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Cards Wire 51–56 of 56
0:15
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.
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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.
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Digital Assets ✓ 19 claims 21 Oct 2026

SEC proposes crypto custody rules for advisers and regulated funds

The SEC has published a proposed rulemaking addressing how registered investment advisers and regulated funds may custody crypto assets, creating new rules alongside amendments to the existing Advisers Act and Investment Company Act custody frameworks. This segment covers the scope of the proposal, its stated rationale, and the comment timeline that compliance and legal teams need to track.

  • Comments on the proposal must be received by the Commission no later than December 7, 2026, under File Number S7-2026-35.
  • The Advisers Act custody rule 206(4)-2 would be amended and redesignated as rule 223-1, with conforming changes to Form ADV and Form ADV-E.
  • The Commission proposes new rules 17f-8 and 17f-9 under the Investment Company Act while proposing to rescind rule 17f-3 and Form N-17f-1.
  • The proposal adds new questions to Form ADV and Form N-CEN specifically addressing tokenized private funds and tokenized regulated investment company shares.
  • The Commission cites a global crypto market capitalization of approximately $2.7 trillion in May 2026, up from $800 billion at the beginning of 2021.
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
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Markets & Infrastructure ✓ 19 claims 21 Oct 2026

MIAX folds cPRIME Agency volume into complex-order rebate test on MIAX Options

MIAX has amended its MIAX Options Fee Schedule to change how members qualify for the alternative, higher rebates on Priority Customer non-paired Complex Orders. By adding cPRIME Agency volume to the qualifying calculation, more members should clear the 50% threshold that unlocks the higher per-contract credits. The filing is immediately effective and open for SEC comment until November 6, 2026.

  • The amendment adds Priority Customer cPRIME Agency order volume to the calculation used to determine alternative PCRP rebates on non-paired Complex Orders in MIAX Options Fee Schedule Section (1)(a)(iii).
  • Reaching 50% or more of a member's PCRP volume unlocks higher credits of $0.23 (tier 1), $0.27 (tier 2) and $0.28 (tiers 3, 4 and 5), with no threshold or credit amounts changed by this filing.
  • The rule change became effective October 1, 2026 and took effect immediately under Section 19(b)(3)(A)(ii) and Rule 19b-4(f)(2), subject to SEC summary suspension within 60 days.
  • Written comments on SR-MIAX-2026-40 must be submitted on or before November 6, 2026.
  • MIAX states it held roughly 10.22% of multiply-listed equity options volume in August 2026, and that no exchange among 19 registered options venues exceeded approximately 10-11%.
Source document
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SEC Federal Register — SEC Source document ↗
United States Federal Register — SEC Markets & Infrastructure ✓ 21 claims 21 Oct 2026

MIAX to accept inferior-priced PRIME auction responses rather than reject them on entry

MIAX has amended Rule 515A to stop rejecting Request for Response messages priced worse than the auction's initiating price. Instead the System accepts all responses and cancels the non-participating ones when the PRIME or cPRIME auction ends. The SEC waived the usual 30-day delay, so the change is already live. Comments run to November 6, 2026.

  • MIAX will no longer reject RFR auction responses priced worse than the initiating price, instead accepting all responses and cancelling non-participating ones at the auction's conclusion.
  • The change amends Exchange Rule 515A(a)(2)(i)(D) and applies to both PRIME and cPRIME price-improvement auctions.
  • The SEC waived the 30-day operative delay, making the rule change effective upon filing on September 30, 2026.
  • MIAX cites at least one other options exchange whose price-improvement auction does not reject inferior-priced responses before completion.
  • Written comments on file number SR-MIAX-2026-41 must be submitted on or before November 6, 2026.
Source document