What's New

Date Title Division/Office
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Regarding Certain Free Trials Trading and Markets
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Regarding Certain Free Trials Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Regarding Certain Free Trials Trading and Markets
No-Action Letter - MX2 LLC Trading and Markets
Investment Company Act Notice - Eagle Point Credit Management LLC and Eagle Point Trinity Senior Secured Lending Company Investment Management
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Regarding Certain Free Trials Trading and Markets
Investment Company Act Notice - Clearlake Private Markets Fund and Clearlake Capital RIC Management, LLC Investment Management
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Connectivity Schedule and Discontinue a Previously Proposed Offering Trading and Markets
Investment Company Act Notice - Valued Advisers Trust and Alaia Capital, LLC Investment Management
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Connectivity Schedule and Discontinue a Previously Proposed Offering Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange’s Connectivity Schedule and Discontinue a Previously Proposed Offering Trading and Markets
Commission Opinion and Adjudicatory Order - Rebecca Joann Duval Enforcement
Exchange Act Exemptive Order - Order Granting Application of MX2 LLC for a Limited Exemption from Exchange Act Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f) Trading and Markets
Litigation Release - Andrew Spaventa; The Spaventa Group LLC; TSG Capital Advisors LLC; TSG Alpha Partners LLC Enforcement
SEC Charges Boiler Room Operator and Three Entities with Defrauding Retail Investors in $74 Million Pre-IPO Investment Scam Enforcement
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Equity 4, Rule 3100 Regarding Trading Halts Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to List and Trade Shares of 3x Gold ETF, 3x Silver ETF, 3x Bitcoin ETF, 3x Ether ETF, 3x Crude Oil ETF, and 3x Natural Gas ETF, each a Series of the VS ... Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Equity 4, Rule 4120 Regarding Trading Halts Trading and Markets
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend a Continued Listing Standard Relating to Beneficial Holders Applicable to Exchange Traded Fund... Trading and Markets