What's New

Date Title Division/Office
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation... Trading and Markets
Administrative Proceeding - Saratoga Resources, Inc. Enforcement
Administrative Proceeding - Standard Energy Corporation Enforcement
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 4522 (Periodic Security Counts, Verifications and Comparisons) to Simplify Position Statement and Reconciliatio... Trading and Markets
Cross-Trading of Fixed Income Securities in U.S. Mutual Fund Families Economic and Risk Analysis
FASB Issues Proposed Update for Future Version of U.S. GAAP Financial Reporting Taxonomy Related to Proposed ASU on Enhanced Disclosures of Cash Equivalents Data Standards and Innovation
Statement on Proposal to Rescind “Pay-to-Play” Rule Agency-Wide
Litigation Release - Corey Ortiz Enforcement
Administrative Proceeding - Liaoning Shuiyun Qinghe Rice Industry Co., Ltd. (f/k/a Evergreen International Corp.) Enforcement
Administrative Proceeding - LZG International, Inc. Enforcement
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing, and Order Granting Accelerated Approval of, a Proposed Rule Change to Amend Rule 5711(d) (Commodity Based Trust Shares) Trading and Markets
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to its Clearing Membership Standards. Trading and Markets
Corporation Finance Interpretations Update: September 2, 2026 Corporation Finance
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Risk Management Model Description for the CDS Clearing Service Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit the Exchange to Conduct Opening and Closing Auctions in UTP Securities Designated by the Exchange Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to permit a New Issue ETPs to Commence Trading at the Beginning of the Pre-Market Session Trading and Markets
Investment Company Act Order: Source Capital and First Pacific Advisors, LP Investment Management
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement a Lead Market Maker Program on the Exchange Trading and Markets
Administrative Proceedings: Comscore, Inc.; Serge Matta Enforcement
Investment Company Act Order - Regan Capital Alternative Income Fund, et al. Investment Management