USUnited StatesCommission

US Securities and Exchange Commission

Short name: SEC

Issuer climate disclosure rules, materiality, sustainability-linked instruments.

Items tracked

42

Last 30 days

0

Canonical site

www.sec.gov
USSECFR-2026-21621NewsIn force

Neostellar Capital Corp., et al.

6 hours ago
USSECFR-2026-21577NewsIn force

Notice of Intention To Cancel Registrations of Certain Transfer Agents

6 hours ago
USSECFR-2026-21576NewsIn force

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.33(g) and Rule 5.34

6 hours ago
USSECFR-2026-21575NewsIn force

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify Listing Rules Regarding Dually-Listed Securities

6 hours ago
USSECFR-2026-21574NewsIn force

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make a Non-Substantive Correction to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations

6 hours ago
USSECFR-2026-21573NewsIn force

Self-Regulatory Organizations; Miami International Securities Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Non-Substantive Edits to Exchange Rule 1703, Consolidated Audit Trail Compliance Rule-Industry Member Data Reporting

6 hours ago
USSECFR-2026-21572NewsIn force

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 and Rule 19.4 To Establish Generic Listing Criteria and Continued Listing Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets and To Permit the Listing of Options on Exchange-Traded Funds

6 hours ago
USSECFR-2026-21571NewsIn force

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize NYSE Rule 3220 With Certain Changes by FINRA

6 hours ago
USSECFR-2026-21562NewsIn force

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rules 15Ba1-1 to 15Ba1-8-Registration of Municipal Advisors and Forms MA, MA-I, MA-W, and MA-NR

6 hours ago
USSECFR-C1-2026-20311NewsIn force

Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status

1 day ago
USSECFR-2026-21482NewsIn force

Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Amend the CMESC Risk Management Framework (“RMF”) Related to CMESC's Default Management Practices

1 day ago
USSECFR-2026-21481NewsIn force

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.1(a)(3) To Describe When Unpriced Orders Are Eligible for Execution and To Amend Rule 11.6(q)(2) To Clarify the Expiration of Day Orders Entered During the Overnight Trading Session or Order Acceptance Queueing Time

1 day ago
USSECFR-2026-21480NewsIn force

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

1 day ago
USSECFR-2026-21479NewsIn force

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Offer Complimentary Products and Services

1 day ago
USSECFR-2026-21495NewsIn force

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-2

1 day ago
USSECFR-C1-2026-20360NewsIn force

Interval Fund Modernization; Expansion of Multiple Share Class to Registered Closed-End Management Investment Companies and Business Development Companies

2 days ago
USSECFR-2026-21393NewsIn force

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend FINRA Rule 2210 (Communications With the Public)

2 days ago
USSECFR-2026-21246NewsIn force

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Section 2

3 days ago
USSECFR-2026-21244NewsIn force

Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Warrant Performance Incentive Program

3 days ago
USSECFR-2026-21245NewsIn force

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility To Amend Section V. Manual Transaction Fees of the Fee Schedule To Increase QOO and FOO Order Fees in Non-Penny Interval Classes and To Increase the Floor Broker Enhanced Rebate in Non-Penny Interval Classes

3 days ago
USSECFR-2026-21247NewsIn force

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Section 4 (Multiply Listed Options Fees)

3 days ago
USSECFR-2026-21128NewsIn force

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 and Rule 19.4 To Establish Generic Listing Criteria and Continued Listing Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets and To Permit the Listing of Options on Exchange-Traded Funds

6 days ago
USSECFR-2026-21136NewsIn force

Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Amend Rule 410, Rule 101, the Capped Liquidity Facility Procedure, and the Liquidity Risk Management Policy

6 days ago
USSECFR-2026-21149NewsIn force

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Permit the Listing of Binary Options Overlying Key Performance Indicators Reported by Certain Issuers of Stock

6 days ago
USSECFR-2026-21129NewsIn force

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.270 (Clearly Erroneous Executions) in Light of the Commission's Approval of Overnight Protected Bands for 23/5 Trading

6 days ago
USSECFR-2026-21135NewsIn force

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts

6 days ago
USSECFR-2026-21134NewsIn force

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism

6 days ago
USSECFR-2026-21130NewsIn force

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market-Wide Speed Bump and Kill Switch

