What's New

Date Title Division/Office
Investment Company Act Order: Herzfeld Credit Income Fund, et al. Investment Management
Commission Opinion and Adjudicatory Order - Scottsdale Capital Advisors Corp. Enforcement
Commission Opinion and Adjudicatory Order - Brian Charles Kennedy Enforcement
Litigation Release - Benjamin Tesfaye Enforcement
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Introduce the New One-Minute Interval Intra-Day Report Trading and Markets
Litigation Release - Goliath Ventures, Inc. and Christopher A. Delgado Enforcement
Investment Company Act Order: Cliffwater Corporate Lending Fund, et al. Investment Management
Administrative Proceeding: Fifth Third Bancorp and Daniel Poston Enforcement
Litigation Release: John Fanning; Coreen Kraysler; Paul Riss; Martin Kay; Cecilia Lenk; Netcapital Inc. Enforcement
Investment Company Act Order - 360 Funds and M3Sixty Capital, LLC Investment Management
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce a Small Retail Broker Distribution Program for the BZX Top Data Feed Trading and Markets
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Introduce the New One-Minute Interval Intra-Day Report Trading and Markets
Administrative Proceeding - Zymergen Inc. Enforcement
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting 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; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Transaction Fees at Options 7, Section 2 Trading and Markets
Chairman Paul S. Atkins Letter to Robert Walley, Chair, CAT NMS Plan Operating Committee Agency-Wide
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 14.1 Regarding Information Circular Requirements Trading and Markets
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change to Amend the Criteria for Underlying Securities Trading and Markets
Litigation Release: Frank M. Cerisano Jr. Enforcement
Litigation Release: Adit Ventures Management LLC Enforcement