What's New

Date Title Division/Office
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Non-Conforming Ratios Trading and Markets
Litigation Release - JianQing Li Enforcement
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Treasury Clearing Service Initial Margin Approach Model Description Document, Treasury Clearing Service Guaranty Fund and Stress Test... Trading and Markets
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Fee Schedule Concerning Options Transaction Pricing Trading and Markets
Litigation Release: Phoenix American Hospitality, LLC; William Lee “Perch” Nelson Enforcement
Administrative Proceedings - Western Asset Management Company, LLC Enforcement
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Trading and Markets
Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change to Amend Rules 19.3 and 19.4 to Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts that Hold Multiple Crypto Assets Trading and Markets
Opinions and Adjudicatory Order: Scottsdale Capital Advisors Corp. (Order Extending Briefing Schedule) Enforcement
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Trading and Markets
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Trading and Markets
Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Extension of Eligible Collateral to U.S. Treasury Securities and Related Changes. Trading and Markets
Administrative Proceeding - Adrian D. Beamish, CPA Enforcement
Investment Company Act Order: VegaShares ETF Trust and Vega Capital Partners LLC Investment Management
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Trading and Markets
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Trading and Markets
No-Action Letter - Blackstone Private Credit Fund Investment Management
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Trading and Markets
“Harmonization: We’ll Have Lots to Talk About” Trading and Markets
Administrative Proceeding - Vestech Partners, LLC, Marita Partners, LLC, MI 15 LLC, and Riadh Fakhoury Enforcement