Agency Archive
Securities and Exchange Commission
Recent Federal Register documents and issues associated with this agency.
Recent Documents
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-17f-2 Friday, October 16, 2026 91 FR 65816
- Stellus Capital Investment Corporation, et al. Friday, October 16, 2026 91 FR 65820
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-3 Friday, October 16, 2026 91 FR 65813
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-22 Friday, October 16, 2026 91 FR 65827
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-7 and Form N-MFP Friday, October 16, 2026 91 FR 65802
- 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 Friday, October 16, 2026 91 FR 65854
- 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 Friday, October 16, 2026 91 FR 65833
- 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 Friday, October 16, 2026 91 FR 65821
- 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 Friday, October 16, 2026 91 FR 65817
- 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 Friday, October 16, 2026 91 FR 65818
- 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 Friday, October 16, 2026 91 FR 65806
- 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 Friday, October 16, 2026 91 FR 65827
- 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 Friday, October 16, 2026 91 FR 65836
- 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 Friday, October 16, 2026 91 FR 65831
- 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 Friday, October 16, 2026 91 FR 65838
- 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 Friday, October 16, 2026 91 FR 65809
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Friday, October 16, 2026 91 FR 65804
- 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 Friday, October 16, 2026 91 FR 65814
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-8B-2 Thursday, October 15, 2026 91 FR 65611
- Investment Company Cross Trading Thursday, October 15, 2026 91 FR 65622
- Clearlake Private Markets Fund, et al. Thursday, October 15, 2026 91 FR 65610
- RTW Biotech Growth Fund and RTW Investments, LP Wednesday, October 14, 2026 91 FR 65275
- 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 Wednesday, October 14, 2026 91 FR 65272
- 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 Wednesday, October 14, 2026 91 FR 65283
- 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 Wednesday, October 14, 2026 91 FR 65276
- 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 Wednesday, October 14, 2026 91 FR 65279
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-54C Tuesday, October 13, 2026 91 FR 64971
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Tuesday, October 13, 2026 91 FR 65007
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Tuesday, October 13, 2026 91 FR 64986
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Tuesday, October 13, 2026 91 FR 64998
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rule 5505 Tuesday, October 13, 2026 91 FR 65017
- 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) Tuesday, October 13, 2026 91 FR 64996
- 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) Tuesday, October 13, 2026 91 FR 64967
- 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) Tuesday, October 13, 2026 91 FR 64975
- 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 Tuesday, October 13, 2026 91 FR 64957
- 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 Tuesday, October 13, 2026 91 FR 64965
- 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 Tuesday, October 13, 2026 91 FR 64970
- 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 Tuesday, October 13, 2026 91 FR 65022
- 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 Tuesday, October 13, 2026 91 FR 65019
- 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 Tuesday, October 13, 2026 91 FR 65016
- 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) Tuesday, October 13, 2026 91 FR 64972
- 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) Tuesday, October 13, 2026 91 FR 64951
- 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) Tuesday, October 13, 2026 91 FR 64954
- 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 Tuesday, October 13, 2026 91 FR 64960
- 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. Tuesday, October 13, 2026 91 FR 64995
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Tuesday, October 13, 2026 91 FR 64978
- DPP Investors 2025 LP and DLA Piper LLP (US) Friday, October 9, 2026 91 FR 64713
- 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 Friday, October 9, 2026 91 FR 64709
- 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 Friday, October 9, 2026 91 FR 64717
- 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 Friday, October 9, 2026 91 FR 64714
- 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 Friday, October 9, 2026 91 FR 64704
