Agency Archive

Securities and Exchange Commission

Recent Federal Register documents and issues associated with this agency.

Recent Documents

Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Friday, November 13, 2026 91 FR 73370
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Timeframe of a Recent Rule Filing Friday, November 13, 2026 91 FR 73315
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements Friday, November 13, 2026 91 FR 73327
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA By-Laws, the FINRA Regulation By-Laws, the Plan of Allocation and Delegation of Functions by FINRA to Subsidiaries, FINRA's Restated Certificate of Incorporation, and FINRA Rule 5110 Friday, November 13, 2026 91 FR 73298
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.14 in Light of the Commission's Approval of Overnight Protected Bands for 23/5 Trading Friday, November 13, 2026 91 FR 73362
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Policy Relating to the Exchange's Treatment of Trade Reports Friday, November 13, 2026 91 FR 73312
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule Equity 7 Section 115 Friday, November 13, 2026 91 FR 73320
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Friday, November 13, 2026 91 FR 73281
Self-Regulatory Organizations; Nasdaq ISE, 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 the Criteria for Underlying Securities Friday, November 13, 2026 91 FR 73355
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for NDX Options Friday, November 13, 2026 91 FR 73296
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Franklin Responsibly Sourced Gold ETF Friday, November 13, 2026 91 FR 73373
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for NDX Options Friday, November 13, 2026 91 FR 73334
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fees for NDX Options Friday, November 13, 2026 91 FR 73365
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Description of Cboe Aggregated Market Feed (Cboe One) in Rule 13.8 Friday, November 13, 2026 91 FR 73345
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Description of Cboe Aggregated Market Feed (Cboe One) in Rule 13.8 Friday, November 13, 2026 91 FR 73316
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Options Clearing Corporation Relating to the Addition of the Evergreen Provisions to OCC's LRMF Friday, November 13, 2026 91 FR 73288
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Friday, November 13, 2026 91 FR 73293
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Description of Cboe Aggregated Market Feed (Cboe One) in Rule 11.22 Friday, November 13, 2026 91 FR 73309
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Friday, November 13, 2026 91 FR 73342
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Description of Cboe Aggregated Market Feed (Cboe One) in Rule 11.22 Friday, November 13, 2026 91 FR 73348
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Friday, November 13, 2026 91 FR 73352
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Friday, November 13, 2026 91 FR 73339
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fees at Equity 7, To Establish an Optional Nasdaq PSX Monthly Subscription Fee Program Friday, November 13, 2026 91 FR 73324
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Friday, November 13, 2026 91 FR 73331
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Exchange's Options Regulatory Fee (ORF) Friday, November 13, 2026 91 FR 73337
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Exchange's Options Regulatory Fee (ORF) Friday, November 13, 2026 91 FR 73322
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Decrease the Exchange's Options Regulatory Fee (ORF) Friday, November 13, 2026 91 FR 73291
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Exchange's Options Regulatory Fee (ORF) Friday, November 13, 2026 91 FR 73329
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Exchange's Options Regulatory Fee (ORF) Friday, November 13, 2026 91 FR 73286
Fidus Investment Corporation, et al. Thursday, November 12, 2026 91 FR 72938
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 3 Thursday, November 12, 2026 91 FR 72939
Self-Regulatory Organizations; KalshiEX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing Standards for Security Futures Products Thursday, November 12, 2026 91 FR 72935
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Equity 4 To Remove All References to the CORE FIX Order Entry Protocol Thursday, November 12, 2026 91 FR 72929
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.35 and 7.35A Thursday, November 12, 2026 91 FR 72931
Deregistration Under Section 8(f) of the Investment Company Act of 1940; Correction Tuesday, November 10, 2026 91 FR 72587
Bluerock ETF Trust and Bluerock ETF Advisor, LLC Tuesday, November 10, 2026 91 FR 72604
Horizon Investments, LLC and Horizon Funds Tuesday, November 10, 2026 91 FR 72603
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Transaction Fees Applicable to Members of the Exchange Tuesday, November 10, 2026 91 FR 72588
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division Tuesday, November 10, 2026 91 FR 72592
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Procedures for Monitoring Compliance With the Eligible Secondary Market Transaction Submission Requirements Tuesday, November 10, 2026 91 FR 72601
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 17.180 To Permit an Issuer To Elect a Higher Listing Tier for an Exchange Traded Product During a Calendar Year and To Provide for the Related Incremental Listing Fee Tuesday, November 10, 2026 91 FR 72595
Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934 Tuesday, November 10, 2026 91 FR 72604
