📊Nasdaq MRX Proposes FPGA Technology for Market Data Feed
The Securities and Exchange Commission has published a notice about Nasdaq MRX's proposed rule change to offer field-programmable gate array (FPGA) technology as an optional delivery mechanism for its Depth of Market Data Feed. This change aims to address customer demand and improve the predictability of data transmission in trading activities.
Learn More📈SEC Initiates Proceedings on Grayscale Litecoin Trust Listing
The SEC has initiated proceedings to evaluate a proposed rule change by NYSE Arca to list and trade shares of the Grayscale Litecoin Trust. This proposal, which reflects the value of Litecoin, is subject to regulatory scrutiny to ensure market integrity and investor protection. The commission invites public comments on the proposal and its implications.
Learn More📈SEC Proposes Collection Renewal for Rule 607 Compliance
The SEC is seeking comments on the information collection process related to Rule 607, which governs sales materials for securities issued by small business investment companies and business development companies. The regulation aims to protect investors by preventing misleading sales practices, and the SEC plans to submit this collection for approval to enhance regulatory compliance and operational transparency.
Learn More📈SEC Notice
The SEC issued a notice regarding an application under the Investment Company Act for an exemption allowing certain registered closed-end investment companies to issue multiple classes of shares. This includes permission for imposing asset-based distribution fees and early withdrawal charges, highlighting regulatory adjustments in the investment landscape. Interested parties may request a hearing on the application.
Learn More🔒SEC Closed Meeting Notice - Sunshine Act Compliance 2025
The SEC issued a notice regarding a closed meeting under the Sunshine Act, set to discuss various legal matters including injunctions, administrative proceedings, and enforcement actions. The meeting is not open to the public, indicating the sensitivity of the topics at hand, which may include significant developments affecting business regulations and compliance.
Learn More📈SEC Proposes Rule Change for Options on Commodity-Based Trust Shares
The SEC publishes a notice regarding a proposed rule change by BOX Exchange to amend trading regulations, specifically to permit options on Commodity-Based Trust Shares. This aims to enhance market efficiency and investor opportunities by aligning these options with existing ETF trading practices, reflecting a competitive environment in financial markets.
Learn More📊SEC Rule 17j-1
The Securities and Exchange Commission has submitted a request for extending Rule 17j-1, addressing conflicts of interest among investment company personnel. The rule mandates specific procedures, including the adoption of codes of ethics, reporting obligations, and oversight measures aimed at protecting fund investors from potential abuses.
Learn More📈SEC Notice on Nasdaq's Proposed Rule Change for 21Shares Polkadot Trust
The Securities and Exchange Commission has issued a notice extending the review period for the Nasdaq's proposal to list and trade shares of the 21Shares Polkadot Trust. The Commission aims to ensure sufficient time for consideration of the proposed rule change and related issues, announcing a new deadline for decision-making.
Learn More📊SEC Proposes Rule 18a-3 for Security-Based Swap Dealers
The Securities and Exchange Commission is requesting comments on the proposed information collection for Rule 18a-3, which establishes minimum margin requirements and risk management procedures for nonbank security-based swap dealers and participants. The notice details the compliance burden associated with this regulation and invites stakeholder input on its necessity and effectiveness.
Learn More📊Proposed Collection Extension for Exchange Act Form 10-Q
The Securities and Exchange Commission (SEC) is soliciting comments on the proposed extension of the information collection associated with Exchange Act Form 10-Q. This form ensures quarterly reporting compliance by issuers and helps provide adequate information to investors, reflecting the ongoing commitment to regulatory oversight. The SEC estimates substantial preparation time and associated costs for businesses involved.
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