🏦NYSE Arca Proposes Rule Change for NYSE Texas Name Update
The NYSE Arca has filed a notice to reflect the name change of "NYSE Chicago, Inc." to "NYSE Texas, Inc." in its rules. The proposed changes are conforming and non-substantive, aiming to enhance clarity and transparency within the exchange's operational framework. This adjustment ensures compliance with regulatory standards and minimizes confusion among market participants.
Learn More📈Cboe BYX Exchange Proposed Rule Change on Auction Orders
The SEC has announced a notice regarding a proposed rule change from Cboe BYX Exchange, allowing users to employ Match Trade Prevention functionality for auction orders. This change will improve the handling of such orders in both active and inactive auction scenarios, with the SEC designating an extended period for thorough consideration of the proposal.
Learn More📈SEC Rule 19h-1
The Securities and Exchange Commission (SEC) seeks approval for an extension of Rule 19h-1, which governs submissions by self-regulatory organizations regarding memberships involving individuals with statutory disqualifications. The rule ensures that employment in the securities business aligns with public interest and investor protection, highlighting the regulatory framework for SROs.
Learn More📈SEC Notice
The Securities and Exchange Commission (SEC) has issued a notice regarding an application for an order that would permit specific joint transactions between the Nomura Alternative Income Fund and other investment companies. This application seeks to allow co-investment in portfolio companies, potentially changing the dynamics of investment strategies and collaborative opportunities within the financial sector.
Learn More📈SEC Notice on Co-Investing for Private Credit Funds
This document details an SEC notice regarding the application for an order under the Investment Company Act, allowing select business development companies and investment firms to co-invest in portfolio companies. The notice outlines application details, potential hearings, and further contact information related to the request.
Learn More📈SEC Notice on Intraday Mark-to-Market Charge Proposal
The Securities and Exchange Commission has published a notice regarding a proposed rule change from the Fixed Income Clearing Corporation to implement an Intraday Mark-to-Market Charge. This change is under review, with public comments being considered, and may influence the trading and transaction processes within the government securities market.
Learn More📈Funding Portals
The Securities and Exchange Commission (SEC) outlines requirements under Regulation Crowdfunding, introducing mandatory compliance for funding portals. This includes rules for registration, information transparency, and record-keeping, all aimed at enhancing public access to information about funding portals and ensuring adherence to federal securities laws.
Learn More📈Proposed Rule Change for Cboe VIX ETFs and Its Business Implications
The Securities and Exchange Commission has published a notice regarding a proposed rule change by the Cboe BZX Exchange that affects the trading of two ETFs linked to VIX Futures. The proposed amendments aim to modify existing participation restrictions, prompting potential strategic shifts in the ETF market landscape and competitive positioning for businesses involved in these securities.
Learn More📈NYSE Arca Proposes Rule Change on Indicative Match Price
The NYSE Arca has filed a proposed rule change to amend Rule 7.35-E regarding the Indicative Match Price used in auctions. This change aims to clarify existing rules and restore definitions inadvertently omitted during previous amendments, thus enhancing the transparency and efficiency of trading practices on the exchange.
Learn More📈Proposed Rule Changes to NSCC Capital Policy and Replenishment Plan
The National Securities Clearing Corporation (NSCC) has filed a notice for proposed amendments to its Capital Policy and Capital Replenishment Plan. These changes aim to simplify and clarify existing statements while documenting alternate authorizations for business continuity. The updates are designed to maintain compliance with regulatory standards and ensure effective management of general business risks.
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