What's New

Date Title Division/Office
Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Certain Rules to List and Trade Options on the Grayscale CoinDesk Crypto 5 ETF Trading and Markets
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of a Proposed Rule Change to Amend the Initial Listing Standards Set Forth in Sections 101 and 102 of the NYSE American Company Guide. Trading and Markets
Division of Investment Management Actions During Potential Government Shutdown - January 2026 Investment Management
Division of Corporation Finance Actions in Advance of a Potential Government Shutdown - January 2026 Corporation Finance
Division of Trading and Markets Actions During Potential Government Shutdown - January 2026 Trading and Markets
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule to Modify Certain Fees and Rebates Applicable to Specialists, e-Specialists... Trading and Markets
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.9(f) (“Match Trade Prevention (“MTP”) Modifiers) to Revise the Definition of Unique Identifier Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Exchange Rule 11.9(f) (“Match Trade Prevention (“MTP”) Modifiers”) to revise the definition of Unique Identifier Trading and Markets
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Exchange Rule 11.10(d) (“EdgeRisk Self Trade Prevention (“ERSTP”) Modifiers”) to revise the definition of Unique Id... Trading and Markets
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule to Modify Certain Fees and Rebates Applicable to Lead Market Makers and NYSE Arca Market... Trading and Markets
Draft of 2026Q3 Self-Regulatory Organization (SRO) Taxonomy (Form CA-1) Structured Disclosure
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Reflect Adjustments to Section II.A. (FINRA Fees) and Section II.B. (Registration and Continuing Education Trading and Markets
Notice of an Application of the Fixed Income Clearing Corporation and Chicago Mercantile Exchange Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 in Connection with the Cross-Margining of U.S. Treasury Securities and... Trading and Markets
Opinions and Adjudicatory Orders: Lek Securities Corporation (Order Extending Time to Issue Decision) Enforcement
Opinions and Adjudicatory Orders: Southeast Investments, N.C., Inc. and Frank Harmon Black (Order Denying Motion to Dismiss and Reissuing Previous Opinion and Order with Respect to Certain Claims) Enforcement
Administrative Proceedings: GlassBridge Enterprises, Inc. Enforcement
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