What's New

Date Title Division/Office
Self-Regulatory Organizations; Cboe Clear U.S., LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee Schedule to Adopt a Broker-Dealer Clearing Member Incentive Program and Reduce the Clearing Fee for Securities... Trading and Markets
Opinions and Adjudicatory Order: Laurence G. Allen (Order Denying Motions for Reconsideration and a Stay) Enforcement
Litigation Release - Chetram Balli Enforcement
Litigation Release: Jun Zhen Enforcement
Commission Opinion and Adjudicatory Order - Alpine 4 Holdings, Inc. (f/k/a Alpine 4 Technologies, Inc.) Enforcement
Remarks at the 2026 Corporate Financial Reporting Insights (CFRI) Conference Agency-Wide
The Economics of Attention Economic and Risk Analysis
Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Fee Schedule Trading and Markets
Administrative Proceeding: North East Capital, LLC and Anthony T. Vicidomine Enforcement
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Timeframe of a Recent Rule Filing Trading and Markets
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 14.1 Regarding Information Circular Requirements Trading and Markets
Investment Company Act Order: Stellus Capital Investment Corporation, et al. Investment Management
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the FINRA By-Laws, the FINRA Regulation By-Laws, the Plan of Allocation and Delegation of Functions by FINRA to Subsidiari... Trading and Markets
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11.14 in Light of the Commission’s Approval of Overnight Protected Bands for 23/5 Trading Trading and Markets
Administrative Proceeding: Mingran Wang Enforcement
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule Equity 7 Section 115 Trading and Markets
SEC Announces Enforcement Annual Results for Fiscal Year 2026 Enforcement
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Policy Relating to the Exchange's Treatment of Trade Reports Trading and Markets
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange’s Fee Schedule Trading and Markets
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend the Criteria for Underlying Securities Trading and Markets