💰NYSE Arca Withdraws Proposed Waiver on Options Regulatory Fee
NYSE Arca, Inc. filed and subsequently withdrew a proposed rule change to waive the Options Regulatory Fee for December 2024. The proposal was temporarily suspended by the Securities and Exchange Commission, leading to its withdrawal, indicating ongoing scrutiny of trading fees and market operations.
Learn More💼Analysis of Cboe BYX Exchange Fee Schedule Change Proposal
The Cboe BYX Exchange has filed for a rule change to amend its fee schedule regarding Dedicated Cores. This filing seeks immediate effectiveness and invites public comments on its consistency with the Securities Exchange Act. Affected businesses are encouraged to review and respond to the proposed changes for potential implications on their operations and costs.
Learn More💰Cboe EDGX Proposes Amendments to Fee Schedule for Dedicated Cores
The SEC has published a notice regarding Cboe EDGX Exchange's proposed rule change to amend its fee schedule, specifically adopting new fees for Dedicated Cores. The exchange seeks immediate effectiveness of this change and is inviting comments from interested parties to assess its consistency with the Securities Exchange Act.
Learn More📈NYSE Withdraws Rule Change on Annual Meetings for Closed-End Funds
The SEC announces the withdrawal of NYSE's proposed rule amendment, which aimed to exempt closed-end funds registered under the Investment Company Act of 1940 from annual shareholder meeting requirements. The decision followed an extended review period and highlights ongoing regulatory scrutiny around shareholder engagement processes within the investment sector.
Learn More📈SEC Proposal for Trading of Digital and Commodity Asset Investments
The SEC is initiating proceedings to evaluate a proposed rule change by NYSE Arca to enable the listing and trading of Commodity- and Digital Asset-Based Investment Interests. This includes shares of the Grayscale Digital Large Cap Fund LLC, potentially offering new avenues for investment while ensuring regulatory compliance. Comments from interested parties are being requested to assess the proposal's implications.
Learn More📈SEC Grants Registration for New Security-Based Swap Execution Facilities
The Securities and Exchange Commission has approved the registration of eight entities as Security-Based Swap Execution Facilities (SBSEFs). This document outlines the compliance requirements these facilities must adhere to, including adherence to specific regulatory rules and statutory core principles designed to ensure market integrity and transparency.
Learn More📈MIAX Emerald's Minor Rule Violation Plan
The Securities and Exchange Commission has declared effective MIAX Emerald, LLC's minor rule violation plan, permitting the exchange to impose fines for specific minor violations without engaging in formal disciplinary actions. The plan streamlines the enforcement process while ensuring ongoing compliance with regulatory standards.
Learn More📈Nasdaq's Rule Change Enhances Services for Eligible Switches
The Securities and Exchange Commission approved Nasdaq's proposed rule change to enhance its package of complimentary services for companies switching their listings, expanding the eligibility criteria beyond the New York Stock Exchange. This initiative aims to streamline services and bolster competition among national securities exchanges, ensuring companies receive valuable tools during their transition.
Learn More📈SEC Publishes Proposed Rule Change for Hashdex NFT ETF
The SEC has published a notice regarding a proposed rule change from Nasdaq, focusing on service providers and basket size for the Hashdex Nasdaq Crypto Index US ETF. This change aims to streamline compliance with the Trust's registration statement while maintaining listing requirements under Nasdaq Rule 5711(d). Interested parties are invited to comment on the proposed changes.
Learn More📄Insights on Municipal Securities Disclosure Compliance Requirements
The Securities and Exchange Commission announces a request for an extension on compliance measures under Rule 15c2-12, which governs municipal securities disclosures. The rule mandates Participating Underwriters obtain and review official statements and ensures issuers provide ongoing financial information. These measures aim to enhance market transparency and reduce fraud in municipal securities transactions.
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