What's New

Date Title Division/Office
SEC Adopts Amendments to Update Definitions of Small Entity for Investment Companies and Investment Advisers Investment Management
Commission Opinion and Adjudicatory Order - Gresham Worldwide, Inc. f/k/a Giga-tronics Incorporated Enforcement
Investment Company Act Notice - 83 Investment Group Income Fund, et al. Investment Management
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Equity 4 To Remove All References To the CORE FIX Order Entry Protocol Trading and Markets
Investment Company Act Order: DPP Investors 2025 LP and DLA Piper LLP (US) Investment Management
Investment Company Act Order: RTW Biotech Growth Fund and RTW Investments, LP Investment Management
No Action Letter - Canton Coin Corporation Finance
Litigation Release: The Movie Studio, Inc. and Gordon Scott Venters Enforcement
Commission Opinion and Adjudicatory Order - Alpine Securities Corporation Enforcement
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposal to Amend Equity 4 To Remove All References To the CORE FIX Order Entry Protocol Trading and Markets
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Trade by Trade Report for EDGX Options and to Amend its Fee Schedule to Adopt Fees for the Trade by Trade Report Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Trade-by-Trade Report for BZX Options and to Amend its Fee Schedule to Adopt Fees for the Trade-by-Trade Report Trading and Markets
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Trade-by-Trade Report for C2 Options and to Amend its Fee Schedule to Adopt Fees for the Trade-by-Trade Report Trading and Markets
Commission Opinions and Adjudicatory Orders: Parcelpal Logistics Inc. Enforcement
Commission Opinions and Adjudicatory Orders: Santa Fe Gold Corp. Enforcement
Commission Opinions and Adjudicatory Orders: John Gardner Black and Devon Capital Management, Inc. Enforcement
Commission Opinions and Adjudicatory Orders: Novagant Corp. a/k/a Golden Bee Health Products Investment Limited, Inc. Enforcement
Administrative Proceeding - NPA Asset Management Enforcement
Litigation Release - Alyssa D'Urso, Antonella Chiaramonte, Daniel Wellcome, Jay Garnock, and Michael D'Urso Enforcement
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Equity 8A Regarding Information Circular Requirements Trading and Markets