What's New

Date Title Division/Office
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Transaction Fees Applicable to Members of the Exchange Trading and Markets
Investment Company Act Notice: Horizon Investments, LLC and Horizon Funds Investment Management
Investment Company Act Notice: Bluerock ETF Trust and Bluerock ETF Advisor, LLC Investment Management
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Establish a Guaranty Fund at the Government Trading and Markets
Administrative Proceeding: Elizabeth Escoto Enforcement
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Procedures for Monitoring Compliance with the Eligible Secondary Market Transaction Submission Requirements Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 17.180 to Permit an Issuer to Elect a Higher Listing Tier for an Exchange Traded Product During a Calendar Yea... Trading and Markets
Commission Opinion and Adjudicatory Order - Liaoning Shuiyun Qinghe Rice Industry Co., Ltd. (f/k/a Evergreen International Corp.) Enforcement
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to make various clean up changes and a number of technical, non-substantiative changes to its Rulebook Trading and Markets
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 11.25.. Trading and Markets
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend IEX Rule 3.291 (Influencing or Rewarding Employees of Others; Gratuities), to Conform to the Rules of FINRA for Purpose... Trading and Markets
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC’s Fee Schedule Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce Conforming Changes to Nasdaq Phlx Rules in Connection with the Establishment of Fees for Nasdaq TotalView Plus and Nasdaq... Trading and Markets
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce Conforming Changes to Nasdaq Texas Rules in Connection with the Establishment of Fees for Nasdaq TotalView Plus and... Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Set Fees for Nasdaq TotalView Plus and Nasdaq Basic Plus Trading and Markets
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Fees Applicable to the Floor Market Maker Fee and Floor Broker Breakup Credit for Transactions in Non-Penny Classes Trading and Markets
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.271 Regarding the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Trading and Markets
Investment Company Act Order - Clearlake Private Markets Fund, et al. Investment Management
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Rules to Govern the Trading of FLEX Equity Options in Electronic Auctions Trading and Markets
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove a Requirement That Sponsoring Members Report Certain Events Impacting Their Sponsored Members Trading and Markets