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 11.25 To Introduce an Optional, Contingent Instruction Applicable to Periodic Auction Only Orders, Introduce a Time-in-Force of Auction or Cancel, and Make Conforming Changes to Its Periodic Auction Processing Behavior To Support the Proposed Contingent Instruction Tuesday, November 10, 2026 91 FR 72587
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Various Clean Up Changes and a Number of Technical, Non-Substantiative Changes to Its Rulebook Tuesday, November 10, 2026 91 FR 72590
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 3.291 (Influencing or Rewarding Employees of Others; Gratuities), To Conform to the Rules of FINRA for Purposes of an Agreement Between the Exchange and FINRA Pursuant To Rule 17d-2 Under the Act Tuesday, November 10, 2026 91 FR 72597
Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedule Monday, November 9, 2026 91 FR 70915
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 Monday, November 9, 2026 91 FR 70935
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 Monday, November 9, 2026 91 FR 70952
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 Monday, November 9, 2026 91 FR 70920
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Rules To Govern the Trading of FLEX Equity Options in Electronic Auctions Monday, November 9, 2026 91 FR 70943
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove a Requirement That Sponsoring Members Report Certain Events Impacting Their Sponsored Members Monday, November 9, 2026 91 FR 70909
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees Applicable to the Floor Market Maker Fee and Floor Broker Breakup Credit for Transactions in Non-Penny Classes Monday, November 9, 2026 91 FR 70916
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 Monday, November 9, 2026 91 FR 70933
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.271 Regarding the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Monday, November 9, 2026 91 FR 70912
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Clearing Corporation in its Rules and Make Corresponding Changes Throughout its Rules Monday, November 9, 2026 91 FR 70928
Daxor Corporation Monday, November 9, 2026 91 FR 70931
Order Under Section 36 of the Securities Exchange Act of 1934 (the “Exchange Act”) Granting Conditional Exemptive Relief From Section 15(c)(3) of and Rule 15c3-3a, Note H Under the Exchange Act Relating to Certain Centrally Cleared U.S. Treasury Transactions Monday, November 9, 2026 91 FR 70924
Amendments to the “Small Business” and “Small Organization” Definitions for Investment Companies and Investment Advisers for Purposes of the Regulatory Flexibility Act Friday, November 6, 2026 91 FR 69955
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Equity 4 To Remove All References to the CORE FIX Order Entry Protocol Friday, November 6, 2026 91 FR 70106
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Equity 4 to Remove All References to the CORE FIX Order Entry Protocol Friday, November 6, 2026 91 FR 70107
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Trade by Trade Report for EDGX Options and To Amend Its Fee Schedule To Adopt Fees for the Trade by Trade Report Friday, November 6, 2026 91 FR 70102
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Trade-by-Trade Report for BZX Options and To Amend Its Fee Schedule To Adopt Fees for the Trade-by-Trade Report Friday, November 6, 2026 91 FR 70109
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Trade-by-Trade Report for C2 Options and To Amend Its Fee Schedule To Adopt Fees for the Trade-by-Trade Report Friday, November 6, 2026 91 FR 70112
83 Investment Group Income Fund, et al. Friday, November 6, 2026 91 FR 70105
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 489 and Form F-N Thursday, November 5, 2026 91 FR 69906
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 8a To Provide for the Listing of Acquisition Companies Thursday, November 5, 2026 91 FR 69903
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt FINRA Rule 1240.03 (Senior Leader Regulatory Element Interim Program) To Establish an Interim Program of Regulatory Element Continuing Education Thursday, November 5, 2026 91 FR 69897
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 8A Regarding Information Circular Requirements Thursday, November 5, 2026 91 FR 69900
UBS Asset Management Credit Income Opportunities Fund and UBS Asset Management (Americas) LLC Thursday, November 5, 2026 91 FR 69900
Order Granting Conditional Exemption for Japan Credit Rating Agency, Ltd. From Certain Requirements of Section 15E(t) of the Securities Exchange Act of 1934 Wednesday, November 4, 2026 91 FR 69614
Order Granting Exemptive Relief, Pursuant to Sections 17A and 36(a) of the Securities Exchange Act of 1934, From the Definition of an “Eligible Secondary Market Transaction” in Rule 17ad-22(a) Wednesday, November 4, 2026 91 FR 69578
Public Company Accounting Oversight Board; Order Granting Approval of Amendments to QC 1000, A Firm's System of Quality Control, and Related Rule and Forms Wednesday, November 4, 2026 91 FR 69620
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Enhancements to the Missed Liquidity Report Offered as Part of the Cboe Timestamping Service Wednesday, November 4, 2026 91 FR 69601
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Enhancements to the Missed Liquidity Report Offered as Part of the Cboe Timestamping Service Wednesday, November 4, 2026 91 FR 69589
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Enhancements to the Missed Liquidity Report Offered as Part of the Cboe Timestamping Service Wednesday, November 4, 2026 91 FR 69606
