What's New

Date Title Division/Office
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
Commission Opinion and Adjudicatory Order - IntelGenx Technologies Corp. Enforcement
Commission Opinions and Adjudicatory Orders: Himalaya Technologies, Inc. Enforcement
Opinions and Adjudicatory Order: Coretec Group Inc. (Order Scheduling Briefs For Expedited Summary Disposition Motion) Enforcement
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) to Amend the IEX Equities Fee Schedule Trading and Markets
Administrative Proceeding: Reyna Guiffaro Enforcement
Commission Opinions and Adjudicatory Orders: Order to Show Cause Enforcement
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Definition of Clearing Corporation in its Rules and Make Corresponding Changes Throughout its Rules Trading and Markets
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