What's New

Date Title Division/Office
Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change for Transaction Submission Amendments. Trading and Markets
Self-Regulatory Organizations; New York Stock Exchange LLC; Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Sections 303A.00 and 303A.07 of the NYSE Listed Company Manual Trading and Markets
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Provide Transparency to The Process for Selection of An Initial Trading Date Trading and Markets
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Rules its Rules to Permit the Listing of Binary Options Overlying Key Performance Indicators Trading and Markets
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change to Amend Its Rules to Permit the Listing of Binary Options Overlying Key Performance Indicators Trading and Markets
Commission Opinion and Adjudicatory Order - LZG International, Inc. Enforcement
Self-Regulatory Organizations; NYSE American LLC; Order Approving a Proposed Rule Change to Amend Sections 1003 and 1009 of the NYSE American Company Guide 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 Trading and Markets
Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE American Options Fee Schedule to Lower Certain Initiating Participant Rebates in Customer Best Execution Auctions Trading and Markets
Commission Opinions and Adjudicatory Orders: Raymond J. Lucia Companies, Inc. and Lucia, Raymond J., Sr. Enforcement
Commission Opinion and Adjudicatory Order - Eric Christopher Cannon Enforcement
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change Amending Section 341 of the NYSE American Company Guide to Address MultiStep Transactions Trading and Markets
Statement on Proposing Release for Executive Compensation Disclosure Reform Agency-Wide
SEC Proposes Executive and Director Compensation Disclosure Reforms Corporation Finance
Opinions and Adjudicatory Order: Christopher Byungin Lee (Opinion of the Commission) Enforcement
Mo’ Data, Mo’ Problems Trading and Markets
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Warrant Performance Incentive Program Trading and Markets
Self-Regulatory Organizations; ; The Depository Trust Company; Notice of Filing of Partial Amendment No. 1 and Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Establish and Implement AnnounceDirect for the... Trading and Markets
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; 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