What's New

Date Title Division/Office
Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Fee Schedule Trading and Markets
Administrative Proceeding: North East Capital, LLC and Anthony T. Vicidomine Enforcement
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Timeframe of a Recent Rule Filing Trading and Markets
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 14.1 Regarding Information Circular Requirements Trading and Markets
Investment Company Act Order: Stellus Capital Investment Corporation, et al. Investment Management
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the FINRA By-Laws, the FINRA Regulation By-Laws, the Plan of Allocation and Delegation of Functions by FINRA to Subsidiari... Trading and Markets
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.14 in Light of the Commission’s Approval of Overnight Protected Bands for 23/5 Trading Trading and Markets
Administrative Proceeding: Mingran Wang Enforcement
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule Equity 7 Section 115 Trading and Markets
SEC Announces Enforcement Annual Results for Fiscal Year 2026 Enforcement
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Policy Relating to the Exchange's Treatment of Trade Reports Trading and Markets
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Fee Schedule Trading and Markets
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend the Criteria for Underlying Securities Trading and Markets
FASB Issues Proposed Update for Future Version of U.S. GAAP Financial Reporting Taxonomy Related to Proposed ASU on Targeted Improvements to Indexation Data Standards and Innovation
FASB Issues Proposed Improvements for the 2027 GAAP Meta Model Relationships Taxonomy Data Standards and Innovation
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees for NDX Options Trading and Markets
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Franklin Responsibly Sourced Gold ETF Trading and Markets
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees for NDX Options Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fees for NDX Options Trading and Markets
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Relating to the Addition of the Evergreen Provisions to OCC’s LRMF. Trading and Markets