📅SEC Sunshine Act Meeting Cancellation Notice
The Securities and Exchange Commission has announced the cancellation of an Open Meeting scheduled for February 26, 2025. The notice references previous announcements and provides a contact for more information. This cancellation is part of the Sunshine Act's transparency requirements for federal agency meetings.
Learn More📈SEC Requests OMB Review on Rule 6a-3 Compliance Requirements
The Securities and Exchange Commission issued a notice regarding the extension of Rule 6a-3 under the Securities Exchange Act. This rule mandates national securities exchanges to report essential data and communications aimed at ensuring compliance and oversight. The notice invites public comments on the information collection process and emphasizes its necessity for effective regulatory functions.
Learn More📄SEC Rule 17Ad-11 Extension
The Securities and Exchange Commission announces the submission for OMB review focusing on Rule 17Ad-11, outlining the obligations for registered transfer agents regarding reporting discrepancies in securities records and maintaining compliance. This notice emphasizes the need for accurate reporting practices to enhance the oversight of transfer agents in the securities market.
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.
Learn More📉Cboe EDGX Proposes New Fee Waiver for Market Data Distributors
The Cboe EDGX Exchange has filed a proposed rule change to amend its fee schedule by introducing a fee waiver for Uncontrolled External Distributors. This notice invites comments from interested parties and includes procedural details related to the rule change's immediate effectiveness under the Securities Exchange Act. The full proposal and background information are accessible through the Exchange and SEC websites.
Learn More📊SEC Notice on Rules 6a-1 and 6a-2 Compliance and Implications
The SEC has submitted a request for OMB approval to extend the information collection requirements under Rules 6a-1 and 6a-2 related to national securities exchanges. This includes the necessity for thorough reporting and documentation filings, crucial for the Commission's oversight and regulatory functions. The proposed regulations emphasize maintaining updated and accurate information for operational compliance and registration processes.
Learn More⚖️SEC Notice on Reporting Evidence of Material Violations
The Securities and Exchange Commission seeks comments on the reinstatement of an information collection requirement for attorneys regarding material violations by issuers. This involves compliance protocols, potentially impacting governance procedures and the ethical conduct of legal professionals within the securities field.
Learn More📈SEC Notice on Proposed Rule Change for Bitcoin Trust ETF
The Securities and Exchange Commission announces a longer period for considering a proposed rule change by Nasdaq ISE regarding position limits and Flexible Exchange Options for the iShares Bitcoin Trust ETF. This extension allows for more thorough evaluation and public comment on the implications of the changing financial landscape surrounding cryptocurrency investments.
Learn More📈SEC Notice on HarbourVest Investment Advisory Fee Exemption
The Securities and Exchange Commission has issued a notice regarding an application by HarbourVest Private Investments Fund and HarbourVest Registered Advisers L.P. seeking an exemption to permit the payment of investment advisory fees in common stock. The notice outlines the application process, additional contacts, and the implications of this potential regulatory change.
Learn More📊Compliance Requirements for NRSROs Under Rule 17g-4
The Securities and Exchange Commission (SEC) seeks comments on an information collection under the Paperwork Reduction Act regarding Rule 17g-4. This rule mandates that nationally recognized statistical rating organizations maintain policies to prevent the inappropriate dissemination of nonpublic information, impacting their operations and compliance efforts in the financial sector.
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