📈SEC Grants Registration for New Security-Based Swap Execution Facilities
The Securities and Exchange Commission has approved the registration of eight entities as Security-Based Swap Execution Facilities (SBSEFs). This document outlines the compliance requirements these facilities must adhere to, including adherence to specific regulatory rules and statutory core principles designed to ensure market integrity and transparency.
Learn More📊SEC Seeks Feedback for Small Business Capital Formation Initiative
The SEC's Office of the Advocate for Small Business Capital Formation is soliciting feedback to enhance its outreach and support for small businesses. This effort focuses on demographic data, challenges faced by businesses, and improving communication materials to better serve the small business ecosystem.
Learn More📊SEC Proposes Extension of Information Collection Under Rule 15c3-1
The SEC is soliciting comments on the existing collection of information related to Appendix F of Rule 15c3-1, which governs net capital rules for OTC derivatives dealers. The notice highlights compliance requirements and seeks feedback on the proposed information collection process, ensuring its practicality and potential improvements.
Learn More🪙SEC Notice on Listing of Canary Litecoin ETF Shares
This document outlines the SEC's notice regarding the proposed rule change to list and trade shares of the Canary Litecoin ETF by The Nasdaq Stock Market LLC. It specifies regulatory compliance measures, the Trust's operational framework, and the surveillance mechanisms to monitor trading activities, ensuring transparency and fraud prevention.
Learn More📄Insights on Municipal Securities Disclosure Compliance Requirements
The Securities and Exchange Commission announces a request for an extension on compliance measures under Rule 15c2-12, which governs municipal securities disclosures. The rule mandates Participating Underwriters obtain and review official statements and ensures issuers provide ongoing financial information. These measures aim to enhance market transparency and reduce fraud in municipal securities transactions.
Learn More📈SEC Notice on NYSE Arca's Market Data Fee Change
The Securities and Exchange Commission (SEC) has published a notice regarding NYSE Arca's proposed rule change to expand the Per User Access Fee for the NYSE Aggregated Lite data feed. This change is set to take effect soon, following a solicitation for public comments on the proposal to enhance compliance and operational protocols among market participants.
Learn More📈SEC Notice on BlackRock Application for Joint Investment Transactions
The Securities and Exchange Commission issued a notice regarding BlackRock's application for an order allowing business development companies and investment firms to co-invest in portfolio companies. This application seeks to facilitate joint transactions that are typically prohibited, potentially influencing investment strategies and compliance requirements for involved entities.
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