- 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 Friday, October 9, 2026 91 FR 64723
- 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) Friday, October 9, 2026 91 FR 64727
- 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 Friday, October 9, 2026 91 FR 64710
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Friday, October 9, 2026 91 FR 64706
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Friday, October 9, 2026 91 FR 64721
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 2a-7 Thursday, October 8, 2026 91 FR 64415
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-8 and Form N-CR Thursday, October 8, 2026 91 FR 64430
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-19 and Form X-17A-19 Thursday, October 8, 2026 91 FR 64428
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation SE Thursday, October 8, 2026 91 FR 64446
- 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 Thursday, October 8, 2026 91 FR 64420
- 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 Thursday, October 8, 2026 91 FR 64439
- 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 Thursday, October 8, 2026 91 FR 64411
- 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 Thursday, October 8, 2026 91 FR 64418
- 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 Thursday, October 8, 2026 91 FR 64425
- 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 Thursday, October 8, 2026 91 FR 64437
- 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 Thursday, October 8, 2026 91 FR 64423
- 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 Thursday, October 8, 2026 91 FR 64431
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Wide Risk Protection Thursday, October 8, 2026 91 FR 64413
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Wide Risk Protection Thursday, October 8, 2026 91 FR 64428
- 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 Thursday, October 8, 2026 91 FR 64442
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8(d) Thursday, October 8, 2026 91 FR 64416
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8(d) Thursday, October 8, 2026 91 FR 64446
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22(g) Thursday, October 8, 2026 91 FR 64448
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22(g) Thursday, October 8, 2026 91 FR 64444
- 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) Wednesday, October 7, 2026 91 FR 64207
- 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) Wednesday, October 7, 2026 91 FR 64205
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Listing Standards and Withdrawal Criteria for Options on Commodity-Based Trusts Holding a Single Crypto Asset or Multiple Crypto Assets and To Amend Rules Regarding Position and Exercise Limits for Options on iShares Bitcoin Trust ETF Wednesday, October 7, 2026 91 FR 64194
- 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 Wednesday, October 7, 2026 91 FR 64193
- Manning & Napier Fund, Inc., et al. Wednesday, October 7, 2026 91 FR 64209
- Investment Adviser Performance-Based Compensation Modernization Tuesday, October 6, 2026 91 FR 63676
- Adviser and Regulated Fund Custody Rules; Crypto Custody Rules Tuesday, October 6, 2026 91 FR 63870
- Self-Regulatory Organizations; The Options Clearing Corporation; Order Setting Aside Action by Delegated Authority and Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, by The Options Clearing Corporation Concerning Methodology To Allocate Clearing Fund Deposit Requirements Among Its Clearing Members To Better Align the Allocation With the Sizing of the Clearing Fund so Stress Based Risk is Fairly Allotted to Market Participants That Expose OCC to Such Stress Risk Tuesday, October 6, 2026 91 FR 63626
- Adoption of Updated EDGAR Filer Manual Tuesday, October 6, 2026 91 FR 63476
- Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by ICE Futures U.S., Inc. Tuesday, October 6, 2026 91 FR 63609
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete the Approved Person Registration Category and Adopt a New Definition of Associated Person Tuesday, October 6, 2026 91 FR 63616
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Transaction Fee Applicable to Orders That Execute in Auctions on the Exchange Tuesday, October 6, 2026 91 FR 63624
- Self-Regulatory Organizations; NYSE Arca, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules 5.32-O and 5.35-O Tuesday, October 6, 2026 91 FR 63605
- Self-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rules 903G and 906G Tuesday, October 6, 2026 91 FR 63623
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 22.6 Tuesday, October 6, 2026 91 FR 63614
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 22.6 Tuesday, October 6, 2026 91 FR 63612
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5.52 Tuesday, October 6, 2026 91 FR 63609