6 days ago
USSECFR-2026-21131NewsIn force

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market-Wide Speed Bump and the Kill Switch

6 days ago
USSECFR-2026-21137NewsIn force

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4120 To Set Forth Specific Requirements for Halting and Opening Trading in Exchange-Traded Products During 23/5 Trading

6 days ago
USSECFR-2026-21216NewsIn force

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-17f-2

6 days ago
USSECFR-2026-21180NewsIn force

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-7 and Form N-MFP

6 days ago
USSECFR-2026-21133NewsIn force

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify the Priority Customer Rebate Program Table for Certain Transactions in Complex Orders

6 days ago
USSECFR-2026-21132NewsIn force

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the LTSE Fee Schedule To Add an Incentive Program for Market Makers

6 days ago
USSECFR-2026-21203NewsIn force

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-22

6 days ago
USSECFR-2026-21126NewsIn force

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements

6 days ago
USSECFR-2026-21204NewsIn force

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-3

6 days ago
USSECFR-2026-21215NewsIn force

Stellus Capital Investment Corporation, et al.

6 days ago
USSECFR-2026-21127NewsIn force

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule

6 days ago
USSECFR-2026-21037NewsIn force

Investment Company Cross Trading

The Securities and Exchange Commission (the "Commission") is proposing to amend the rule under the Investment Company Act of 1940 (the "Investment Company Act") that permits securities transactions between a registered investment company and certain affiliates (referred to as "cross trades"), subject to conditions. The proposed amendments are designed to expand the scope of securities that are eligible for cross trading, modernize the rule's conditions, and enhance investor protection. The Commission also proposes to require aggregated reporting of trading activity and cross trades in Form N- PORT and Form N-MFP.

1 week ago
USSECFR-2026-21082NewsIn force

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-8B-2

1 week ago
USSECFR-2026-21029NewsIn force

Clearlake Private Markets Fund, et al.

1 week ago
USSECFR-2026-20921NewsIn force

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a Restricted Stock Units Incentive Program

1 week ago
USSECFR-2026-20936NewsIn force

RTW Biotech Growth Fund and RTW Investments, LP

1 week ago
USSECFR-2026-20924NewsIn force

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule by Introducing Step-Up Tier 1

1 week ago
USSECFR-2026-20923NewsIn force

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the TXSE Fee Schedule To Modify the Transaction Fee Applicable to Securities Priced at or Above $1.00 That Remove Displayed Liquidity From the TXSE Book

1 week ago
USSECFR-2026-20922NewsIn force

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Shared Listings Program on the Exchange

1 week ago
USSECFR-2026-20797NewsIn force

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.17 (Clearly Erroneous Executions)

1 week ago
USSECFR-2026-20803NewsIn force

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Add IEX Exchange, Inc. (“IEX”) to Fee Code RP

1 week ago
USSECFR-2026-20808NewsIn force

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rule 5505

1 week ago
USSECFR-2026-20806NewsIn force

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 11, Rule 11890 (Clearly Erroneous Transactions)

1 week ago
USSECFR-2026-20801NewsIn force

Self-Regulatory Organizations; MEMX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules for the Listing and Trading of Securities Event Contracts on the Exchange

1 week ago
USSECFR-2026-20799NewsIn force

Joint Industry Plan; Notice of Filing and Order of Summary Effectiveness on a Temporary Basis Not To Exceed 120 Days of Proposed Twenty-Ninth Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Revise the Time for Calculating the Consolidated Price in Connection With Overnight Trading

1 week ago
USSECFR-2026-20796NewsIn force

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15 (Clearly Erroneous Executions)

1 week ago
USSECFR-2026-20811NewsIn force

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program

1 week ago
USSECFR-2026-20793NewsIn force

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program

1 week ago
USSECFR-2026-20794NewsIn force

Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt Standards for Establishing Cross-Margin Arrangements and Adopt a Cross-Margin Arrangement With Chicago Mercantile Exchange Inc.

