What's New

Date Title Division/Office
Commission Opinions and Adjudicatory Order: Perella Weinberg Partners LP; Tudor, Pickering, Holt & Co. Securities LLC; and Perella Weinberg Partners Capital Management LP Enforcement
Litigation Release - Milan V. Patel Enforcement
Administrative Proceeding - James G. Herring, Jr. Enforcement
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 402, Criteria for Underlying Securities, Exchange Rule 307, Position Limits... Trading and Markets
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 402, Criteria for Underlying Securities to List and Trade Options on the Grayscale Ethereum Trust, the... Trading and Markets
Administrative Proceeding - Sean P. Tafaro, CPA Enforcement
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 402, Criteria for Underlying Securities, to List and Trade Options on the Grayscale Ethereum Trust... Trading and Markets
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule Equity 7, Section 3, to Eliminate the Market Data Revenue Rebate Program Trading and Markets
Commission Opinions and Adjudicatory Order: Bitclave PTE Ltd Enforcement
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change to Amend Various Provisions of Exchange Rule 14.11 Trading and Markets
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Money Market Instruments Modernization Trading and Markets
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule by Introducing an NBBO Setter Program Under Proposed New Fee Code SS and Introducing a Definitions... Trading and Markets
Remarks at the Crypto Task Force Roundtable on Crypto Trading Agency-Wide
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 3120 (Position Limits), 5020 (Criteria for Underlying Securities), and 5055 (FLEX Equity Options) to Permit the Listing an Trading and Markets
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change to amend Rule 5055 to allow for cash settlement of certain FLEX Equity Options Trading and Markets
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rules to List and Trade Options on the Grayscale Ethereum Trust ETF, the Grayscale Ethereum Mini Trust ETF... Trading and Markets
Compliance and Disclosure Interpretations: Update Corporation Finance
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of Proposed Rule Change to Amend BOX Rules 3120 (Position Limits), 5020 (Criteria for Underlying Securities), and 5055 (FLEX Equity Options) to Permit the Listing and Trading of Options... Trading and Markets
Litigation Release - Alberto Saniger Mantinan, a/k/a Albert Saniger Enforcement
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rules to List and Trade Options on the Grayscale Ethereum Trust ETF, the Grayscale Ethereum Mini Trust ETF, an Trading and Markets

Last Reviewed or Updated: June 28, 2024