SEC proposes to extend the information collection requirements under Rule 15g-9, which governs penny stock sales disclosures and broker-dealer compliance obligations for small-cap equity markets.
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Federal regulators require bank holding companies and banks to notify the OCC of any proposed changes in control through acquisition of 25% or more of voting shares within 15 days.
OFAC has added one or more persons to the Specially Designated Nationals and Blocked Persons List, freezing their U.S. assets and prohibiting transactions with them by U.S. persons.
Coast Guard establishes temporary safety zone on Ouachita River near West Monroe, LA to protect personnel and vessels during an over-water fireworks display; unauthorized entry prohibited.
Cboe Exchange amends its fee structure for DJX and RUT FLEX Micro Orders and removes MSCI Index Product references, effective immediately upon filing.
Cboe Exchange amends rules for designated primary market-maker appointments during global trading hours and curb sessions, with Amendment No. 2 superseding prior filings and receiving accelerated approval.
NYSE Texas amends its connectivity fee schedule, effective immediately upon filing with the Securities and Exchange Commission.
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