1 week ago
USSECFR-2026-20810NewsIn force

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program

1 week ago
USSECFR-2026-20805NewsIn force

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3312 (Clearly Erroneous Transactions)

1 week ago
USSECFR-2026-20800NewsIn force

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5740 Regarding Information Circular Requirements

1 week ago
USSECFR-2026-20798NewsIn force

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.17 (Clearly Erroneous Executions)

1 week ago
USSECFR-2026-20809NewsIn force

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program

1 week ago
USSECFR-2026-20804NewsIn force

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5740 Regarding Information Circular Requirements

1 week ago
USSECFR-2026-20802NewsIn force

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Add IEX Exchange, Inc. (“IEX”) to Fee Code RP

1 week ago
USSECFR-2026-20819NewsIn force

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-54C

1 week ago
USSECFR-2026-20807NewsIn force

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 11, Rule 11890 (Clearly Erroneous Transactions)

1 week ago
USSECFR-2026-20795NewsIn force

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Regarding the Global Trading Hours (“GTH”) and Curb Trading Hours Sessions

1 week ago
USSECFR-2026-20706NewsIn force

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

2 weeks ago
USSECFR-2026-20712NewsIn force

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Proprietary Market Data Fee Schedule To Adopt Fees for One-Minute Intra-Day Volume Reports

2 weeks ago
USSECFR-2026-20711NewsIn force

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Transaction Fees at Nasdaq Equity 7, Section 118, To Establish a Tier of Credit for Non-Displayed Orders (Other Than Supplemental Orders) That Provide Liquidity

2 weeks ago
USSECFR-2026-20709NewsIn force

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15 (Clearly Erroneous Executions)

2 weeks ago
USSECFR-2026-20772NewsIn force

DPP Investors 2025 LP and DLA Piper LLP (US)

2 weeks ago
USSECFR-2026-20714NewsIn force

Cboe Clear U.S., LLC; Notice of Filing of an Amendment to Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934

2 weeks ago
USSECFR-2026-20713NewsIn force

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Proprietary Market Data Fee Schedule To Adopt Fees for One-Minute Intra-Day Volume Reports

2 weeks ago
USSECFR-2026-20708NewsIn force

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Amend the IEX Equities Fee Schedule

2 weeks ago
USSECFR-2026-20710NewsIn force

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Modify the Required Criteria To Qualify for the Reduced Incremental Fee

2 weeks ago
USSECFR-2026-20707NewsIn force

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

2 weeks ago
USSECFR-2026-20616NewsIn force

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation SE

2 weeks ago
USSECFR-2026-20600NewsIn force

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.29 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week

2 weeks ago
USSECFR-2026-20670NewsIn force

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-8 and Form N-CR

2 weeks ago
USSECFR-2026-20596NewsIn force

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operative Date of SR-Nasdaq-2026-004

2 weeks ago
USSECFR-2026-20604NewsIn force

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3101 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week

2 weeks ago
USSECFR-2026-20602NewsIn force

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.23 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week

2 weeks ago
USSECFR-2026-20601NewsIn force

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.30 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week

2 weeks ago
USSECFR-2026-20592NewsIn force

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22(g)

2 weeks ago
USSECFR-2026-20599NewsIn force

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Amend the Exchange's Fee Schedule

2 weeks ago
USSECFR-2026-20606NewsIn force

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4121 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week

2 weeks ago
USSECFR-2026-20605NewsIn force

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4121 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week

2 weeks ago
USSECFR-2026-20597NewsIn force

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Wide Risk Protection

2 weeks ago
USSECFR-2026-20594NewsIn force

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8(d)

2 weeks ago
USSECFR-2026-20593NewsIn force

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22(g)

2 weeks ago
USSECFR-2026-20671NewsIn force

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 2a-7

2 weeks ago
USSECFR-2026-20669NewsIn force

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-19 and Form X-17A-19

2 weeks ago
USSECFR-2026-20603NewsIn force

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.24(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week

2 weeks ago
USSECFR-2026-20598NewsIn force

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Wide Risk Protection

2 weeks ago
USSECFR-2026-20595NewsIn force

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8(d)

2 weeks ago
USSECFR-2026-20502NewsIn force

Manning & Napier Fund, Inc., et al.

2 weeks ago
USSECFR-2026-20507NewsIn force

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade Shares of the 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 Trust, Under BZX Rule 14.11(e)(4) (Commodity-Based Trust Shares)

2 weeks ago
USSECFR-2026-20506NewsIn force

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Exempt Specified Collective Trust Funds From FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue Allocations and Distributions)

2 weeks ago
USSECFR-2026-20504NewsIn force

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 1328, Influencing or Rewarding Employees of Others

2 weeks ago