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The proposed rule change by The Depository Trust Company (DTC), filed with the Securities and Exchange Commission (SEC), aims to update the ClaimConnect Service Guide. This change introduces a new "Claim Upload" function that allows users to submit multiple claims simultaneously, instead of manually entering each claim one by one. Additionally, the update will include clarifying, technical, and administrative changes to ensure the guide remains clear and current, all of which are intended to streamline the processing of cash claims related to securities transactions. DTC believes these improvements will facilitate the accurate and speedy settlement of securities transactions without affecting competition.

NYSE American, LLC filed a proposal with the Securities and Exchange Commission (SEC) in November 2024 to change its Options Fee Schedule, specifically concerning the Options Regulatory Fee (ORF). The SEC published the proposed rule change in the Federal Register in December 2024. However, in January 2025, the SEC temporarily suspended this proposal and began proceedings to decide whether to approve or disapprove it. Subsequently, NYSE American withdrew the proposal later in January 2025.

The Securities and Exchange Commission (SEC) has announced a proposed rule change made by Cboe BZX Exchange, Inc. (BZX) to adjust their compliance rules concerning the National Market System Plan Governing the Consolidated Audit Trail (CAT NMS Plan). This change aligns with a conditional exemption granted by the SEC, allowing an alternative method for reporting allocation details. The modifications redefine "Allocation" and "Allocation Report" to improve the accuracy and efficiency of data reporting by eliminating unnecessary reporting burdens on executing brokers who do not handle allocations. The rule change aims to ensure that only industry members with complete information about allocations are required to submit reports, thereby enhancing overall regulatory efficiency.

The Securities and Exchange Commission has published a notice about a proposed rule change by MEMX LLC to list and trade options on two Bitcoin exchange-traded funds (ETFs): the Fidelity Wise Origin Bitcoin Fund and the ARK 21Shares Bitcoin ETF. This rule change aims to amend Exchange Rule 19.3 to allow trading options on these Bitcoin Funds. The plan is seen as competitive, following similar moves by another exchange, Cboe. MEMX believes that offering these options will provide investors with a lower-cost way to invest in Bitcoin, increase market transparency, and improve price discovery on the exchange.

The Securities and Exchange Commission (SEC) is reviewing a proposed rule change from MIAX PEARL, LLC to amend its Exchange Rule 402. This change would allow the listing and trading of options on Commodity-Based Trust Shares, similar to proposals by other exchanges like Nasdaq ISE and NYSE. Such options would give investors new ways to manage their investments, offering a lower-cost method and increased transparency compared to unregulated markets. Public comments on the proposal are being solicited before a decision is made.

The Securities and Exchange Commission (SEC) has announced a proposed rule change by MEMX LLC, which aims to amend Exchange Rule 19.3. This change would allow the exchange to list and trade options on the iShares Bitcoin Trust, providing investors a chance to engage with Bitcoin through a public market rather than directly. The new rule outlines measures like custody provisions, position limits, and compliance with existing standards for trading and oversight. MEMX believes this proposal will give investors more options for managing their investments and hedging risks related to Bitcoin.

The Securities and Exchange Commission (SEC) is reviewing a proposed rule change from NYSE American LLC. This change would allow options trading for certain Ethereum-based financial products like the Bitwise Ethereum ETF and Grayscale Ethereum Trusts. The SEC initially published this proposal for public comment in the Federal Register in August 2024 and is now extending the deadline to make a decision by April 10, 2025. This extension allows the SEC more time to consider the proposal and the public comments it received.

The Securities and Exchange Commission (SEC) is asking for public comments on a rule called Rule 10A-1, which is part of the Securities Exchange Act of 1934. This rule requires certain companies to report to the SEC if their auditors find serious financial problems that the company's management has not fixed promptly. Although this reporting requirement has been in place since the mid-1990s, its approval by the Office of Management and Budget expired in 2021, so the SEC seeks to renew this approval. The SEC estimates that the total additional burden of this rule is about 5 hours per year for the companies involved, and they invite public comments on how to improve or reduce this burden.

The Depository Trust Company (DTC) has proposed a plan to raise up to $3 billion through the issuance of senior notes, a type of debt, to strengthen its liquidity resources. This is a part of their strategy to ensure they have enough funds to complete financial settlements even if a major participant fails to meet their obligations. By diversifying their sources of liquidity, they aim to reduce dependency on current credit facilities and manage financial risks better. The Securities and Exchange Commission (SEC) is seeking public comments on this proposal.

The Securities and Exchange Commission (SEC) is announcing a public meeting of the Small Business Capital Formation Advisory Committee, which will be held via videoconference on January 29, 2021. The public is encouraged to submit written statements to the Committee, which can be done through the SEC's internet submission form or by email. The meeting will address issues affecting small businesses and their investors under federal securities laws. Anyone needing special accommodations due to a disability is urged to contact Julie Z. Davis at the SEC.