Search Results for keywords:"Securities Exchange Act of 1934"

The Securities and Exchange Commission (SEC) has announced a proposed rule change by the BOX Exchange LLC regarding the fees for Floor Market Maker manual transactions on the BOX Options Market LLC facility. This change was filed on January 16, 2025, and is set to be effective immediately. The SEC is inviting the public to submit comments on this proposed change. Anyone interested in providing feedback can do so through the SEC's website or by sending an email, with submissions accepted until February 27, 2025.

The Securities and Exchange Commission (SEC) is seeking public comments on Rule 17g-4, which is under the Securities Exchange Act of 1934. This rule requires nationally recognized statistical rating organizations (NRSROs) to have procedures to protect nonpublic information and to prevent unauthorized trading on such information. The SEC aims to get a renewed approval for this rule from the Office of Management and Budget. They invite feedback on the necessity and efficiency of the information collection until February 11, 2025.

Cboe EDGX Exchange, Inc. has proposed a change to increase the monthly fees for their 10 Gb physical ports. This proposal was filed with the Securities and Exchange Commission (SEC) and has been designated for immediate effect. The SEC is now inviting public comments on whether this fee increase aligns with the requirements of the Securities Exchange Act of 1934. Interested parties can submit their thoughts electronically or by mail by March 19, 2025.

Nasdaq GEMX, LLC has filed a proposed rule change with the Securities and Exchange Commission (SEC) to delay implementing its new Options Regulatory Fee (ORF) and methodology. Originally outlined in SR-GEMX-2024-42, the changes will now take effect on June 1, 2025, and end on December 1, 2025. This filing, SR-GEMX-2025-05, replaced a previous filing that was withdrawn. The SEC is inviting public comments on this proposed rule change to ensure it aligns with the Securities Exchange Act of 1934.

The Securities and Exchange Commission (SEC) announced that MIAX Emerald, LLC filed a proposed rule change on March 13, 2025. This proposal seeks to amend the Exchange's Fee Schedule by introducing new fee categories for its proprietary market data feeds, including the Top of Market feed and the Administrative Information Subscriber feed, among others. The proposal was made effective immediately, and the SEC is seeking public comments on whether it aligns with the requirements of the Securities Exchange Act of 1934. Interested parties can submit their comments electronically or by mail, ensuring they reference file number SR-EMERALD-2025-07.

Nasdaq ISE, LLC has filed a proposed rule change with the Securities and Exchange Commission concerning the fees for various market data products. These fees will be adjusted based on the rate of inflation, specifically for the Real-time Depth of Market Raw Data Feed, Nasdaq ISE Order Feed, Nasdaq ISE Top Feed, Nasdaq ISE Spread Feed, and Nasdaq ISE Trade Feed. The proposal has taken effect immediately and the Commission is inviting public comments regarding whether the change is consistent with the Securities Exchange Act of 1934. Comments must be submitted by February 5, 2025, and should reference file number SR-ISE-2025-02.

The Securities and Exchange Commission (SEC) is seeking public comments on the information collection requirements set forth in Rule 6a-3 under the Securities Exchange Act of 1934. This rule mandates national securities exchanges to provide the SEC with certain information, such as reports and materials issued to exchange members. The SEC estimates that these exchanges collectively spend 156 hours annually fulfilling these requirements. Comments are welcomed on the necessity and usefulness of the rule, estimated burdens, and potential improvements, and must be submitted by February 18, 2025.

MIAX Sapphire, LLC, an exchange, filed a Minor Rule Violation Plan (MRVP) with the Securities and Exchange Commission. This plan allows the exchange to handle minor rule violations internally, imposing fines up to $2,500 without needing formal disciplinary proceedings, provided they report these violations to the Commission quarterly. The Commission approved this plan, stating it supports efficient enforcement while maintaining compliance with important regulations. The MRVP includes certain rule violations that don't warrant formal proceedings, giving MIAX Sapphire flexibility in its enforcement actions.

The Securities and Exchange Commission (SEC) has received a proposal from Cboe Exchange, Inc. to amend certain rules, allowing them to list and trade options on three Ethereum-based ETFs: the Grayscale Ethereum Trust ETF, Grayscale Ethereum Mini Trust ETF, and Bitwise Ethereum ETF. The proposal includes changes to rules about the criteria for underlying securities, as well as position and exercise limits for these options, which are based on the number of shares and trading volume. The goal is to provide investors with a new tool for managing risks associated with investments in Ethereum. The SEC is seeking public comments on this proposal to consider its compliance with the Securities Exchange Act of 1934.

The Securities and Exchange Commission (SEC) has adopted technical amendments to fix various errors in rules and forms under the Securities Act of 1933 and the Securities Exchange Act of 1934. These changes aim to correct typographical mistakes and outdated references in the existing regulations. The updated guidelines aim to ensure the accuracy and currency of legal references and cross-references in SEC regulations and forms. These amendments will take effect on February 18, 2025.