What's New

Date Title Division/Office
Administrative Proceeding - Compass Minerals International, Inc.
Administrative Proceeding - Vanguard Group, Inc. Enforcement
No Action Letter - Tower Semiconductor Ltd. Corporation Finance
Administrative Proceeding - Elanco Animal Health Inc. Enforcement
Administrative Proceedings: Valeant Pharmaceuticals International, Inc. n/k/a Bausch Health Companies Inc., J. Michael Pearson, Howard. B. Schiller, Tanya R. Carro, CPA Enforcement
Administrative Proceedings: The Boeing Company and Dennies A. Muilenburg Enforcement
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rules 11.23 and 11.24 Relating to Regulatory and Operational Trading Halts, Integrate Definitions and Concepts from... Trading and Markets
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rules 11.22 and 11.23 Relating the Regulatory and Operational Trading Halts, Integrate Several Definitions... Trading and Markets
Commission Opinions and Adjudicatory Orders: Sandeep Aggarwal Enforcement
Frequently Asked Questions: Electronic Submissions of Form X-17A-5 Trading and Markets
Commission Opinions and Adjudicatory Orders: Laurence G. Allen Enforcement
Litigation Release - Nader Al-Naji, Buse Desticioğlu Al-Naji, Joumana Bahouth Al-Naji, Intangible Holdings, LLC, Firestorm Media, LLC, Viridian City, LLC, and DeSo Foundation Enforcement
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Sections 5 and 9 Trading and Markets
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a New Methodology for Assessment and Collection of the Options Regulatory Fee (ORF) 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 Equities Transaction Pricing Trading and Markets
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Concerning the Clearing of Exchange-Traded Funds with Options as Underlying Components Trading and Markets
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt the Initial Fees and Rebates Applicable to Retail Orders Trading and Markets
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee for Limited Underwriting Members Trading and Markets
Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to LCH SA’s Default Management Policy, Investment Risk Policy, Liquidity Risk Policy, Settlement, Payment and Custody Risk Policy, Model Governance, Validation and... Trading and Markets
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.22 to Introduce the Exchange’s Clock Service Trading and Markets