What's New

Date Title Division/Office
Remarks of Commissioner Mark T. Uyeda Agency-Wide
Division of Trading and Markets: Frequently Asked Questions Relating to Crypto Asset Activities and Distributed Ledger Technology Trading and Markets
An Incremental Step Along the Journey: The Division of Trading Markets’ Frequently Asked Questions Relating to Crypto Asset Activities and Distributed Ledger Technologies Agency-Wide
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Remove Obsolete Text Regarding Temporary Discounts to Current Subscribers... Trading and Markets
Withdrawal of Joint Staff Statement on Broker-Dealer Custody of Digital Asset Securities Trading and Markets
Investment Company Act Notice: PGIM, Inc., et al. Investment Management
Commission Opinions and Adjudicatory Orders: Alpine Securities Corporation Enforcement
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change to Amend the Short Term Option Series Program to List Qualifying Securities Trading and Markets
Regulation S-P – Back to the Future Examinations
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Equities Fee Schedule Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 4, to Amend Rules 4.3, 4.20, and 8.30, to Allow the Exchange to List and Trade Op... Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 2, to Amend the Rules Governing the Listing and Trading of Shares... Trading and Markets
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Twenty-Fourth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, ... Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Osprey Bitcoin Trust under BZX Rule... Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule with Respect to Market-Maker Orders Transacted on the Trading Floor Trading and Markets
Final Management Letter: Audit of the SEC’s Efforts to Recruit and Retain a Highly Skilled Workforce and Address Related Challenges Inspector General
Investment Company Act Order - MidCap Financial Investment Corporation, et al. Investment Management
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement an Excessive Mass Cancel and Purge Fee for SPXW Trading and Markets
Investment Company Act Notice - Lincoln Bain Capital Total Credit Fund, Lincoln Royalties Income Fund, LP, and Lincoln Financial Investments Corporation Investment Management
No Action Letter - Santos Brasil Participaçŏes S.A. Corporation Finance