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

The Securities and Exchange Commission has issued a notice regarding a proposed rule change filed by the Cboe EDGA Exchange, Inc. on February 13, 2025. The proposed change aims to update the Market Data section of its Fee Schedule to introduce a new fee waiver for Uncontrolled External Distributors. This change is immediately effective, and the Commission is inviting public comments on whether the proposal aligns with the Securities Exchange Act of 1934. Feedback should be submitted by March 21, 2025, to help the Commission in its decision-making process.

The Securities and Exchange Commission (SEC) is considering a proposed rule change filed by BOX Exchange LLC. This change involves amendments to BOX Rule 7620, which would allow Floor Brokers to enter opening cabinet orders on behalf of customers and floor market makers, and clarify that these orders will execute in open outcry. Although the proposed rule was published for comment, the SEC received no responses. To ensure a thorough evaluation, the SEC is extending the decision period until March 30, 2021, to determine whether to approve or disapprove the proposal.

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 requesting public comments on its Rule 17g-3 under the Securities Exchange Act of 1934, as part of the Paperwork Reduction Act of 1995. This rule involves reporting requirements for credit rating agencies, specifically those registered as Nationally Recognized Statistical Rating Organizations (NRSROs). The SEC aims to evaluate if the information collected is necessary, assess the burden on respondents, and seek ways to improve the quality and reduce the effort required. Comments are to be submitted within 60 days of this notice, and they can be sent via mail or email as specified.

The Securities and Exchange Commission (SEC) is considering an application from Green Impact Exchange, LLC (GIX) to become a national securities exchange. GIX submitted its application under the Securities Exchange Act of 1934, and public comments have been both supportive and opposed to the proposal. The SEC has decided to extend the period by 90 days, until April 19, 2025, to fully assess whether GIX's application meets all necessary legal requirements. This extension allows the SEC more time to evaluate GIX's new Green Governance Standards and ensure compliance with existing rules.

The Securities and Exchange Commission (SEC) has granted temporary relief from certain regulations for clearing agencies dealing with U.S. Treasury securities. These regulations, known as the Margin Separation Requirement, were initially set to be enforced by March 31, 2025. However, due to challenges faced by market participants in meeting the original deadline, the SEC decided to extend the compliance date to September 30, 2025. This extension allows additional time for agencies to adjust their legal, operational, and risk management systems to meet the new rules, ensuring that market stability is maintained while preventing market disruption.

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 NYSE American LLC has proposed a rule change to expand the Per User Access Fee to Redistributors of the NYSE Aggregated Lite data feed, effective January 16, 2025. This proposal was filed with the Securities and Exchange Commission (SEC) and is intended to take immediate effect under specified sections of the Securities Exchange Act of 1934. The SEC is seeking public comments on this proposal, which can be submitted via their website or email before February 21, 2025. This document invites interested individuals to express their views on whether the proposed rule aligns with the Act's requirements.

The Securities and Exchange Commission published a notice regarding a proposed rule change filed by NYSE Chicago, Inc. on March 3, 2025. This change involves increasing the fees for ports used by the exchange. The proposal has been made effective immediately, and the Commission is inviting public comments on whether this change aligns with the Securities Exchange Act of 1934. Comments can be submitted through the Commission's website or by mail and must include the file number SR-NYSECHX-2025-02.

The Securities and Exchange Commission (SEC) announced the fiscal year 2021 adjustments to transaction fee rates under Sections 31(b) and (c) of the Securities Exchange Act of 1934. These fee rates are applied based on the total dollar amount of sales of certain securities, either on a national securities exchange or through members of a national securities association. The new fee rate is set at $5.10 per million dollars starting February 25, 2021. This rate aims to cover the SEC’s annual budget of $1,926,162,000, as specified in the Consolidated Appropriations Act, 2021.