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Supplementary Material .04 and .05 to IEX Rule 23.150(h) To Change Three of the Variables in the Options Risk Parameter Quote Instability Calculation, Each Within the Permitted Ranges Specified Therein Tuesday, October 6, 2026 91 FR 63606
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 0-5 Tuesday, October 6, 2026 91 FR 63611
- Sunshine Act Meetings Monday, October 5, 2026 91 FR 63344
- Interval Fund Modernization; Expansion of Multiple Share Class to Registered Closed-End Management Investment Companies and Business Development Companies Monday, October 5, 2026 91 FR 63388
- Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status Monday, October 5, 2026 91 FR 63314
- Potential Designation of Passage of an Accredited Investor Exam To Be Developed by FINRA as Qualifying Natural Persons for Accredited Investor Status Monday, October 5, 2026 91 FR 63335
- Potential Designation of Certified Financial Planner Certification as Qualifying Natural Persons for Accredited Investor Status Monday, October 5, 2026 91 FR 63345
- Potential Designation of U.S. Certified Public Accountant License as Qualifying Natural Persons for Accredited Investor Status Monday, October 5, 2026 91 FR 63368
- Potential Designations of the Investment Banking Representative License (Series 79) and the Research Analyst License (Series 86 and Series 87) as Qualifying Natural Persons for Accredited Investor Status Monday, October 5, 2026 91 FR 63357
- Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend LTSE Rule 15.120 To Expand the Permitted Collection Arrangements Monday, October 5, 2026 91 FR 63352
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC Monday, October 5, 2026 91 FR 63325
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC Monday, October 5, 2026 91 FR 63322
- Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Risk Controls for Equity Members in Connection With the Upcoming Expansion by Other National Securities Exchanges and the Appliable Securities Information Processors of Their Hours to 23 Hours per Day, 5 Days per Week Monday, October 5, 2026 91 FR 63365
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Modernize the Direct Registration System Monday, October 5, 2026 91 FR 63327
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC Monday, October 5, 2026 91 FR 63356
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC Monday, October 5, 2026 91 FR 63324
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of “Nasdaq BX, Inc.” to “Nasdaq Texas, LLC” Monday, October 5, 2026 91 FR 63354
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule Equity 2, Section 9 Regarding Clearing and Settlement in Connection With 23-5 Trading Monday, October 5, 2026 91 FR 63333
- SLR Secured Lending Partners, LLC and SLR Secured Specialty Lending Fund Monday, October 5, 2026 91 FR 63323
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 498 Friday, October 2, 2026 91 FR 62798
- Commission Quorum Requirement Friday, October 2, 2026 91 FR 62654
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework Friday, October 2, 2026 91 FR 62763
- Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update the LTSE Market Maker Rules To Provide Mechanisms That Would Allow the Exchange To Initiate and Operate a Market Maker Program Friday, October 2, 2026 91 FR 62767
- Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework Friday, October 2, 2026 91 FR 62799
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Risk Management Framework Friday, October 2, 2026 91 FR 62777
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend NYSE Arca Rule 5.32-O Friday, October 2, 2026 91 FR 62773
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE American Rule 903G Friday, October 2, 2026 91 FR 62793
- Self-Regulatory Organizations; North American Derivatives Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Rules Governing Contract Specifications for Perpetual Cash-Settled Single Stock Security Futures Friday, October 2, 2026 91 FR 62786
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Rule 5000 Series to Transition to a Primary Listing Venue Friday, October 2, 2026 91 FR 62781
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 18f-3 Thursday, October 1, 2026 91 FR 62579
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c2-1 Thursday, October 1, 2026 91 FR 62569
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 10b-17 Thursday, October 1, 2026 91 FR 62571
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c1-5 Thursday, October 1, 2026 91 FR 62584
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To amend the CMESC Stress Testing & Guaranty Fund Sizing Policy and Proposed Amendments to Rule 402(b) Thursday, October 1, 2026 91 FR 62580
