What's New

Date Title Division/Office
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change to Amend Rule 7.10 (Clearly Erroneous Executions) Trading and Markets
Commission Opinions and Adjudicatory Orders: Clearday, Inc. Enforcement
Investment Company Act Notice: FIS Trust and Faith Investor Services, LLC Investment Management
Commission Opinions and Adjudicatory Order - CuraScientific Corp. Enforcement
Commission Opinions and Adjudicatory Orders: NYPPEX, LLC and Laurence Allen Enforcement
Commission Opinion and Adjudicatory Order - China Health Industries Holdings, Inc. Enforcement
Litigation Release: Siddhi Patel, as Administrator of the Estate of Chirayu Vijay Patel (Deceased) Enforcement
Litigation Release: Terrance P. Berland and David Michael Scalzo Enforcement
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Corporate Listing Fees on the Exchange Trading and Markets
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Restore Former Rule 123D Trading and Markets
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Revisions to OCC Rule 213 – Cybersecurity Obligations. Trading and Markets
Investment Company Act Notice - Neostellar Capital Corp., et al. Investment Management
SEC and AMF Announce Supervisory MOU To Enhance Cooperation for Investment Advisers and Investment Service Providers International Affairs
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.33(g) and Rule 5.34 Trading and Markets
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify Listing Rules Regarding Dually-Listed Securities Trading and Markets
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make a Non-Substantive Correction to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations Trading and Markets
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 19.3 and Rule 19.4 to Establish Generic Listing Criteria and Continued Listing Standards for Options on... Trading and Markets
Commission Opinion and Adjudicatory Order - Christopher Peter Tranchina Enforcement
Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Make Non-Substantive Edits to Exchange Rule 1703, Consolidated Audit Trail Compliance Rule – Industry... Trading and Markets
Opinions and Adjudicatory Order: Ricky Alan Mantei (Order Extending Time to Issue a Decision) Enforcement