What's New

Date Title Division/Office
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
Administrative Proceeding - GlennCap LLC and Jonathan Vincent Glenn Enforcement
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, to Amend Section 1003 of the NYSE American Company Guide Trading and Markets
Self-Regulatory Organizations; New York Stock Exchange 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 Section 802.01C of the NYSE Listed Company Manual Trading and Markets
Updated Statement Regarding the Division of Corporation Finance’s Role in the Exchange Act Rule 14a-8 Process Corporation Finance
Litigation Release - Leor Moshe, Jacob Goldman, Isaac Odes Enforcement
Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change to Amend the Redemptions Service Guide and the Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Trading and Markets
Investment Company Act Notice - Parvin Decentralized Fund and Parvin Fund Management, LLC Investment Management
Investment Company Act Notice - Northern Lights Fund Trust and Ocean Park Asset Management, LLC Investment Management
Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Amendments to the CMESC Stress Testing & Guaranty Fund Sizing Policy (or the “Policy”) and Proposed Amendments to Rule 402(b) Trading and Markets
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Relating to The Options Clearing Corporation’s Proposal to Amend the Evergreen Provisions Relating to its Revolving Credit Facility. Trading and Markets
SEC Charges Toms River Trio in Connection with Alleged $47 Million Fraud Targeting Orthodox Jewish Communities Enforcement
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change to Enhance the Supplemental Liquidity Deposit Rules, Methodology and Processes Trading and Markets
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change to Amend Sections 303A.00 and 303A.07 of the NYSE Listed Company Manual Trading and Markets
Administrative Proceeding - J.J.B. Hilliard, W.L. Lyons, LLC Enforcement