SEC Approves NASD Rule Change for Differential Compensation in Limited Partnership Rollup Transactions

Summary

The Securities and Exchange Commission has approved a proposed rule change by the National Association of Securities Dealers, Inc. regarding the receipt of differential compensation in connection with limited partnership rollup transactions, as outlined in Article III, Section 34 of the Rules of Fair Practice.

Original source language: Federal Register — SECOpen original release →

Add your company to Business Communicator

We monitor business sources and connect attention with companies, profiles and services available in Business Communicator.

Create a free company profile Explore businesses on Business Maps →

Create a free company profile →

Explore insights

Business insights →

Global Markets News Trade Regulation News Business Technology News Fintech for Business: Payments & Banking News Supply Chain News Central Bank Policy News

Related business signals

Market regulation · 6/25/2026

OCC, Federal Agencies Publish Final Joint Rule for Financial Data Transparency Act

The Office of the Comptroller of the Currency (OCC), the Federal Reserve Board, the Federal Deposit Insurance Corporation (FDIC), the National Credit Union Administration (NCUA), the Consumer Financial Protection Bureau (CFPB), the Federal Housing Finance Agency (FHFA), the Commodity Futures Trading Commission (CFTC), the Securities and Exchange Commission (SEC), and the U.S. Department of the Treasury are publishing a final joint rule to establish data standards to promote interoperability of financial regulatory data across these agencies. This joint rule will be considered for potential incorporation into data standards for certain collections of information in separate rulemakings by the agencies or through other actions taken by the agencies.

Read summary →

Market regulation · 7/21/2026

CFTC Issues Order to Exempt CME from Opening Price Settlement Requirement for Cash-Settled Futures

The Commodity Futures Trading Commission has issued an order providing exemptive relief to the Chicago Mercantile Exchange Inc. to facilitate the listing of cash-settled futures on individual equity securities, allowing for trading on its designated contract market and national securities exchange registration.

Read summary →

Market regulation · 6/24/2026

CFTC and SEC Request Public Comment on Swap Data Reporting Changes

The Commodity Futures Trading Commission and the Securities and Exchange Commission are seeking public input on proposed modifications to the reporting requirements for swap and security-based swaps.

Read summary →

Market regulation · 9/3/2026

CFTC and SEC Extend Compliance Date for Form PF Reporting Requirements

The Commodity Futures Trading Commission and the Securities and Exchange Commission have extended the compliance date for the amended Form PF reporting requirements from October 1, 2026, to July 1, 2027, affecting certain investment advisers to private funds and commodity pool operators/trading advisers.

Read summary →

Market regulation · 8/26/2026

CFTC Proposes to Amend Regulations for Swap Execution Facilities

The Commodity Futures Trading Commission is proposing to remove the requirement for swap execution facilities to offer an order book for certain swap transactions, which are considered permitted under the Commodity Exchange Act.

Read summary →

Market regulation · 6/30/2026

CFTC and SEC Request Public Comment on Portfolio Margining and Cross-Margining of Securities and Derivatives

The Commodity Futures Trading Commission (CFTC) and the Securities and Exchange Commission (SEC) are seeking public input on potential measures to enhance portfolio and cross-margining of securities and derivatives subject to either or both agencies' jurisdictions.

Read summary →