What's New

Date Title Division/Office
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide that the Exchange Will Identify Priority Customer Interest on its Order Book Through OPRA and its Proprietary Market... Trading and Markets
Commission Opinion and Adjudicatory Order - Suzanne Marie Capellini Enforcement
Investment Company Act Notice of applications for deregistration under section 8(f) of the Investment Company Act of 1940 Investment Management
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified and Superseded by Amendment No. 1, to Adopt Extended Trading Hours for Eligible Equity... Trading and Markets
Administrative Proceeding: Northeast Financial Group, Inc. Enforcement
Commission Opinion and Adjudicatory Order - Brian Michael Sterz Enforcement
Commission Opinion and Adjudicatory Order - Joseph Gordon Nelson Enforcement
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update its Fees Schedule in Connection with the Exchange’s Plans to List and Trade Binary Options that Overlie the Mini-S&P 500 Trading and Markets
Order Deterining Whistleblower Award Claim Whistleblower
SEC, CFTC Seek Public Comment on the Harmonization of Portfolio Margining Frameworks Trading and Markets
Investment Company Act Order: Lord Abbett Private Credit Fund, et al. Investment Management
Self-Regulatory Organizations; Texas Stock Exchange LLC; Order Declaring Effective a Minor Rule Violation Plan Trading and Markets
Investment Company Act Order: U.S. Bancorp Asset Management, Inc., et al. Investment Management
Litigation Release - Michael Bowen and Chol Kim a/k/a Brandon Kim Enforcement
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 22.3, Market Maker Class Appointments Trading and Markets
Commission Opinions and Adjudicatory Orders: No Borders, Inc. Enforcement
Money Market Fund Statistics- Supporting Data, May 2026 Investment Management
Money Market Fund Statistics, May 2026 Investment Management
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-28, on Transactions with Employees and Partners of Other Municipal... Trading and Markets
Litigation Release: Mingran Wang Enforcement