What's New

Date Title Division/Office
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Amendment Nos. 3 and 4, and Order Granting Accelerated Approval of a Proposed Rule Change, as Superseded by Amendment No. 3 and Modified by Amendment No. 4, to Adopt New Options Rule... Trading and Markets
Investment Company Act Notice - Guggenheim Strategic Opportunities Fund, et al. Investment Management
Investment Company Act Notice - PCM Fund, Inc., et al. Investment Management
Order Granting Application of 24X National Exchange LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f) Trading and Markets
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Rules to Enable the Trading of Securities on the Exchange in Tokenized Form Trading and Markets
Administrative Proceeding: Rimar Capital USA, Inc., Rimar Capital, LLC, Itai Royi Liptz, and Clifford Todd Boro Enforcement
Administrative Proceeding - Synchronoss Technologies, Inc., Clayton “Charlie” Thomas, Marc Bandini, Daniel Ives, John Murdock, Ronald Prague, Esq. Enforcement
Deputy Director of Enforcement Jason Burt to Conclude His Tenure at the SEC Enforcement
Administrative Proceeding - American Portfolio Advisors, Inc. Enforcement
Administrative Proceedings: UBS Financial Services Inc. Enforcement
Litigation Release: Aaron Verdugo, et al. Enforcement
Report on Administrative Proceedings For the Period October 1, 2025, through March 31, 2026 Secretary
Litigation Release: Christopher Flagg; Daquan Lloyd; Travis Treusch Enforcement
Investment Company Act Notice - Multi-Class ETF Fund Exemptive Relief under the Investment Company Act of 1940 Investment Management
Litigation Release: Anthony Joseph Cataldo Enforcement
Investment Company Act Notice - Third Point Private Capital Partners, et al. Investment Management
Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by Chicago Mercantile Exchange Inc. Trading and Markets
Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Section 1003 of the NYSE American Company Guide Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan Trading and Markets
Investment Company Act Notice - VegaShares ETF Trust and Vega Capital Partners LLC Investment Management