What's New

Date Title Division/Office
Litigation Release - Robert M. Thompson; The Financial Freedom Foundation d/b/a F3 Mastermind; Brandon K. Stucki Enforcement
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX Options 3, Sections 7 and 9 Trading and Markets
Administrative Proceeding - David J. Minson Enforcement
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend GEMX Options 7, Section 3 Trading and Markets
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IEX Rules 2.220(a)(7), 11.410(a), and 11.410(a)(2) to Reflect the Name Change of “NYSE Chicago, Inc.” to “NYSE Texas... Trading and Markets
Litigation Release: Rouzbeh “Ross” Haghighat; Behrouz “Bruce” Haghighat; Kirstyn Pearl; James Roberge; Seyedfarbod “Fabio” Sabzevari Enforcement
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of NYSE Texas, Inc. Trading and Markets
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees for the One-Minute Interval Intraday Open-Close Report Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees for the One-Minute Interval Intraday Open-Close Report Trading and Markets
Investment Company Act Notice - ISQ OpenInfra Income Fund, et al. Investment Management
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt New Rule... Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Electronic FLEX Options Rules Trading and Markets
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule of NYSE Texas, Inc. Trading and Markets
Commission Opinions and Adjudicatory Orders: Arthur W. Wood Company, Inc. Enforcement
SEC Names Judge Margaret Ryan as Director of the Division of Enforcement Enforcement
Riskless Principal Trades in Corporate Bond Markets Economic and Risk Analysis
Litigation Release: Joseph Neal Sanberg Enforcement
Litigation Release: Justin Chen; Jun Zhen Enforcement
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change to Amend the Codes of Arbitration Procedure to Adopt FINRA Rules 12808 and 13808 (Accelerated Processing) to Accelerate the Processing... Trading and Markets
Litigation Release - Stock Purse Trading LLC; Liston Associates, Inc.; Carole A. Liston Enforcement