What's New

Date Title Division/Office
Consolidated Tape Association; Notice of Filing of Amendment No. 1, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Fortieth Substantive Amendment to the Second Restatement of the CTA Plan and Thirty-First Substantive.. Trading and Markets
No Action Letter - Tower Semiconductor Ltd. Corporation Finance
Joint Industry Plan; Notice of Filing of Amendment No. 1, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove an Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation... Trading and Markets
Frequently Asked Questions - Security-Based Swap Trading Relationship Documentation Audits Under Exchange Act Rule 15Fi-5(c) Trading and Markets
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NTX Options Price Improvement Auction Trading and Markets
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Auction Mechanisms Trading and Markets
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Auction Mechanisms Trading and Markets
Litigation Release - Donald G. Basile, GIBF GP, Inc, and Monsoon Blockchain Corporation Enforcement
Litigation Release: Kevin N. Richards Enforcement
Notice of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, from Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Request for Comment Trading and Markets
Reopening of Comment Period; Notice of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, from Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Request for Comment Trading and Markets
Investment Company Act Notice - Alger Next Gen Growth Fund, et al. Investment Management
Litigation Release: Sudheesh Nambiar Enforcement
Investment Company Act Notice: Man ETF Series Trust and Man Solutions LLC Investment Management
Self-Regulatory Organizations; New York Stock Exchange LLC; 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
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IEX Rule 11.240 (Trade Execution, Reporting, and Dissemination of Quotations) to Conform with Amendments to Rules 600... Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4759 (Data Feeds Utilized) To Establish a Primary and Secondary Source of Quotation Data of a... Trading and Markets
Remarks at the Options Market Structure Roundtable Agency-Wide
Commission Opinion and Adjudicatory Order - Spartan Capital Securities; John D. Lowry; and Kim M. Monchik Enforcement
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule With Respect to Certain Standard Transaction Fees, Floor Broker Permit Fees, the SPX and VIX Floor Broker Trading Surcharges, the Floor Broker ADV... Trading and Markets