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Cards Wire 4 segments
0:15
SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Conduct & Consumer ✓ 24 claims 27 Oct 2026

NYSE raises gift limit to $300, matching FINRA rule

NYSE has filed a rule change to align its gift and gratuity rule with FINRA's recently amended Rule 3220, raising the per-recipient annual limit from $100 to $300 and adding nine new supplementary provisions covering valuation, aggregation, personal and bereavement gifts, and recordkeeping. This affects every member and member organization, including those only registered with NYSE.

  • The gift and gratuity limit under NYSE Rule 3220 rises from $100 to $300 per individual per year, matching FINRA Rule 3220.
  • NYSE adopts Supplementary Material .01 through .09, codifying FINRA's provisions on valuation, aggregation, personal gifts, bereavement gifts, de minimis items and disaster donations.
  • Supplementary Material .02 requires gifts other than event tickets to be valued at cost, and tickets at the higher of cost or face value.
  • Supplementary Material .03 requires aggregation of all gifts to a recipient across a calendar year, fiscal year, or rolling basis as stated in firm procedures.
  • The filing took effect under Rule 19b-4(f)(6)(iii) on October 9, 2026, and the SEC may summarily suspend it within 60 days of filing.
Source document
0:15
SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Conduct & Consumer ✓ 10 claims 22 Oct 2026

SEC corrects comment deadline for interval fund share class proposal

The SEC has issued a correction to the DATES section of a proposed rule on interval fund modernization and multiple share classes for registered closed-end management companies. This brief covers what the correction changes, the affected release numbers, and the revised comment deadline firms should track.

  • The correction applies to proposed rules document 2026-20360, originally published October 5, 2026 at page 63388 of the Federal Register.
  • The corrected DATES section sets the comment deadline as December 4, 2026.
  • The rulemaking covers 17 CFR Parts 239, 249, 270, and 274 under Release No. 33-11444, 34-106534, IC-36351, File No. S7-2026-34, RIN 3235-AN83.
  • The correction notice was filed on October 19, 2026 at 8:45 a.m.
Source document
0:15
SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Conduct & Consumer ✓ 13 claims 21 Oct 2026

SEC proposes letting advisers charge performance fees on retail mutual funds

The SEC wants to rewrite rule 205-3 under the Advisers Act so that advisers to registered funds and BDCs can charge capital-gains-based performance fees, subject to a 20% cap and independent board sign-off, and so that the qualified client test tracks the accredited investor definition. This segment covers what changes, the conditions attached, the new disclosure obligations, and where the drafting leaves open questions.

  • Performance-based compensation to a regulated fund could not exceed 20% of the fund's net gains over a specified period.
  • The fund's board, including a majority of independent directors, must find the arrangement in the best interest of shareholders and make specific findings on its structure and investor protections.
  • The 'qualified client' definition would incorporate the Regulation D accredited investor test and remove the assets-under-management test.
  • Forms N-1A, N-2 and N-CSR would be amended to require separate disclosure of all performance-based compensation paid to the adviser.
  • Comments are due December 7, 2026 under File No. S7-2026-28; unit investment trusts and N-3 variable annuity separate accounts are excluded.
Source document
0:15
SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Conduct & Consumer ✓ 18 claims 21 Oct 2026

SEC reissues comment-filing details for CFA accredited-investor proposal

The SEC has published a technical correction to its request for comment on designating the Chartered Financial Analyst (CFA) designation as a qualifying credential for accredited natural persons. The correction restates how and where comments on File No. 4-933 must be submitted. It changes nothing in the underlying question but is the operative reference for anyone preparing to respond.

  • The correction (FR Doc. C1-2026-20311) amends the ADDRESSES section of notice 2026-20311, which began on page 63314 in the Federal Register issue of Monday, October 5, 2026.
  • The underlying notice, Release No. 33-11447; File No. 4-933, concerns designating the Chartered Financial Analyst designation as qualifying natural persons for accredited investor status.
  • Comments may be filed via the Commission's internet comment form, by email to rule-comments@sec.gov, or on paper to Vanessa A. Countryman, Secretary, SEC, 100 F Street NE, Washington, DC 20549-1090.
  • All submissions should refer to File Number 4-933, and commenters are asked to use only one method of submission.
  • The Commission will post all submitted comments on its website and will not accept personally identifiable information that commenters do not wish made public.
Source document