What's New

Date Title Division/Office
Investment Company Act Notice - Lafayette Square USA, Inc., et al. Investment Management
Investment Company Act Order - ARK ETF Trust and ARK Investment Management LLC Investment Management
Investment Company Act Order - ARK ETF Trust and ARK Investment Management LLC Investment Management
Investment Company Act Order - The RBB Fund Trust and Clearbrook Investment Consulting, LLC Investment Management
Investment Company Act Order - Bain Capital Credit, LP, et al. Investment Management
Self-Regulatory Organizations; Boston Stock Exchange Clearing Corporation; Stock Clearing Corporation of Philadelphia; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as modified by Amendment No. 1,... Trading and Markets
Joint Industry Plan; Notice of Filing of the Second Amendment to the Limited Liability Company Agreement of CT Plan LLC to Adopt a Fee Schedule Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Exchange Rule 5.4 Trading and Markets
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for its Market Data Feeds Trading and Markets
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning a change in the maximum contingent Operational Loss Fee listed in OCC’s... Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Nasdaq Bitcoin Index Options Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Allow for Extended Trading of Multi-Listed Equity Options Trading and Markets
Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail to Further Reduce the Costs of the Consolidated Audit Trail Trading and Markets
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.7 of the Exchange's CAT Compliance Rule Trading and Markets
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Common Criteria and Procedures for Halting and Resuming Trading in Equity Securities Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Amend Exchange Rule 11.23(d)(2)(B) (Extending the Quote-Only Period for Initial Public Offering (“IPO”) Auctions) Trading and Markets
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rule 6830 (Industry Member Data Reporting) Regarding the Bona Fide Market Making... Trading and Markets
Litigation Release - David Hudzik Enforcement
FY25 OIAD Report On Activities Investor Advocate
Commission Opinion and Adjudicatory Order - Adam Strege Enforcement