What's New

Date Title Division/Office
Commission Opinion and Adjudicatory Order - Evan H. Katz Enforcement
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Amend Rule 11.25 to Introduce an Optional, Contingent Instruction Applicable to Periodic Auction Only Orders... Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List Certain A.M.-Settled NDX Options Trading and Markets
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Amend Rule 11.8(c) to Permit an Intermarket Sweep Order (“ISO”) to be Entered as a Non-Displayed Order and to Establish the Price Level At Which the ... Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections To Its Rulebook at Equity 4 Trading and Markets
Administrative Proceeding: United Parcel Service, Inc. Enforcement
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees for Two Newly Established Feeds, the Order Feed and the Trades Feed Trading and Markets
Self-Regulatory Organizations; Nasdaq Texas, LLC; Order Granting Approval of a Proposed Rule Change to Adopt Rules to Permit the Listing and Trading of Certain Exchange-Traded Products Trading and Markets
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IEX Rule 22.100 to Allow Market Makers to Submit Immediate-or-Cancel Bulk Message Quotes Trading and Markets
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Amend Rule 11.8(c) to Permit an Intermarket Sweep Order (“ISO”) to be Entered as a Non-Displayed Order and to Establish the Price Level At Which the ... Trading and Markets
Administrative Proceeding: Tenaya Group, Inc. Enforcement
No-Action Letter - Tax-Free Fixed Income Fund V for Puerto Rico Residents, Inc. Investment Management
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the VanEck JitoSOL ETF Under Nasdaq Rule 5711(d) (Commodity-Based... 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 Trading and Markets
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Rules 2627 And 2628 to Integrate Several Definitions and Concepts from the Amended CTA/CQ Plan, Reorganize Rule 2622, and Ma... Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Obsolete References To The Discontinued QIX Proprietary Protocol from The Exchange’s Rulebook Trading and Markets
Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change to Amend MSRB Rule G-12(c) to Codify and Retire or Revise Certain Existing Interpretive Guidance on Confirmation Requirements for... Trading and Markets
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 1 to Require OTP Holders and OTP Firms to Review Customer Activity on a Monthly Basis Trading and Markets
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 900.2NY to Require ATP Holders to Review Customer Activity on a Monthly Basis Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule to Adopt Rules Related to the Listing and Trading of Closed-End Funds on the Exchange Trading and Markets