What's New

Date Title Division/Office
Litigation Release - David J. Feingold; Joseph B. Baldassarra; Steven S. Baldassarra; Broad Street Global Management, LLC; Broad Street Inc. Enforcement
Investment Company Act Notice: KKR FS Income Trust, et al. Investment Management
Self-Regulatory Organizations; Investors Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rules to Govern the Trading of Options on the Exchange... Trading and Markets
Investment Company Act Notice: Connetic Venture Capital Access Fund, et al. Investment Management
SEC Awards $6 Million to Joint Whistleblowers Enforcement
34-102894; File No. SR-FICC-2025-008] Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Collection of Intraday Margin Trading and Markets
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning the Collection of Intraday Margin Trading and Markets
Commission Opinions and Adjudicatory Orders: William Joseph Kielczewski Enforcement
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Canary SUI ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Trading and Markets
CME Securities Clearing, Inc.; Order Instituting Proceedings to Determine Whether to Grant or Deny an Application for Registration as a Clearing Agency under Section 17A of the Securities Exchange Act of 1934 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 Waive the Combined Cap on Floor Broker Credits Paid for QCC Trades and... Trading and Markets
Commission Opinion and Adjudicatory Order - Harvey Electronics, Inc. Enforcement
Commission Opinion and Adjudicatory Order - Joseph Andrew Paul
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE American Options Fee Schedule Regarding Certain Fees and Rebates Applicable to Volume Executed in the CUBE Auctions Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase the Options Regulatory Fee Until December 31, 2025 Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Nasdaq Rule 5712 to Provide for the Listing and Trading of... Trading and Markets
Regulation SBSR (Reporting and Dissemination of Security-Based Swap Information) and Security-Based Swap Data Repository Rules; Extension Trading and Markets
Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail Trading and Markets
Investment Company Act Notice - HPS Corporate Lending Fund, et al. Investment Management
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 208, MIAX Emerald Billing System Trading and Markets

Last Reviewed or Updated: June 28, 2024