📈SEC Proposes Extension on Crowdfunding Information Collection Rules
The SEC is soliciting comments on the extension of Rules 400-404 under Regulation Crowdfunding, essential for funding portals. These rules require portals to collect and maintain specific information to improve transparency and compliance with federal securities laws, affecting how they operate and report to the Commission.
Learn More📄SEC Proposed Collection Notice on Rule 17Ad-16 Compliance
The SEC announces a request for comments regarding the extension of Rule 17Ad-16, which mandates registered transfer agents to notify securities depositories when changes to services occur. It also outlines the compliance burden and cost estimates associated with submitting these notices annually, aiming to streamline certificate transfers and reduce delays.
Learn More📊MIAX Emerald Proposes New Fee Categories for Market Data Feeds
The SEC has published a notice regarding MIAX Emerald's filing for a proposed rule change to amend its Fee Schedule. This amendment includes the introduction of new fee categories for proprietary market data feeds, which aims to enhance the Exchange's service offerings. Interested parties are invited to comment on the proposal as it undergoes review.
Learn More📅SEC Sunshine Act Meeting Agenda and Public Participation Details
The Securities and Exchange Commission announces a public meeting on March 6, 2025, addressing critical topics like artificial intelligence's operational effects and investor fraud. The public is encouraged to submit written statements, fostering engagement and transparency in regulatory discussions.
Learn More📈SEC Notice on Grayscale Ethereum Trust Staking Rule Change
The Securities and Exchange Commission (SEC) published a notice regarding a proposed rule change by NYSE Arca to allow the Grayscale Ethereum Trusts to engage in staking activities. This amendment aims to enhance investors' ability to earn rewards while ensuring compliance with existing regulatory frameworks governing commodity-based trust shares.
Learn More📈SEC Notice on Dream Exchange Holdings' Registration Application
The SEC has published a notice to solicit comments on Dream Exchange Holdings, Inc.'s application for registration as a national securities exchange. The notice outlines Dream's governance structure, proposed trading system, and invites public comments regarding its compliance with the Securities Exchange Act of 1934 and related regulations.
Learn More💰SEC Notice on Rule 22e-3 and Redemption Suspension Requirements
The SEC announced a request for extension regarding Rule 22e-3, which permits money market funds to suspend redemptions during liquidation processes under specific conditions. This rule aims to ensure orderly asset liquidation and compliance with regulatory requirements for funds considering such actions. The notice invites public commentary on the information collection aspects of the rule.
Learn More🔒SEC Announces Closed Meeting on Financial Regulatory Matters
The Securities and Exchange Commission (SEC) will hold a closed meeting to discuss sensitive topics, including injunctive actions and administrative proceedings. Attendance will include key commission personnel, and possible changes to the meeting schedule will be announced on the commission's website. The outcomes of this meeting could have important implications for regulatory compliance in the financial sector.
Learn More📈Cboe BZX Exchange Proposes Fee Waiver for Market Data Distributors
The SEC has published a notice regarding the Cboe BZX Exchange's proposed rule change to amend its Fee Schedule, specifically to introduce a new fee waiver for uncontrolled external distributors. This change aims to adjust market data costs and enhance accessibility for various users, with comments invited from interested parties.
Learn More📈SEC's Rule 15a-6
The SEC has submitted a request for the extension of Rule 15a-6, which outlines the conditions under which foreign broker-dealers can operate in the U.S. market. This rule provides necessary exemptions for foreign entities engaging with U.S. institutional investors while imposing specific compliance reporting requirements on U.S. registered broker-dealers.
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