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The Securities and Exchange Commission is considering a proposed rule change submitted by the Financial Industry Regulatory Authority, Inc. (FINRA). This change aims to exempt certain business development companies (BDCs) from existing restrictions on buying and selling initial public offerings (IPOs). Specifically, non-traded BDCs will be allowed to purchase new IPOs more easily, just like publicly traded BDCs and other investment companies. This move is designed to give these non-traded BDCs and their investors better access to diverse investment opportunities, potentially improving their portfolio balance and investments in new stock issues.

The NYSE American LLC has proposed a change to amend Rule 915 to allow options on Commodity-Based Trust Shares. This change is to ensure that all new options on Commodity-Based Trust Shares can be listed and traded on the Exchange the same way as other exchange-traded funds (ETFs). The proposed rule aims to enhance competition by enabling more investment choices and opportunities, benefiting market participants by allowing the Exchange to list options more quickly without needing additional approvals. The Securities and Exchange Commission (SEC) is seeking public comments on this proposal.

The Securities and Exchange Commission (SEC) has introduced a new rule to help businesses, especially small and medium-sized ones, raise capital more easily while still protecting investors. This rule simplifies and organizes the framework for certain types of exempt offerings, allowing these businesses to access investment opportunities while closing gaps and reducing complexities in the existing regulations. These changes also include specific new guidelines for how businesses can communicate their offerings and increased limits on how much they can offer and invest. The final rule is effective from March 15, 2021, with some specific provisions effective at varying dates.