What's New

Date Title Division/Office
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 11.5310 (Best Execution) Trading and Markets
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 5310 (Best Execution) Trading and Markets
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees for its New Clock Service Trading and Markets
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees for its New Clock Service Trading and Markets
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees for its New Clock Service Trading and Markets
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 11.5310 (Best Execution) Trading and Markets
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 3 Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees for its New Clock Service Trading and Markets
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 7, Section 4 and 5 Trading and Markets
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Fees for its New Clock Service Trading and Markets
Investment Company Act Order: GoldenTree Opportunistic Credit Fund, et al. Investment Management
Examinations Observations of Investment Adviser Obligations Related to Economic Conflicts of Interest Examinations
Self-Regulatory Organizations; Nasdaq Phlx, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Non-Conforming Ratios Trading and Markets
Investment Company Act Notice - Franklin Resources, Inc. Investment Management
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of a Proposed Rule Change to Amend Rule 13.003 Related to Proxy Voting Trading and Markets
Commission Opinion and Adjudicatory Order - Titan Securities and Brad C. Brooks Enforcement
Investment Company Act Order - Precidian ETF Trust II, et al. Investment Management
Investment Company Act Order - AQR Delphi Long-Short Fund and AQR Capital Management, LLC Investment Management
SEC Establishes Joint Data Standards as Required Under the Financial Data Transparency Act of 2022 Investment Management
Litigation Release: Sterling Capital, LLC Enforcement