What's New

Date Title Division/Office
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System.. Trading and Markets
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Settlement Service Guide to Make a Technical Change Relating to DTC’s Memo Segregation Function and to... Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx Options 7, Section 4 Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Lower the Options Regulatory Fee (ORF) Trading and Markets
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change to List and Trade Shares of the Truth Social Bitcoin and Ethereum ETF, B.T. under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Lower the Options Regulatory Fee (ORF) Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Fidelity Solana Fund under BZX Rule Trading and Markets
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Lower the Options Regulatory Fee (ORF) Trading and Markets
SEC Small Business Advisory Committee to Discuss Regulatory Framework for Finders and Continue Exploring Regulation A Advocate for Small Business Capital Formation
Litigation Release - Cheetah X Inc. (d/b/a Go X), Alexander Debelov, and Khodr Salam Enforcement
Litigation Release: Eduardo Hernandez Enforcement
Litigation Release: Eliseo Prisno and P/E Capital Investment Management Partners Enforcement
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NSCC Rules to Decommission CNS Functionality Related to Level 2 Exemptions and Fully-Paid-For Acc... Trading and Markets
Commission Opinion and Adjudicatory Order: Laurence G. Allen Enforcement
Commission Opinion and Adjudicatory Order - Robbi J. Jones and Kipling Jones & Co. Ltd. Enforcement
Investment Company Act Notice - Hamilton Lane Private Assets Fund, et al. Investment Management
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the... Trading and Markets
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the... Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the... Trading and Markets
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolida... Trading and Markets