What's New

Date Title Division/Office
Litigation Release: William Sarris and Joseph Endoso Enforcement
Investment Company Act Notice - Clearlake Private Markets Fund, et al. Investment Management
Litigation Release - Jeremiah Silkowski and SQN Capital Management LLC Enforcement
SEC Proposes Expanding Securities Eligible for Cross Trading by Registered Funds Investment Management
Administrative Proceeding - Jefferies LLC Enforcement
FASB Technical and Other Conforming Improvements for 2027 GAAP Financial Reporting Taxonomy Data Standards and Innovation
Investment Company Act Notice - RTW Biotech Growth Fund and RTW Investments, LP Investment Management
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule by Introducing Step-Up Tier 1 Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the TXSE Fee Schedule to Modify the Transaction Fee Applicable to Securities Priced at or above $1.00 that Remove... Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Shared Listings Program on the Exchange Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement a Restricted Stock Units Incentive Program Trading and Markets
Commission Opinion and Adjudicatory Order - Lee Harold Rycraft Enforcement
Commission Opinion and Adjudicatory Order - X Metaverse Inc. Enforcement
Commission Opinion and Adjudicatory Order - Genufood Energy Enzymes Corp. Enforcement
Litigation Release - Francis Biller; Raymond Dove; Chester Alvarez; Troy Gran-Brooks; Justin Plaizier; Shredderz International Corp.; Edward Clarke; Lia Patricia Sepulveda Salazar; and Edward Lopez Giraldo Enforcement
Litigation Release - Darren J. Caris and Caris Investment Partners, Inc. Enforcement
Administrative Proceeding - Carlos Lopez, CPA Enforcement
Corporation Finance Interpretations Update: October 8, 2026 Corporation Finance
Litigation Release - Himanshu Jindal a/k/a Manish Jindal Enforcement
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5740 Regarding Information Circular Requirements Trading and Markets