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rule 20.140A (Select Provisions of Options Listing Procedures Plan) To Apply Uniform Objective Standards to the Range of Options Series Exercise (or Strike) Prices Available for Trading on the Exchange Thursday, October 1, 2026 91 FR 62569
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 21.150 To Eliminate the Minimum Roster Requirement on the Obvious Error Panel Thursday, October 1, 2026 91 FR 62566
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Listing Fees for Exchange Traded Products and Performance Standards and Daily Stipends Paid by the Exchange for Its Lead Market Maker Program Thursday, October 1, 2026 91 FR 62572
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 10c-1a Wednesday, September 30, 2026 91 FR 61888
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-11 Wednesday, September 30, 2026 91 FR 61901
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 13f-2-Short Position and Short Activity Reporting by Institutional Investment Managers Wednesday, September 30, 2026 91 FR 61896
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c1-6 Wednesday, September 30, 2026 91 FR 61886
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Partial Amendment No. 1, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Modify the GSD Rules To Adopt a U.S. Treasury Clearing Trade Submission Requirement Wednesday, September 30, 2026 91 FR 61904
- Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish a Monthly Review of Professional Orders Wednesday, September 30, 2026 91 FR 61901
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Sections 303A.00 and 303A.07 of the NYSE Listed Company Manual Wednesday, September 30, 2026 91 FR 61907
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 To Establish Fees for Liquid-Cooled Cabinets Wednesday, September 30, 2026 91 FR 61897
- Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.350 Regarding Information Circular Requirements Wednesday, September 30, 2026 91 FR 61890
- Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 To Establish Fees for Liquid-Cooled Cabinets Wednesday, September 30, 2026 91 FR 61882
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 To Establish Fees for Liquid-Cooled Cabinets Wednesday, September 30, 2026 91 FR 61892
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 To Establish Fees for Liquid-Cooled Cabinets Wednesday, September 30, 2026 91 FR 61907
- ABX Longevity Growth and Income Fund and ABL Wealth Advisors, LLC Wednesday, September 30, 2026 91 FR 61887
- Deregistration Under Section 8(f) of the Investment Company Act of 1940 Wednesday, September 30, 2026 91 FR 61892
- Macquarie Wealth Advisers, LLC et al. Wednesday, September 30, 2026 91 FR 61887
- Sunshine Act Meetings Tuesday, September 29, 2026 91 FR 61477
- Notice of an Application of Cboe Clear U.S., LLC for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 Regarding the Treatment of Customer Margin Under Item 13 and Note F of Exhibit A to Rule 15c3-3 Tuesday, September 29, 2026 91 FR 61528
- Sunshine Act Meetings Tuesday, September 29, 2026 91 FR 61477
- Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the LCH SA CaLM Minimum Cash Collateral Requirement and to LCH Liquidity Risk Policy Tuesday, September 29, 2026 91 FR 61482
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, September 29, 2026 91 FR 61497
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Establish and Implement AnnounceDirect for the Submission of Corporate Action Announcements Tuesday, September 29, 2026 91 FR 61520
- Notice of Intention To Cancel Registration of Certain Municipal Advisors Pursuant to Section 15b(c)(3) of the Securities Exchange Act of 1934 Tuesday, September 29, 2026 91 FR 61494
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5050 To Amend the Short Term Option Series Program With Respect to Qualifying Securities Tuesday, September 29, 2026 91 FR 61487
- 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 Establish a Fee Schedule for Certain Non-Transaction Fees Applicable to Participants Trading Options Contracts on and Products and Services To Be Provided by the Exchange Tuesday, September 29, 2026 91 FR 61530
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 To Establish Fees for Liquid-Cooled Cabinets Tuesday, September 29, 2026 91 FR 61478
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2621 (Clearly Erroneous Executions) Tuesday, September 29, 2026 91 FR 61526
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 To Establish Fees for Liquid-Cooled Cabinets Tuesday, September 29, 2026 91 FR 61545
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Cboe Bitcoin U.S. ETF Index Options (“CBTX”) and Cboe Mini Bitcoin U.S. ETF Index Options (“MBTX”) Standard Transaction Fees Tuesday, September 29, 2026 91 FR 61494
