🏦SEC Notice
The SEC notice details a proposed rule change by the Depository Trust Company to decommission the Initial Public Offering Tracking System, an optional service utilized to monitor IPO share movement. The change aims to streamline DTC services and improve operational efficiency due to declining usage and market evolution. The associated fee for this service will also be eliminated.
Learn More📈SEC Proposes Rule Change for ETF Options Listing
The SEC has announced a proposed rule change to amend Exchange Rule 402, which would permit the listing of options on exchange-traded funds (ETFs) meeting specific transparency criteria. This change aims to enhance trading efficiency and provide investors with new hedging opportunities by aligning options listing standards with existing ETF regulations. The proposal seeks to streamline the process, benefiting the broader investing community.
Learn More📉Nasdaq GEMX Proposes Significant Reduction in Options Regulatory Fee
Nasdaq GEMX has announced a proposal to lower the Options Regulatory Fee (ORF) from $0.0009 to $0.0002 per contract side, effective October 1, 2025. This change aims to ensure that regulatory revenue aligns with the exchange's regulatory costs while establishing a fairer fee structure for its members. The proposal requires SEC approval and seeks to support customer trading activities effectively.
Learn More📄Compliance Requirements Under Rule 194 for SBS Entities
The SEC announces a request for OMB review concerning Rule 194, which outlines processes for security-based swap dealers and major participants involving statutorily disqualified individuals. The notice specifies information collection requirements, outlines application procedures, and discusses the expected burden on SBS entities involved in regulatory compliance.
Learn More📈SEC Notice on Fidelity Private Credit Fund Co-Investment Approval
The SEC has issued a notice regarding an application from Fidelity Private Credit Fund and associated entities seeking an order to allow certain joint transactions between business development companies and affiliated investment entities. The notice outlines filing details, hearing procedures, and contacts for further information.
Learn More📈SEC Notice on Co-Investment Application by Aksia LLC
The SEC issued a notice regarding an application for an order enabling certain business development companies and management investment companies to co-invest in portfolio companies. The application aims to permit joint transactions that are otherwise prohibited by the Investment Company Act, impacting investment strategies and regulatory compliance for the involved entities.
Learn More💼Nasdaq ISE Proposes Options Regulatory Fee Increase by 2026
Nasdaq ISE has filed a proposal aimed at amending its Options Regulatory Fee methodology, set to impact fee structure significantly from January 2, 2026. This change will only assess fees for options transactions cleared in the Customer range, resulting in an increase from $0.0013 to $0.0092 per contract side. The new rule aims to align regulatory costs with trading activities.
Learn More📈SEC Seeks Comments on Form 13F Compliance Requirements
The Securities and Exchange Commission is soliciting comments regarding the continuation of Form 13F, which requires institutional investment managers to file quarterly reports for U.S. exchange-traded equity securities. The notice outlines regulatory obligations tied to reporting, the methodologies for estimating compliance costs, and the implications of recent amendments affecting data submission practices.
Learn More📈SEC Notice for Joint Investment Applications by BDCs
The SEC has issued a notice regarding an application for an order that allows certain business development companies and closed-end management investment companies to co-invest in portfolio companies. The application aims to permit joint transactions typically prohibited by regulations under the Investment Company Act of 1940. Interested parties may request a hearing regarding this application.
Learn More📈NYSE Connectivity Fee Schedule Proposed Rule Changes
The SEC issued a notice extending the review period for proposed rule changes by various NYSE organizations related to connectivity fees. These changes aim to amend the fee structure for connections to trading floors from the Mahwah Data Center, reflecting the exchanges' evolving operational costs and regulatory considerations.
Learn More