What's New

Date Title Division/Office
Administrative Proceeding - Nipun Kumar Jami Enforcement
Administrative Proceeding - United Parcel Service, Inc. Enforcement
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Rule 928NYP Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Nasdaq Bitcoin Index Options Trading and Markets
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 6.40P-O Trading and Markets
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update the Options Opening Process Trading and Markets
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter 8 of the Exchange’s Rulebook Relating to Investigative and Disciplinary Matters Trading and Markets
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter 8 of the Exchange’s Rulebook Relating to Investigative and Disciplinary Matters Trading and Markets
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing... Trading and Markets
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule by Introducing a New RPI Add Tier and Amending its Fee Code Table Applicable to Securities Priced... Trading and Markets
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 to Adopt Fees Applicable to Trading Options on MXWLD, MXACW, and MXUSA Trading and Markets
Litigation Release - James Blake Daughtry Enforcement
Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to OCC’s STANS Methodology Description to Enable OCC to Accept Binary Options for... Trading and Markets
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts Trading and Markets
Suspect arrested for SEC regional office burglary during lapse in appropriations and corresponding government shutdown. Inspector General
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Exchange Fee Schedule to Amend Non-Transaction Fees Trading and Markets
Opinions and Adjudicatory Order: Titan Securities and Brad C. Brooks (Order Extending Time to Issue Decision) Enforcement
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Temporary Rule 7.34-E(T) to Provide for an Overnight Trading Session and to Amend the Hours for the Exchange’s Early... Trading and Markets
SEC and NFA Announce Memorandum of Understanding to Further Harmonize Regulatory Coordination Examinations
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Delete the Cabinet Upgrade Fee Trading and Markets