📈Nasdaq Crypto ETF Proposal Update - SEC Regulatory Notice
The SEC has designated a longer review period for Nasdaq's proposed amendments to Rule 5711(i) related to the listing and trading of digital asset ETFs. This regulatory notice highlights the timeline for decision-making on these critical changes, reflecting the evolving landscape of cryptocurrency investments and the regulatory scrutiny they face.
Learn More📊IEX Proposes $3,500 Monthly Fee for Real-Time DEEP+ Access
The Securities and Exchange Commission announces the proposal of a new $3,500 monthly fee for real-time access to the DEEP+ market data product from Investors Exchange LLC. This change follows the expiration of a previous free access period and aims to align pricing with competitive market offerings while maintaining transparency in fee structures.
Learn More📈SEC Notice on Joint Transactions for Business Development Companies
The SEC issues a notice regarding an application for an order under the Investment Company Act to allow certain business development companies to co-invest in portfolio companies with affiliated entities. This could alter co-investment strategies and regulatory dynamics within the investment management sector.
Learn More📉SEC Notice on Investment Company Deregistration Applications
Applicant, a closed-end investment company, seeks an order declaring that it has ceased to be an investment company. The applicant has transferred its assets to First Trust Exchange-Traded Fund VIII, and on June 30, 2025 made a final distribution to its shareholders based on net asset value. Expenses of $451,616.94 incurred in connection with the reorganization were paid by the applicant and the applicant's investment adviser. Filing Date: The application was filed on August 4, 2025. Applicant's Address: 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187.
Learn More📈SEC Notice on Proposed Rule Change for Grayscale Ethereum ETFs
The Securities and Exchange Commission (SEC) issued a notice regarding the proposed rule change to amend the listing and trading of the Grayscale Ethereum Trust ETF and Grayscale Ethereum Mini Trust ETF. This change aims to allow staking of Ether held by the trusts, marking a significant development for cryptocurrency investment vehicles.
Learn More📈SEC Notice on Cboe Bitcoin ETF Options Rule Change
The SEC announced a longer review period for Cboe Exchange's proposed rule change to list new P.M.-settled options on the Bitcoin U.S. ETF Index. The proposal includes modifications for various expiration types and is currently under further consideration after multiple amendments. The Commission aims to ensure thorough evaluation before issuing a final decision.
Learn More📄SEC Notice on Form 1-SA Compliance Requirements
The SEC announces an information collection request for Form 1-SA, required for Tier 2 issuers under Regulation A. This form collects semiannual financial reports and operational data to enhance transparency for investors. It is linked to compliance with the Paperwork Reduction Act, with a significant estimated burden on issuers.
Learn More⚖️SEC Sunshine Act Meeting Addresses Key Business Regulatory Matters
The SEC has scheduled a closed meeting to discuss matters related to injunctive actions, administrative proceedings, and enforcement issues. Notable attendees include Commissioners and relevant staff members. The meeting highlights the importance of compliance in evolving regulatory landscapes, noting possible changes in agendas due to shifts in Commission priorities.
Learn More📄SEC Rule 17a-10 Submission for OMB Review and Compliance
The SEC announces a request for OMB review regarding Rule 17a-10, which allows subadvisers to engage in transactions with affiliated funds. The document details the regulatory requirements and estimated compliance costs for investment companies, emphasizing necessary contractual modifications to comply with the rule.
Learn More📈Cboe BZX Exchange Proposes New ETF Class Rule Change
The Cboe BZX Exchange proposes a rule amendment to allow the listing and trading of Class Exchange-Traded Fund Shares, aiming to enhance trading efficiency and market opportunities while ensuring compliance with existing securities regulations. The amendment seeks to clarify standards and streamline the process for ETF management companies.
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