What's New

Date Title Division/Office
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Increase the Discounted External Distribution Fee for the EDGX Top Feed Available under the Exchange’s Existing Small... Trading and Markets
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX... Trading and Markets
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 Exchange’s Fee Schedule Applicable to Members to Modify IEX’s Incremental... Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Relating to Trading Permit Holder (“TPH”) Transaction Reporting Duties Trading and Markets
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Transaction Fees at Options 7, Section 3, Note 18 Trading and Markets
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Modify the GSD Rules to Adopt a U.S. Treasury Clearing Trade Submission Requirement Trading and Markets
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts on the Exchange) to Reflect that IEX Will Not Cancel Outstandin... Trading and Markets
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice, as Modified by Partial Amendment No. 1, to Establish a Guaranty Fund at the Government Securities Division Trading and Markets
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 1900, Interpretation and Policy .06, to Reduce the Waiting Periods for Retaking... Trading and Markets
Litigation Release: Anthem Blanchard; Anthem Holdings Company Enforcement
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Establish a Guaranty Fund at the Government Securities Division Trading and Markets
Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 1900, Interpretation and Policy .06, to Reduce the Waiting Periods for Retaking FINRA Qualification Examination Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Offer Additional Tickets Under the Exchange’s Rodeo Program and Re-Open the Application Window for the Rodeo Program... Trading and Markets
Litigation Release: Christopher Vaughan Enforcement
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 515A Related to PRIME and cPRIME functionality Trading and Markets
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 3100, Interpretation and Policy .06, to Reduce the Waiting Periods for Retaking FINRA Qualification Examinations Trading and Markets
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 1900, Interpretation and Policy .06, to Reduce the Waiting Periods for Retaking FINRA Qualification Examina... Trading and Markets
Administrative Proceeding: John Piccarreto Enforcement
Administrative Proceeding: Christopher Parris Enforcement
Staff Letter: Angel Oak Financial Strategies Income Term Trust, August 05, 2026 (Response to Rule 14a-8(j) Notification) Investment Management