Search Results for keywords:"market surveillance"

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Search Results: keywords:"market surveillance"

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  • 2021-00817 — Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change To Amend Section 907.00 of the Manual To Extend the Period of Time for the Entitlement of Certain Eligible Issuers To Receive Complimentary Products and Services Under That Rule
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    Type:Notice
    Citation:86 FR 4166
    Reading Time:about 12 minutes

    The Securities and Exchange Commission approved a proposed rule change by the New York Stock Exchange (NYSE) to amend Section 907.00 of its Listed Company Manual, which extends the period during which newly listed and transfer companies can receive complimentary products and services from 24 to 48 months. These services include market surveillance, web hosting, and analytics, among others, and are provided by third-party vendors. The purpose of this expansion is to help NYSE stay competitive in attracting new listings and transfers by offering extended benefits similar to those provided by Nasdaq. The approval ensures that the rule is transparent and does not discriminate unfairly among companies.

    Simple Explanation

    The New York Stock Exchange is giving newly listed companies extra free services for twice as long as before, sort of like getting an extended trial period, to make them pick NYSE over other options like Nasdaq.

  • 2021-01841 — Agency Information Collection Activities Under OMB Review
    Type:Notice
    Citation:86 FR 7366
    Reading Time:about 4 minutes

    The Commodity Futures Trading Commission has announced a proposed extension for the information collection titled "Copies of Crop and Market Information Reports" under OMB Control No. 3038-0015. The collection is crucial for market surveillance and aims to prevent false or misleading reports affecting commodity prices. The estimated annual burden is 1.7 hours, affecting about 10 respondents. Public comments on the proposal are invited until March 1, 2021, through various methods, including online submissions and mail.

    Simple Explanation

    The Commodity Futures Trading Commission wants to keep track of certain reports to make sure nobody tricks people about the prices of important goods like crops. They ask about 10 people each year to help them by filling out some forms, which should take less than 2 hours. People can say what they think about this plan before March 1, 2021.

  • 2025-06033 — Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Shares of the Fidelity Solana Fund, Under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares
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    Type:Notice
    Citation:90 FR 15266
    Reading Time:about 47 minutes

    The Securities and Exchange Commission is reviewing a proposal by Cboe BZX Exchange, Inc. to list and trade shares of the Fidelity Solana Fund. This fund will invest in Solana, a type of cryptocurrency, without needing a surveillance-sharing agreement with a market of significant size for monitoring. The proposal aims to offer U.S. investors a transparent and regulated option to invest in Solana, possibly reducing risks like price manipulation and high management fees. The SEC is seeking comments from the public and plans to decide on approval within 90 days.

    Simple Explanation

    The government is thinking about letting a company called Cboe BZX Exchange sell special shares that let people invest in a type of digital money called Solana. They want people to safely invest without worrying about sneaky tricks, and are asking everyone if they think it's a good idea.

  • 2025-06504 — Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities To List and Trade Options on the iShares Ethereum Trust
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    Type:Notice
    Citation:90 FR 16366
    Reading Time:about 39 minutes

    The Securities and Exchange Commission (SEC) announced that MIAX Sapphire, LLC (the "Exchange") filed a proposal to amend its rules to allow listing and trading of options on the iShares Ethereum Trust. This change allows investors to trade options on the Trust, which is intended to mimic the performance of Ethereum without having to directly invest in the cryptocurrency itself. The Exchange will apply existing rules regarding trading options on ETFs, including those concerning listing criteria, price limits, and surveillance measures. The SEC is soliciting public comments and has expedited the rule change's effectiveness for investor benefit.

    Simple Explanation

    MIAX Sapphire wants to let people trade special bets on how the money thing called Ethereum does, without actually buying Ethereum itself, and the SEC is reviewing and asking people what they think about it.

  • 2025-06524 — Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 5055 To Allow for Cash Settlement of Certain FLEX Equity Options
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    Type:Notice
    Citation:90 FR 16410
    Reading Time:about 40 minutes

    The Securities and Exchange Commission (SEC) has received a proposal from BOX Exchange LLC to amend Rule 5055 to allow for cash settlement of certain customized FLEX Equity Options where the underlying security is an Exchange-Traded Fund (ETF). This amendment aims to broaden investment options and potentially shift some over-the-counter market trading onto the exchange. To ensure stability, the cash settlement will only apply to ETFs that meet specific liquidity criteria. The SEC has waived the typical 30-day waiting period for the rule to take effect, citing that similar proposals have already been approved for other exchanges.

    Simple Explanation

    Imagine a store where people buy and sell toys. Now, BOX Exchange LLC wants to make a new rule that would let people buy and sell special toy coupons using money instead of trading actual toys. This idea will only happen if the toys (called ETFs) are popular enough, like the top 50 favorite ones, to make sure everything goes smoothly.