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Investment Company Act Form N-17f-1, Certificate of Accounting of Securities and Similar Investments of a Management Investment Company in the Custody of Members of National Securities Exchanges Monday, September 28, 2026 91 FR 61264
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30b2-1 Monday, September 28, 2026 91 FR 61267
- Sunshine Act Meeting Monday, September 28, 2026 91 FR 61268
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule To Amend the Exchange's Port Fees Monday, September 28, 2026 91 FR 61268
- Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by the Options Clearing Corporation Concerning Amendments to Its Rules To Establish a Procedures-Based Approach for Determining Product Eligibility During Overnight or Extended Trading Sessions Utilizing Its Current ETH Risk Management Framework Monday, September 28, 2026 91 FR 61257
- Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Adopt Transaction Fees and Rebates, Routing Fees, and Definitions Monday, September 28, 2026 91 FR 61260
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Amend the Exchange's Port Fees Monday, September 28, 2026 91 FR 61265
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Arca Rule 2.1210 Friday, September 25, 2026 91 FR 61016
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE Arca Options Fee Schedule To Modify the Broker QCC Credit and Manual Billable Rebate Program Friday, September 25, 2026 91 FR 61006
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend NYSE American Rule 2.1210 Friday, September 25, 2026 91 FR 61009
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Rule 1210 Friday, September 25, 2026 91 FR 61000
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE National Rule 2.1210 Friday, September 25, 2026 91 FR 61013
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NYSE Texas Article 6, Rule 13 Friday, September 25, 2026 91 FR 61002
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.18 Friday, September 25, 2026 91 FR 60996
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c6-2 Friday, September 25, 2026 91 FR 61011
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 613 of Regulation NMS Friday, September 25, 2026 91 FR 61004
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 608 Friday, September 25, 2026 91 FR 60998
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c3-3 Friday, September 25, 2026 91 FR 60999
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-10 Friday, September 25, 2026 91 FR 61013
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 31a-2 Friday, September 25, 2026 91 FR 61015
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17Ac3-1 and Form TA-W Friday, September 25, 2026 91 FR 61005
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17f-2(e) Friday, September 25, 2026 91 FR 61002
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-4(b)(17) Thursday, September 24, 2026 91 FR 60665
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 101 of Regulation M Thursday, September 24, 2026 91 FR 60661
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Processing of Orders During a Regulatory Halt and Certain Aspects of the Exchange's IPO Auctions, Halt Auctions, and Volatility Closing Auctions Thursday, September 24, 2026 91 FR 60665
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend the Criteria for Underlying Securities Thursday, September 24, 2026 91 FR 60669
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Accommodate Stop-Limit Complex Orders and To Establish Stop Complex Order Auctions as a New Type of Auction Mechanism Thursday, September 24, 2026 91 FR 60661
- Self-Regulatory Organizations; Coinbase Derivatives, LLC; Notice of Filing of a Proposed Rule Change Relating to Customer Margin Requirements for Security Futures Products Thursday, September 24, 2026 91 FR 60670
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10 Clearly Erroneous Executions Thursday, September 24, 2026 91 FR 60662
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10 Clearly Erroneous Executions Thursday, September 24, 2026 91 FR 60673
- Self-Regulatory Organizations; KalshiEX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing Standards for Security Futures Products Wednesday, September 23, 2026 91 FR 60467
- Self-Regulatory Organizations; Bitnomial Exchange, LLC; Notice of a Filing of a Proposed Rule Change Relating to Security Futures Product Listing Standards, Customer Margin and Related Rules Wednesday, September 23, 2026 91 FR 60438
- Self-Regulatory Organizations; Coinbase Derivatives, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Adoption of Coinbase Derivatives, LLC's Rules Governing Cash Settled Futures on Individual Equity Securities and Exchange-Traded Fund Shares, Including Perpetual Single-Stock Futures Wednesday, September 23, 2026 91 FR 60448
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10-E Clearly Erroneous Executions Wednesday, September 23, 2026 91 FR 60424
