What's New

Date Title Division/Office
Litigation Release - Michael Smith and Douglas Joshua Dalton Enforcement
Self-Regulatory Organizations; NYSE Arca, Inc.; Order Approving a Proposed Rule Change to Amend Exchange Rule 5.3-O Trading and Markets
Investment Company Act Notice - Cypress Creek Private Strategies Master Fund, L.P., et al. Investment Management
No Action Letter: Angel Studios 010, Inc. Corporation Finance
Commission Opinion and Adjudicatory Order - Epic Capital Wealth Advisors, LLC Enforcement
Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change to Amend Exchange Rule 915 Trading and Markets
Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change to Amend Exchange Rule 915 Trading and Markets
Frequently Asked Questions: Rule 605 of Regulation NMS (April 1, 2026) Trading and Markets
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule to Eliminate Certain Incentive Programs and Increase the Limit on the Maximum... Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Remove Obsolete Rule Text in Nasdaq Equities 6 Trading and Markets
Litigation Release - Jon G. Fullenkamp and Scott R. Sand Enforcement
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposal to Amend the Exchange’s Anti-Internalization Functionality in Equity 4, Rule 4757, and to Extend the Implementation Date of the CORE FIX Order... Trading and Markets
Litigation Release - Brent David Willis Enforcement
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposal to Amend the Exchange’s Anti-Internalization Functionality in Equity 4, Rule 3307, and to Extend the Implementation Date of the CORE FIX Order... Enforcement
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposal to Amend the Exchange’s Anti-Internalization Functionality in Equity 4, Rule 4757, and to Extend the Implementation Date of the CORE... Trading and Markets
Litigation Release: Eliseo Prisno and P/E Capital Investment Management Partners Enforcement
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Monthly Enterprise Fee for its Depth of Book Proprietary Market Data Feed Trading and Markets
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 National Market System Plan Regarding Consolidated Equity Market Data, as Modified by...
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Definition of “Indicative Price” Under Exchange... Trading and Markets
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change to Amend BOX Rules 5055 (FLEX Equity Options) and 3120 (Position Limits) Trading and Markets