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Cards Wire 11 segments
play
SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 13 claims 30 Oct 2026

SEC readies exemptive order for Carlyle employee co-investment vehicle

The SEC has published notice of an application by The Carlyle Group and a co-investment partnership for an order exempting employee investment vehicles from most of the Investment Company Act of 1940. The relief will be granted unless someone requests a hearing by November 17. This is the procedural step that precedes a final order, and it sets out exactly which provisions Carlyle wants switched off and which stay in force.

  • The relief is sought under sections 6(b) and 6(e) of the Investment Company Act of 1940 and would exempt employee partnerships from most of the Act.
  • Sections 9, 17, 30 and 36 through 53 remain in force, with only limited exemptions requested under parts of sections 17 and 30 and rule 38a-1.
  • Each partnership qualifies as an 'employees' securities company' within the meaning of section 2(a)(13) of the Act.
  • Hearing requests must reach the Commission by 5:30 p.m. Eastern on November 17, 2026, or the order will be granted.
  • The application was filed on December 28, 2021, and amended on May 20, 2022, December 1, 2022, July 29, 2025, and October 22, 2026.
Source document
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 15 claims 28 Oct 2026

SEC notices Nilsine Partners co-investment exemptive order application

A routine but consequential SEC notice covers an exemptive application from Nilsine Partners NP1X Fund and affiliates seeking permission to co-invest alongside related entities, relief otherwise barred under the Investment Company Act's affiliate transaction rules. Fund counsel and compliance teams tracking co-investment structures should note the filing timeline and the narrow hearing window before the order can be granted.

  • The application was filed on February 18, 2026 and amended on July 15, 2026 and September 14, 2026.
  • Applicants seek relief under sections 17(d) and 57(i) of the Investment Company Act of 1940 and rule 17d-1 to permit co-investment transactions otherwise barred by sections 17(d) and 57(a)(4).
  • Hearing requests must be received by the Commission by 5:30 p.m. Eastern time on November 16, 2026, accompanied by proof of service on applicants.
  • An order granting the requested relief will be issued unless the Commission orders a hearing, meaning no hearing request results in automatic approval.
  • The full representations, legal analysis and conditions appear only in the applicants' second amended application dated September 14, 2026, available via EDGAR.
Source document
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 10 claims 28 Oct 2026

SEC schedules closed meeting on enforcement and litigation matters for October 29

A routine Sunshine Act notice confirms the SEC will hold a closed meeting on October 29, 2026, covering enforcement and litigation matters. The notice itself carries no policy content, but it signals the categories of action the Commission is actively working through this week.

  • The SEC's closed meeting is scheduled for 2:00 p.m. on Thursday, October 29, 2026, at Commission headquarters or remotely.
  • The General Counsel certified exemptions under 5 U.S.C. 552b(c)(3), (5), (6), (7), (8), 9(B) and (10) permit closing the meeting.
  • Matters to be considered include institution and settlement of injunctive actions and administrative proceedings.
  • The agenda also covers resolution of litigation claims and other examination and enforcement proceedings.
  • The notice warns that scheduling changes may occur and will be posted on the SEC's website.
Source document
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 20 claims 27 Oct 2026

Texas Stock Exchange sets $325,000 entry fee for new corporate listings

Texas Stock Exchange has filed a new fee schedule with the SEC covering entry fees, application fees and annual listing charges for corporate issuers. The filing took immediate effect under the Exchange Act's expedited process. Listings counsel and issuers evaluating TXSE should understand the fee mechanics, exemptions and how they compare to incumbent exchanges.

