What's New

Date Title Division/Office
Administrative Proceeding - Newell Brands, Inc. and Michael B. Polk Enforcement
Commission Opinion and Adjudicatory Order - Rebecca Joann Duval Enforcement
Investment Company Act Notice: Emery Partners Income Credit Strategies Fund, et al. Investment Management
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List Shares of the Bitwise 10 Crypto Index ETF under NYSE Arca Rule 8.201-E (Generic) Trading and Markets
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 2(c) Trading and Markets
No-Action Letter - Goldman Sachs Asset Management, L.P. Investment Management
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing, and Order Granting Accelerated Approval of, a Proposed Rule Change to Amend Rule 17.111(d) (Commodity-Based Trust Shares) Trading and Markets
Litigation Release - Jason R. Anderson; Blox Lending, LLC; Digital Licensing, Inc.; Schad Brannon; Roydon Nelson; Business Funding Solutions, LLC Enforcement
Commission Opinion and Adjudicatory Order - Petro USA, Inc. Enforcement
“Transfer Portal” Trading and Markets
FASB Issues Proposed Update for Future Version of U.S. GAAP Financial Reporting Taxonomy Related to Proposed ASU on Consideration Payable to a Customer Data Standards and Innovation
Commission Opinion and Adjudicatory Order - Spartan Capital Securities; John D. Lowry; and Kim M. Monchik Enforcement
Two Entities Charged in $130 Million Fraud Scheme That Used False SEC Filings to Boost Investor Confidence Enforcement
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposal to Amend Equity 4, Rule 4120, To Align It with that of The Nasdaq Stock Market LLC Trading and Markets
Commission Opinions and Adjudicatory Orders: Real Brands, Inc. Enforcement
Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.280 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Trading and Markets
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Fees and Rebates for Professional Customer Orders for QCC and cQCC Transactions and Establish a Tiered Fee Structure for ... Trading and Markets
Investment Company Act Order - Manning & Napier Fund, Inc., et al. Investment Management
Administrative Proceeding - Coburn & Meredith, Inc. Enforcement
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Nasdaq’s Interpretive Material, IM-8310-3 Trading and Markets