What's New

Date Title Division/Office
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce Enhancements to the Missed Liquidity Report Offered as Part of the Cboe Timestamping Service Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce Enhancements to the Missed Liquidity Report Offered as Part of the Cboe Timestamping Service Trading and Markets
Litigation Release - Cary Edward Urich Enforcement
Litigation Release: Bran Crudden and Transparent Equity Entrepreneurs, LLC Enforcement
Remarks at the Economic Club of Dallas Agency-Wide
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce Enhancements to the Missed Liquidity Report Offered as Part of the Cboe Timestamping Service Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce Enhancements to the Missed Liquidity Report Offered as Part of the Cboe Timestamping Service Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Transaction Fees at Equity 7, Sections 115 and 130, To Delete Obsolete References To the CORE FIX... Trading and Markets
Order Granting Exemptive Relief, Pursuant to Sections 17A and 36(a) of the Securities Exchange Act of 1934, from the Definition of an “Eligible Secondary Market Transaction” in Rule 17ad-22(a) Trading and Markets
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change to Amend the Strike Price Intervals for Options on Certain Exchange-Traded Fund Shares that Meet the Qualifying Securities Criteria Trading and Markets
SEC Issues Exemptive Relief from Treasury Clearing Requirements for Certain Inter-Affiliate and Non-U.S. Repo Transactions Trading and Markets
Administrative Proceeding: United Planners’ Financial Services of America A Limited Partner Enforcement
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Transaction Fees at Equity 7, Sections 115 and 130, To Delete Obsolete References To the CORE FIX Order... Trading and Markets
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance Automated Reasonability Checks for the Submission of ETF Creation and Exemption Transactions Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Transaction Fees at Equity 7, Section 3, To Delete Obsolete References To the CORE FIX Order Entry Protocol Trading and Markets
Commission Opinions and Adjudicatory Order - Michael Sztrom and David Sztrom Enforcement
Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend LTSE Rule 3.291 Trading and Markets
Commission Opinion and Adjudicatory Order - Streetex Corp. Enforcement
Commission Opinion and Adjudicatory Order - Virtual Interactive Technologies Corp. Enforcement
Commission Opinion and Adjudicatory Order - Shefford Companies, Inc. Enforcement