What's New

Date Title Division/Office
Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Trading and Markets
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Trading and Markets
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend IEX Rule 16.160 Regarding Information Circular Requirements Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Trading and Markets
Litigation Release - Jamal (“Jimmy”) Chammout; Ali El Siblani; Ali Jawad; Rabih Rakha Enforcement
Litigation Release - Shane Schmidt Enforcement
Investment Company Act Notice: Herzfeld Credit Income Fund, et al. Investment Management
Litigation Release - American Patriot Brands, Inc.; Urban Pharms, LLC; TSL Distribution, LLC; DJ&S Property #1, LLC; Robert Y. Lee; Brian L. Pallas Enforcement
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified and Superseded by Amendment No. 1, to Amend Its Rules Related to Binary Options Trading and Markets
Administrative Proceeding - Becton, Dickinson and Company Enforcement
Commission Opinion and Adjudicatory Order - Spartan Capital Securities; John D. Lowry; and Kim M. Monchik Enforcement
Commission Opinion and Adjudicatory Order - Joshua Caltrider Enforcement
Commission Opinion and Adjudicatory Order - Mark Kipling Durham Enforcement
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change to the Risk Management Model Description for the CDS Clearing Service Trading and Markets
Administrative Proceeding: Howard Richards, James Goodland and Securus Wealth Management, LLC Enforcement
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified and Superseded by Amendment No. 1, To Amend Rule 4.21 (Series of FLEX 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 Concerning the Synthetic Futures Model Trading and Markets
Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Providing Clearing Services for Fee Grid for the Triparty Collateral Mechanism Trading and Markets
Investment Company Act Notice: 360 Funds and M3Sixty Capital, LLC Investment Management