  • Operating companies pay a one-time Entry Fee of $325,000 on the date of listing, while SPACs pay a flat $80,000 Entry Fee.
  • Companies transferring a listing from another national securities exchange are exempt from both the Entry Fee and the Initial Application Fee.
  • The primary-listing annual fee equals the greater of a minimum fee or shares outstanding multiplied by $0.001250 per share, subject to a $250,000 maximum, with a $70,000 minimum for common shares.
  • Companies with Dually-Listed Securities pay a flat Company-wide All-Inclusive Annual Fee of $600,000, prorated in the year the dual listing becomes effective.
  • The rule took effect immediately under Section 19(b)(3)(A) and Rule 19b-4(f)(2), with comments due on or before November 13, 2026.
Source document
play
SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 15 claims 26 Oct 2026

NYSE moves to scrap 'approved person' category, align with FINRA definition

NYSE filed a rule change with the SEC on September 18, 2026 eliminating its longstanding approved person registration category and replacing it with an associated person definition modelled on FINRA Rule 1011(b). The filing matters to member organizations and control persons whose Form BD-based disclosures will now substitute for a separate Exchange-specific registration track.

  • NYSE filed SR-NYSE-2026-47 with the SEC on September 18, 2026, published for comment on October 1, 2026 as release 34-106566.
  • The filing deletes the 'approved person' category from Rule 2(c) and Rule 304 and replaces it with a new 'associated person' definition based on FINRA Rule 1011(b).
  • NYSE states control relationships formerly tracked via approved person registration are already disclosed through Schedules A and B of Form BD in the CRD system.
  • A new Supplementary Material .30 would define 'Control Persons' as both direct and indirect owners identified on Schedules A and B of Form BD.
  • Conforming changes replace 'approved person' and related employee references with 'associated person' in Rule 2A and in Rules 5.2, 8.204(f)(2), 8.300(e)(2), 8.400(e)(2) and 8.700.
Source document
play
SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 17 claims 26 Oct 2026

SEC notices co-investment exemption for Neostellar and Magnetar fund vehicles

A routine but consequential exemptive application: Neostellar Capital Corp, Magnetar Financial LLC and affiliated vehicles are asking the SEC to permit joint co-investment transactions normally barred under the Investment Company Act's affiliated-transaction rules. The notice sets a hearing-request deadline, giving interested parties a narrow window to object before the order issues.

  • Applicants seek an order under sections 17(d) and 57(i) of the Investment Company Act of 1940 and rule 17d-1 to permit co-investment among BDCs, closed-end and open-end funds and affiliated entities.
  • The application was originally filed on August 3, 2026 and amended on October 2, 2026.
  • Hearing requests must be received by the Commission by 5:30 p.m. Eastern time on November 16, 2026, accompanied by proof of service on applicants.
  • Absent a Commission-ordered hearing, an order granting the requested relief will be issued.
  • Applicants include Neostellar Capital Corp, Neostellar Advisors LLC, Magnetar Financial LLC, Magnetar Financial (UK) LLP, MCP Investing LLC and vehicles identified in Schedule A and Schedule B.
Source document
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 17 claims 23 Oct 2026

SEC notices exemptive application from RTW Biotech Growth Fund over share classes

A routine but consequential SEC notice: RTW Biotech Growth Fund and RTW Investments, LP have applied for exemptive relief that would let the closed-end fund adopt a multi-class share structure with early withdrawal charges and asset-based fees. The notice opens a window for interested parties to request a hearing before the order issues.

  • RTW Biotech Growth Fund and RTW Investments, LP filed the exemptive application on August 28, 2026.
  • The applicants seek exemptions from sections 18(a)(2), 18(c) and 18(i) and rule 23c-3 of the Investment Company Act of 1940, plus an order under section 17(d) and rule 17d-1.
  • Relief sought would permit multiple share classes, early withdrawal charges, and asset-based distribution and/or service fees.
  • Hearing requests must be received by the Commission by 5:30 p.m. Eastern time on November 2, 2026, accompanied by proof of service on applicants.
  • Absent a hearing order, the SEC will issue the requested exemptive order without further notice.
Source document
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 18 claims 23 Oct 2026

SEC seeks OMB renewal of municipal advisor registration rules and forms

This is a routine Paperwork Reduction Act notice in which the SEC asks OMB to extend approval of the information-collection rules underpinning municipal advisor registration. It matters to compliance teams at municipal advisory firms because it quantifies, in granular detail, the ongoing filing burden they carry under Forms MA, MA-I, MA-W and MA-NR.

