📈NYSE Texas Proposes New Rule on Prevention of Information Misuse
The NYSE Texas proposes Rule 11.30, aimed at preventing the misuse of material, non-public information among Participants. This regulation mandates the establishment of written compliance policies, timely reporting, and acknowledgement of these provisions. The rule closely mirrors existing regulations from NYSE Arca, ensuring consistency and robustness in market integrity practices.
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📈SEC Notice on Adams Street Investment Company Exemption Application
The Securities and Exchange Commission (SEC) issued a notice regarding the application by Adams Street Private Equity Navigator Fund LLC and Adams Street Advisors, LLC, seeking an exemption under the Investment Company Act. This exemption would allow for multiple classes of shares and impose fees, providing a framework for enhanced investment management practices.
Learn More📈Proposed Rule Changes for ETPs by NYSE Chicago
The SEC has granted accelerated approval for NYSE Chicago's proposed amendments to exchange rules that will allow the listing and trading of Exchange-Traded Products (ETPs). These changes aim to align NYSE Chicago with its affiliate NYSE Arca's rules, enhancing market access and fostering competitive trading environments for various financial products.
Learn More📈Cboe BZX Proposed Rule Change for Franklin XRP Fund
The Cboe BZX Exchange has filed a proposed rule change to list and trade shares of the Franklin XRP Fund under the Commodity-Based Trust Shares regulation. The SEC has designated a longer review period, allowing more time to assess the implications of this proposal and gather feedback. The outcome will have notable impacts on cryptocurrency investment trading practices.
Learn More📈Cboe BYX Proposes Enhanced RPI Order for Securities Below $1
The Securities and Exchange Commission issued a notice regarding the proposed rule change by Cboe BYX Exchange to enhance its Retail Price Improvement Program (RPI) to include securities priced below $1. The extension of the Commission's review period allows for thorough consideration of the implications of the change, initially filed for public comment on March 13, 2025.
Learn More📈NYSE Arca Proposes New Rules for Digital Asset Investments
The Securities and Exchange Commission has received a proposed rule change from NYSE Arca to implement new rules for the listing and trading of commodity- and digital asset-based investment interests. The Commission is extending the review period to thoroughly consider the implications and feedback on this proposal.
Learn More📈SEC Extends Review Period for Cboe BZX Options Trading Proposal
The SEC has announced a longer review period for Cboe BZX's proposed rule change to amend its regulations regarding the listing and trading of options on Commodity-Based Trust Shares. This decision enables additional time for thorough evaluation and public comment on the proposal, which could alter trading dynamics in the sector.
Learn More📈Proposed U.S. Equity Short Volume & Trades Report by MIAX Pearl
The MIAX PEARL, LLC proposes a new data product named the U.S. Equity Short Volume & Trades Report, which aims to provide crucial reports on short sale transactions. This initiative is designed to enhance market transparency and offer valuable insights for traders and researchers, aligning with existing products from other exchanges.
Learn More📈SEC Notice on Co-Investment for Business Development Companies
The SEC has issued a notice regarding an application for co-investment permissions under the Investment Company Act for several affiliated entities, including Jefferies Finance LLC. This move may lead to streamlined terms for investment collaboration among business development companies and their affiliates, promoting enhanced financial cooperation and investment strategies.
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