes, facilitating immediate effectiveness post-filing and inviting public comment on the modifications.
Learn More📈Fidelity Covington Trust Seeks Amended Order for ETFs
The Securities and Exchange Commission (SEC) has received a request from Fidelity Covington Trust to amend a prior order, allowing funds to invest in a broader range of instruments. This change would enable funds to have greater flexibility in their investment strategies while maintaining specific disclosure requirements.
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 Proposal for In-Kind Transactions in WisdomTree Bitcoin Fund
The SEC has issued a notice regarding a proposed rule change by Cboe BZX Exchange, Inc. to allow in-kind creations and redemptions for the WisdomTree Bitcoin Fund. This regulatory update aims to enhance trading efficiency and market operations for Bitcoin ETP shares, reflecting a shift towards accommodating cryptocurrency assets in established financial frameworks.
Learn More💼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.
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