What's New

Date Title Division/Office
Litigation Release - Satish Appalakutty; Lorven Funds; Lorven Advisors LLC; Vistalytics Inc. Enforcement
Litigation Release - Dale Swanberg Enforcement
Administrative Proceedings: Kevin A. Van de Grift, CPA Enforcement
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 14.12 Trading and Markets
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 3290 (Outside Activities Requirements) Trading and Markets
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Texas Stock Exchange LLC as a Party Thereto Trading and Markets
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Fee Schedule to Adopt a New Methodology for Assessment and Collection of the Options Regulatory Fee (ORF) Trading and Markets
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Rules to Reflect a Legal Name Change Trading and Markets
Opening Remarks at Joint SEC-CFTC Harmonization Event – Project Crypto Agency-Wide
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the ICC Collateral Risk Management Framework Trading and Markets
Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change to Modify the DTC Settlement Service Guide and DTC Rules as They Relate to the DTC Net Debit Cap Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Exchange Rule 11.23(d)(2)(B) (Extending the Quote-Only Period for Initial Public Offering (“IPO”)... Trading and Markets
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change to Enhance the Correlation Calculation for Bond Haircut Models and Make Other Changes Trading and Markets
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 307, Position Limits, and Rule 309, Exercise Limits, Regarding Position and Exercise Limits.. Trading and Markets
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Repeal the Restated Certificate of Incorporation and Adopt a Certificate of Formation and Company Agreement Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Electronic FLEX Rules Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to Securities Listed on the Exchange to Add Class ETF Shares to the Category...
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Time for Commission Action on a Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Replace the Day Trading Margin... Trading and Markets
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Section 1 Related to Co-Location Service Trading and Markets
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Allow Post-Only Orders in Sub-Dollar Securities Trading and Markets