What's New

Date Title Division/Office
Litigation Release: Wisdom Capital Management Group Ltd. Enforcement
Investment Company Act Order: Elevation Series Trust and CresAlta Investment Management, Inc. Investment Management
SEC Establishes Financial Reporting and Accounting Unit in Enforcement Division Enforcement
Joint Industry Plan; Order Granting Approval of the Twenty-Seventh Amendment to the National Market System Plan to Address Extraordinary Market Volatility to Establish Temporary Price Band Protections in Overnight Trading Trading and Markets
Commission Opinions and Adjudicatory Orders: Upper Street Marketing Inc. Enforcement
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 Amend the Manual Billable Rebate Program and Add a Credit Under the Firm... 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 Remove MSCI Related Index Options from Certain Tier Discounts and Incentive... Trading and Markets
Administrative Proceeding: Richard Gavzie Enforcement
Administrative Proceeding: Damon Artis Enforcement
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 122 to Remove Daily List and Fundamental Data from the Nasdaq Rulebook and Clarify How... Trading and Markets
Litigation Release: John A. DeSalvo Enforcement
Restoring Regulatory Clarity: Statement on Technical Amendments to Rule 0‑1(a)(7) Agency-Wide
Investment Company Act Order: Coatue Innovative Strategies Fund and Coatue Management, L.L.C. Investment Management
Investment Company Act Order: Dawson Private Markets Evergreen Fund, et al. Investment Management
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 1 and Options 3C, Section 4(d) Trading and Markets
Litigation Release: Gotbit Consulting LLC a/k/a Gotbit Hedge Fund; Fedor Kedrov Enforcement
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Options Regulatory Fee (ORF) Trading and Markets
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule to Implement a Market Maker/Lead Market Maker Posting Incentive Program for Certain... Trading and Markets
Investment Company Act Order: Datum One Series Trust and Brandes Investment Partners, L.P. Investment Management
Investment Company Act Order: Datum One Series Trust and First Sentier Investors (US) LLC Investment Management