📄SEC Proposed Collection
The SEC is seeking comments on information collection related to Rule 19d-1, which requires SROs to report certain actions, including disciplinary measures and delistings. The rule aims to ensure proper oversight and compliance within the financial sector, anticipating around 850 submissions annually from approximately 17 respondents.
Learn More📜SEC Seeks Comments on Proposed Rule 31 and Form R31 Extension
The Securities and Exchange Commission announces a request for comments on the proposed collection of information under Rule 31 and Form R31. This collection aims to assess and adjust fees from national securities exchanges based on transaction volumes, requiring monthly reporting to ensure compliance with the Securities Exchange Act. The SEC invites input on the practicality and utility of this information gathering process.
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