  • As of December 31, 2025, approximately 419 municipal advisors were registered with the Commission.
  • The Commission estimates 15 new Form MA applicants annually for each of the next three years, totalling 45 over the period.
  • The average internal cost of compliance per hour for completing Forms MA and MA-I is estimated at approximately $271.
  • Rule 15Ba1-8 requires municipal advisory firms to obtain and retain, for not less than five years, written consent to service of process from each associated person engaged in municipal advisory activities.
  • The Commission estimates it will receive an average of 21 Form MA-W withdrawals and enter orders cancelling or revoking registration of 4 municipal advisors annually over the next three years.
Source document
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 14 claims 23 Oct 2026

SEC notices Clearlake, Pathway co-investment exemptive order application

The SEC has published notice of an exemptive application from Clearlake Private Markets Fund, Clearlake Capital RIC Management and Pathway Capital Management seeking relief to co-invest across affiliated business development companies and closed-end funds. This brief covers the filing's scope, deadlines and how interested parties can request a hearing before the order is granted.

  • Applicants Clearlake Private Markets Fund, Clearlake Capital RIC Management, LLC and Pathway Capital Management, L.P. filed the application on August 10, 2026 and amended it on August 13, 2026.
  • The requested order would permit certain BDCs and closed-end management investment companies to co-invest in portfolio companies with each other and with affiliated investment entities.
  • The relief sought covers joint transactions otherwise prohibited by sections 17(d) and 57(a)(4) of the Investment Company Act and rule 17d-1.
  • Hearing requests must reach the Commission by 5:30 p.m. Eastern time on November 3, 2026, accompanied by proof of service on the applicants.
  • The order will be issued without a hearing unless the Commission orders one, per the standard exemptive application process.
Source document
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 12 claims 22 Oct 2026

SEC moves to cancel registrations of 20 dormant transfer agents

A routine but consequential SEC notice lists 20 registered transfer agents the Commission believes are defunct or have exited the business. Firms that rely on transfer agent registries, or that hold legacy relationships with any named entity, should check this list and understand the narrow window to object before cancellation proceeds.

  • The SEC intends to cancel registrations of 20 transfer agents listed in the Appendix under Section 17A(c)(4)(B) of the Securities Exchange Act of 1934.
  • The Commission believes each listed transfer agent is no longer in existence or has ceased doing business as a transfer agent.
  • Representatives who dispute cancellation must email tradingandmarkets@sec.gov with the specified subject line within 30 days after the notice date.
  • Absent a successful objection, the Commission intends to issue the cancellation order at any time after December 1, 2026.
  • Named firms include Atlas Resources LLC, Boston Financial Group Ltd Partnership, Gemisys Transfer Agents, Redblock Inc, and Vail Stock Transfer.
Source document
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Governance & Accountability ✓ 21 claims 21 Oct 2026

SEC proposes reopening fixed-income cross trading shut off by 2022 valuation rule

The SEC has proposed amendments to rule 17a-7, the exemption letting affiliated funds trade securities directly with each other. The changes would restore eligibility for many fixed-income securities that became ineligible after a 2020 valuation rule took effect, while adding new pricing, oversight and reporting conditions. Comments close December 14, 2026.

  • Comments on the proposed rule are due on or before December 14, 2026, under File Number S7-2026-36.
  • Rule 2a-5's definition of readily available market quotations has made most fixed-income securities ineligible for cross trading since its compliance date of September 8, 2022.
  • Registered funds investing primarily in fixed-income instruments grew from around $1.5 trillion to approximately $7.9 trillion in assets over the last twenty years, according to the release.
  • An industry survey found registered funds engaged in more than $200 billion in cross trades of fixed-income securities in 2020, with estimated savings of over $300 million.
  • The proposal would require aggregated reporting of trading activity and cross trades on Form N-PORT and Form N-MFP.
Source document