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The Securities and Exchange Commission (SEC) has approved a proposed rule change by MIAX Emerald, LLC to extend the period that certain individuals designated as principals can perform their duties without passing a qualification exam, due to challenges caused by the COVID-19 pandemic. This temporary extension, now allowing until April 30, 2021, aligns their rules with those of the Financial Regulatory Authority (FINRA), ensuring consistency across the securities industry. The change aims to help firms manage disruptions to business operations and maintain staff during the pandemic, without compromising investor protection. The extension only applies to individuals who were designated as principals before January 1, 2021.

The Advisory Committee on Minority Health (ACMH) will hold a virtual meeting on January 16, 2025, from 2 p.m. to 3 p.m. EST, as announced by the U.S. Department of Health and Human Services. The public is invited to attend, but registration is required by January 14, 2025, to participate. The meeting will focus on finalizing recommendations related to new federal standards for race and ethnicity data collection and engagement strategies with community organizations. Those wishing to provide comments must indicate their intent during registration, and public comments are limited to two minutes per speaker.

The Miami International Securities Exchange, LLC, known as MIAX Options, has proposed a rule change approved by the Securities and Exchange Commission due to disruptions caused by the COVID-19 pandemic. The change temporarily extends the period from 120 days to April 30, 2021, for registered individuals to function as principals without passing a qualification exam. This extension applies only to those designated before January 1, 2021, in response to challenges like limited capacity at test centers and operational disruptions from the pandemic. The goal is to maintain the operation of firms while easing the burden on individuals affected by testing limitations.

The Securities and Exchange Commission (SEC) is asking for comments on some rules regarding crowdfunding. These rules, under Regulation Crowdfunding, detail what intermediaries must do when helping startups or small businesses raise money online. They include requirements about registration, dealing with investors, and keeping track of funds. The SEC wants feedback on whether these rules are helpful, the estimated costs, and how they can be improved, with all comments needed by May 27, 2025.

MIAX PEARL, LLC, filed a proposed rule change with the Securities and Exchange Commission (SEC) to temporarily extend the period during which certain individuals can function as principals without passing a qualification exam due to COVID-19 disruptions. This rule change would allow these individuals to serve in principal roles until April 30, 2021, instead of the usual 120-day period. The SEC agreed to waive the usual 30-day waiting period for such rule changes, allowing it to take effect immediately, as it helps members manage personnel challenges during the pandemic without significant impact on investor protection.