Securities and Exchange Commission 2022 – Federal Register Recent Federal Regulation Documents
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Cybersecurity Risk Management for Investment Advisers, Registered Investment Companies, and Business Development Companies
The Securities and Exchange Commission is proposing new rules under the Investment Advisers Act of 1940 (``Advisers Act'') and the Investment Company Act of 1940 (``Investment Company Act'') to require registered investment advisers (``advisers'') and investment companies (``funds'') to adopt and implement written cybersecurity policies and procedures reasonably designed to address cybersecurity risks. The Commission also is proposing a new rule and form under the Advisers Act to require advisers to report significant cybersecurity incidents affecting the adviser, or its fund or private fund clients, to the Commission. With respect to disclosure, the Commission is proposing amendments to various forms regarding the disclosure related to significant cybersecurity risks and cybersecurity incidents that affect advisers and funds and their clients and shareholders. Finally, we are proposing new recordkeeping requirements under the Advisers Act and Investment Company Act.
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Options Proprietary Market Data Fee Schedule
An End of Day Volume Summary market data product and an Intra-Day Volume Summary market data product. The Exchange will initially offer the End of Day Volume Summary market data product and the purpose of this filing is to adopt fees for the End of Day Volume Summary market data product.\6\ The End of Day Volume Summary provides a volume summary of trading activity on the Exchange at the option level by origin (Customer, Professional Customer, Firm, Broker-Dealer, and Market Maker \7\), side of the market (buy or sell), contract volume, and transaction type (opening or closing). The Customer, Professional Customer, Firm, Broker-Dealer, and Market Maker volume is further broken down into trade size buckets (less than 100 contracts, 100-199 contracts, greater than 199 contracts). The NYSE Options Open-Close Volume Summary is proprietary Exchange trade data and does not include trade data from any other exchange. It is also a historical data product and not a real-time data feed.
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Options Proprietary Market Data Fee Schedule
An End of Day Volume Summary market data product and an Intra-Day Volume Summary market data product. The Exchange will initially offer the End of Day Volume Summary market data product and the purpose of this filing is to adopt fees for the End of Day Volume Summary market data product.\6\ The End of Day Volume Summary provides a volume summary of trading activity on the Exchange at the option level by origin (Customer, Professional Customer, Firm, Broker-Dealer, and Market Maker \7\), side of the market (buy or sell), contract volume, and transaction type (opening or closing). The Customer, Professional Customer, Firm, Broker-Dealer, and Market Maker volume is further broken down into trade size buckets (less than 100 contracts, 100-199 contracts, greater than 199 contracts). The NYSE Options Open-Close Volume Summary is proprietary Exchange trade data and does not include trade data from any other exchange. It is also a historical data product and not a real-time data feed.
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