What's New

Date Title Division/Office
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Address Binary Options, Options Whose Payout is Based on Specified Metrics,... Trading and Markets
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule to Modify Pricing for the Customer Best Execution (“CUBE”) Auctions Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Silexx Fees from its Fee Schedule in Accordance with SEC Exemptive Relief Trading and Markets
Investment Company Act Notice: Valued Advisers Trust and Long Short Advisors, LLC Investment Management
Administrative Proceeding - Joseph Anthony Fabiilli Enforcement
Commission Opinion and Adjudicatory Order - Evil Empire Designs, Inc. Enforcement
Commission Opinion and Adjudicatory Order - Brian Charles Kennedy Enforcement
Commission Opinion and Adjudicatory Order - First Capital International, Inc. Enforcement
Commission Opinion and Adjudicatory Order - Evergreen Sustainable Enterprises, Inc. Enforcement
No-Action Letter – Sumisho Air Lease Corporation Corporation Finance
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICE Clear Credit Recovery Plan and ICE Clear Credit Wind-Down Plan Trading and Markets
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Behavior of Discretionary Peg orders if They are Received by the Exchange During a Period of Quote Instability or Quo Trading and Markets
Corporation Finance Interpretations Update: October 26, 2026 Corporation Finance
Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.15 (Clearly Erroneous Executions) Trading and Markets
Investment Company Act Notice - The Carlyle Group Inc. and CP VIII Coinvestment B, L.P. Investment Management
Commission Opinion and Adjudicatory Order - Coretec Group Inc. Enforcement
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.15 (Clearly Erroneous Executions) Trading and Markets
Administrative Proceeding: TAG Associates LLC Enforcement
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Offer Complimentary Products and Services Trading and Markets
Money Market Fund Statistics- Supporting Data, September 2026 Investment Management