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13(a) To Replace the Term “Registered Clearing Agency” With “Qualified Clearing Agency” and Clarify That a Non-Member May Act as a Clearing Firm Wednesday, September 23, 2026 91 FR 60433
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15(a) To Clarify That a Non-Member May Act as a Clearing Firm Wednesday, September 23, 2026 91 FR 60458
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13(a) To Replace the Term “registered clearing agency” With “Qualified Clearing Agency;” Clarify That a Non-Member May Act as a Clearing Firm; and Require That a Member Seeking To Participate in the Exchange's Overnight Trading Session Maintain a Separate, Effective Letter of Guarantee or Authorization From a Clearing Firm Wednesday, September 23, 2026 91 FR 60461
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 11.15(a) To Clarify That a Non-Member May Act as a Clearing Firm Wednesday, September 23, 2026 91 FR 60464
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Implementation Schedule of Amendments To Schedule A to the FINRA By-Laws Adopted in SR-FINRA-2024-019 as Modified in SR-FINRA-2025-007 Wednesday, September 23, 2026 91 FR 60427
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Pause Assessment of the Trading Activity Fee Wednesday, September 23, 2026 91 FR 60435
- Order Granting Temporary Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934, From the Definition of “Exchange” in Section 3(a)(1) of the Exchange Act for the Use of Certain Distributed Ledger Trading Venues for Tokenized NMS Stocks and From the Definition of “Dealer” in Section 3(a)(5) of the Exchange Act for Certain Liquidity Providers for Tokenized NMS Stocks, and Request for Comment Tuesday, September 22, 2026 91 FR 60168
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Step Up Mechanism Auctions Tuesday, September 22, 2026 91 FR 60184
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Options 10, Section 27, Influencing or Rewarding Employees of Others Tuesday, September 22, 2026 91 FR 60186
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10 Clearly Erroneous Executions Tuesday, September 22, 2026 91 FR 60165
- Rescission of Rule 14a-8's Federal Regulation of Shareholder Proposals and Amendments to Rule 14a-4 Monday, September 21, 2026 91 FR 59904
- Proxy Solicitation Modernization Monday, September 21, 2026 91 FR 59852
- Sunshine Act Meetings Monday, September 21, 2026 91 FR 59822
- Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail To Add MX2 LLC as a Participant Monday, September 21, 2026 91 FR 59822
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend the Exchange's Rules at Equity 1 and Equity 4 To Enable the Exchange To Become a Primary Listing Venue Monday, September 21, 2026 91 FR 59815
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Address Internal Inconsistencies in Rule 22.260 in Advance of the Launch of IEX Options Monday, September 21, 2026 91 FR 59824
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Partial Amendment No. 1, by the Options Clearing Corporation Concerning the Payment of Interest on Margin Cash Monday, September 21, 2026 91 FR 59818
- Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by North American Derivatives Exchange, Inc. Monday, September 21, 2026 91 FR 59823
- Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend MSRB Rule G-27 to Exclude Certain Public Finance Activities From the Term “Structuring of Public Offerings or Private Placements,” Extend the Length of the Exclusion for Non-Primary Residences From Municipal Branch Office Designation, and Make a Technical Update to the Rule's Title Monday, September 21, 2026 91 FR 59828
- Wasatch Funds Trust and Wasatch Advisors LP Monday, September 21, 2026 91 FR 59824
- Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to QC 1000, A Firm's System of Quality Control, and Related Rule and Forms Friday, September 18, 2026 91 FR 59354
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing of Binary KPI Options Friday, September 18, 2026 91 FR 59199
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Friday, September 18, 2026 91 FR 59164
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Friday, September 18, 2026 91 FR 59236
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of a Proposed Rule Change To Permit the Listing of Binary KPI Options Friday, September 18, 2026 91 FR 59217
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts Friday, September 18, 2026 91 FR 59247
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Section 3, Appointment of Market Makers Friday, September 18, 2026 91 FR 59281
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Section 3, Appointment of Market Makers Friday, September 18, 2026 91 FR 59234
