What's New

Date Title Division/Office
No Action Letter - SIPC NYSE Special Trust Corporation Finance
No Action Letter - Capitolis Global Broker Dealer LLC Trading and Markets
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2210 (Communications with the Public) Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add an Offset Peg Order Trading and Markets
Administrative Proceeding - Tai Mo Shan Limited Enforcement
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend an Add Liquidity Order Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Add Liquidity Orders Trading and Markets
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Add Liquidity Orders Trading and Markets
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Add Liquidity Orders Trading and Markets
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Price List Trading and Markets
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges Trading and Markets
Court Enters Final Judgment Against Investment Adviser and Advisory Firm for Breaches of Fiduciary Duties in Annuity Sales to Advisory Clients
SEC Obtains Final Judgment against Investment Adviser Charged with Making Misrepresentations in SEC Filing
Investment Company Act Order: The Pre-IPO and Growth Fund et al. Investment Management
Litigation Release - Cutter Financial Group, LLC and Jeffrey Cutter Enforcement
Litigation Release: Bluesky Eagle Capital Management Ltd. Enforcement
Frequently Asked Questions Relating to Crypto Asset Activities and Distributed Ledger Technology (May 15, 2025) UPDATED February 19, 2026 Trading and Markets
Litigation Release: Saumil Thakkar, Poorvesh Thakkar, et al. Enforcement
Cutting by Two Would Do Agency-Wide
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICC Collateral Risk Management Framework Trading and Markets