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SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: AGENCY INFORMATION COLLECTION ACTIVITIES; SUBMISSION FOR OMB REVIEW; COMMENT REQUEST; REQUEST FOR A NEW OMB CONTROL NUMBER: COST OF AML/CFT COMPLIANCE SURVEY

WASHINGTON, Jan. 23 -- Securities And Exchange Commission has issued a notice called: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Request for a New OMB Contro... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; NASDAQ GEMX, LLC; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE TO AMEND FINRA FEES

WASHINGTON, Jan. 23 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Cha... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; CBOE C2 EXCHANGE, INC.; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF A PROPOSED RULE CHANGE TO AMEND RULE 1.1 (DEFINITIONS) TO ADD NEW DESIGNATION "L" TO THE DEFINITION OF "CAPACITY"

WASHINGTON, Jan. 23 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed ... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: AGENCY INFORMATION COLLECTION ACTIVITIES; PROPOSED COLLECTION; COMMENT REQUEST; EXTENSION: OMBUDSMAN MATTER MANAGEMENT SYSTEM (OMMS) SUBMISSION FORM

WASHINGTON, Jan. 23 -- Securities And Exchange Commission has issued a notice called: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Ombudsman Matter Manage... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; NEW YORK STOCK EXCHANGE LLC; NOTICE OF FILING OF PROPOSED RULE CHANGE TO STREAMLINE AND MODERNIZE RULE 76

WASHINGTON, Jan. 23 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Streamline... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: AGENCY INFORMATION COLLECTION ACTIVITIES; SUBMISSION FOR OMB REVIEW; COMMENT REQUEST; EXTENSION: RULE 15B1-1 AND FORM BD

WASHINGTON, Jan. 23 -- Securities And Exchange Commission has issued a notice called: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15b1-1 and F... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; INVESTORS EXCHANGE LLC; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE TO AMEND IEX'S FEE SCHEDULE CONCERNING CERTAIN FINRA FEES

WASHINGTON, Jan. 23 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Ru... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: LOOMIS SAYLES CREDIT INCOME OPPORTUNITIES FUND AND LOOMIS, SAYLES & COMPANY, L.P.

WASHINGTON, Jan. 23 -- Securities And Exchange Commission has issued a notice called: Loomis Sayles Credit Income Opportunities Fund and Loomis, Sayles & Company, L.P. The notice was published in the... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: AGENCY INFORMATION COLLECTION ACTIVITIES; PROPOSED COLLECTION; COMMENT REQUEST; EXTENSION: FORM N-3

WASHINGTON, Jan. 23 -- Securities And Exchange Commission has issued a notice called: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-3. The notice w... Read More


SECURITIES AND EXCHANGE COMMISSION ISSUES NOTICE: SELF-REGULATORY ORGANIZATIONS; NYSE NATIONAL, INC.; NOTICE OF FILING AND IMMEDIATE EFFECTIVENESS OF PROPOSED RULE CHANGE TO AMEND ITS SCHEDULE OF FEES AND REBATES

WASHINGTON, Jan. 23 -- Securities And Exchange Commission has issued a notice called: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule ... Read More