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 11.1, 11.6, 11.7, and 11.8 To Add a New Time-in-Force Designation Known as “Regular `til Post Market” Friday, September 18, 2026 91 FR 59253
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Friday, September 18, 2026 91 FR 59185
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Adopt FINRA Rule 3290 (Outside Activities Requirements) Friday, September 18, 2026 91 FR 59259
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.12 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 Friday, September 18, 2026 91 FR 59278
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.12E 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 Friday, September 18, 2026 91 FR 59289
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.12-E Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week Friday, September 18, 2026 91 FR 59256
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.12 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 Friday, September 18, 2026 91 FR 59173
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.12 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 Friday, September 18, 2026 91 FR 59196
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2628 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 Friday, September 18, 2026 91 FR 59245
- 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, Sections 1 and 2 Friday, September 18, 2026 91 FR 59283
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Friday, September 18, 2026 91 FR 59176
- Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Framework of the Exchange's Initial Fee Schedule and Establish an Options Regulatory Fee (“ORF”) Friday, September 18, 2026 91 FR 59194
- OneAscent Capital Opportunities Fund, et al. Friday, September 18, 2026 91 FR 59199
- Self-Regulatory Organizations; LCH SA; Order Granting Conditional Exemptive Relief Pursuant to Section 36 of the Securities Exchange Act of 1934 Relating to Rule Filing Requirements Thursday, September 17, 2026 91 FR 58940
- Joint Industry Plan; Order Approving the Third Amendment to the National Market System Plan Regarding Consolidated Equity Market Data To Revise the Revenue Allocation Formula Thursday, September 17, 2026 91 FR 58944
- Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the LCH SA CDSClear Trade Registration Fund Thursday, September 17, 2026 91 FR 58936
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 24X Rule 8.1(d) To Clarify Certain Disciplinary Functions by FINRA's Office of Disciplinary Affairs Thursday, September 17, 2026 91 FR 58933
- Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Sections 1003 and 1009 of the NYSE American Company Guide Thursday, September 17, 2026 91 FR 58947
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.18E Regarding Initial Listing Regulatory Halts Thursday, September 17, 2026 91 FR 58931
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Thursday, September 17, 2026 91 FR 58927
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 2-E, Report Pursuant to Rule 609 and Regulation E Thursday, September 17, 2026 91 FR 58934
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 15F Thursday, September 17, 2026 91 FR 58935
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-10, Form N-RN Thursday, September 17, 2026 91 FR 58935
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend NYSE American Equities Price List and Fee Schedule Wednesday, September 16, 2026 91 FR 58726
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Conforming Changes to Nasdaq Texas Rules in Connection With the Establishment of Fees for Nasdaq TotalView Plus and Nasdaq Basic Plus by the Nasdaq Stock Exchange Wednesday, September 16, 2026 91 FR 58716
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Set Fees for Nasdaq TotalView Plus and Nasdaq Basic Plus Wednesday, September 16, 2026 91 FR 58729
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Conforming Changes to Nasdaq Phlx Rules in Connection With the Establishment of Fees for Nasdaq TotalView Plus and Nasdaq Basic Plus Wednesday, September 16, 2026 91 FR 58720
- 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 Provide That Extranet Providers, in Addition to Data Subscribers, Are also Eligible To Earn the External Distribution Rebate by Enlisting New Data Subscribers of Real-Time IEX Market Data Products Wednesday, September 16, 2026 91 FR 58736
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Wednesday, September 16, 2026 91 FR 58754
- 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 Wednesday, September 16, 2026 91 FR 58723
- Order Granting Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934, From Inline XBRL Requirements for Portions of Form CA-1 and Form 1 and for Form X-17A-5 Part III, Form 17-H, and Security-Based Swap Entity's Annual Compliance Report Tuesday, September 15, 2026 91 FR 58490
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