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce Enhancements to the Missed Liquidity Report Offered as Part of the Cboe Timestamping Service Wednesday, November 4, 2026 91 FR 69616
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Enhance Automated Reasonability Checks for the Submission of ETF Creation and Exemption Transactions Wednesday, November 4, 2026 91 FR 69610
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 Equity 7, Sections 115 and 130, To Delete Obsolete References to the CORE FIX Order Entry Protocol Wednesday, November 4, 2026 91 FR 69583
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Sections 115 and 130, To Delete Obsolete References to the CORE FIX Order Entry Protocol Wednesday, November 4, 2026 91 FR 69585
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Transaction Fees at Equity 7, Section 3, To Delete Obsolete References to the CORE FIX Order Entry Protocol Wednesday, November 4, 2026 91 FR 69587
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend the Strike Price Intervals for Options on Certain Exchange-Traded Fund Shares That Meet the Qualifying Securities Criteria Wednesday, November 4, 2026 91 FR 69596
Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend LTSE Rule 3.291 Wednesday, November 4, 2026 91 FR 69593
Deregistration under Section 8(f) of the Investment Company Act of 1940 Wednesday, November 4, 2026 91 FR 69605
Potential Designation of Passage of an Accredited Investor Exam To Be Developed by FINRA as Qualifying Natural Persons for Accredited Investor Status Tuesday, November 3, 2026 91 FR 69282
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing, and Order Granting Accelerated Approval of, a Proposed Rule Change To Amend Rule 17.111(d) (Commodity-Based Trust Shares) Tuesday, November 3, 2026 91 FR 69287
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Equity 4, Rule 4120, To Align It With That of The Nasdaq Stock Market LLC Tuesday, November 3, 2026 91 FR 69294
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 2(c) Tuesday, November 3, 2026 91 FR 69285
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List Shares of the Bitwise 10 Crypto Index ETF Under NYSE Arca Rule 8.201-E (Generic) Tuesday, November 3, 2026 91 FR 69283
Emery Partners Income Credit Strategies Fund, et al. Tuesday, November 3, 2026 91 FR 69284
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 18a-5 Monday, November 2, 2026 91 FR 69017
Notice of Potential Change To Increase Maximum Fixed-Dollar Amount for Alternative Compliance Mechanism for Security-Based Swap Dealers That Are Registered as Swap Dealers and Have Limited Security-Based Swap Activities Monday, November 2, 2026 91 FR 69026
Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.280 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Monday, November 2, 2026 91 FR 69015
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees and Rebates for Professional Customer Orders for QCC and cQCC Transactions and Establish a Tiered Fee Structure for Away Market Maker Facilitation of Customer QFOs or cQFOs Monday, November 2, 2026 91 FR 69008
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Revise Nasdaq's Interpretive Material, IM-8310-3 Monday, November 2, 2026 91 FR 68992
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Waive the Maximum Combined Floor Broker Credits on QCC Trades and Rebates Paid Through the Manual Billable Rebate Program for October 2026 Monday, November 2, 2026 91 FR 69028
Self-Regulatory Organizations; MX2 LLC; 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 Monday, November 2, 2026 91 FR 69021
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Bylaws of the Exchange Monday, November 2, 2026 91 FR 69001
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.1(a) To Adopt a Start Time Order Instruction Monday, November 2, 2026 91 FR 69018
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.1(a)(1) To Adopt a Start Time Order Instruction Monday, November 2, 2026 91 FR 69024
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Bylaws of the Exchange Monday, November 2, 2026 91 FR 69005
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Concerning the Automated Customer Account Transfer Service Account Transfer Process for Insurance and Retirement Products Monday, November 2, 2026 91 FR 68998
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3.2(b)(3)(C)(ii) Monday, November 2, 2026 91 FR 69003
Eldridge Dynamic Income Fund, et al. Monday, November 2, 2026 91 FR 69021
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.1(a) To Adopt a Start Time Order Instruction Friday, October 30, 2026 91 FR 68571
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Binary Return Derivatives Rules Friday, October 30, 2026 91 FR 68563
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Article I, Sections 1.05 and 1.06 of Its Operating Agreement Friday, October 30, 2026 91 FR 68560
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 To Adopt Transaction Fees and Routing Fees Friday, October 30, 2026 91 FR 68573
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Behavior of Discretionary Peg Orders if They Are Received by the Exchange During a Period of Quote Instability or Quote Imbalance Thursday, October 29, 2026 91 FR 68201
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Silexx Fees From Its Fee Schedule in Accordance With SEC Exemptive Relief Thursday, October 29, 2026 91 FR 68205
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 Modify Pricing for the Customer Best Execution (“CUBE”) Auctions Thursday, October 29, 2026 91 FR 68196
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rules To Address Binary Options, Options Whose Payout Is Based on Specified Metrics, and Options Cleared by a Registered Clearing Agency Other Than The Options Clearing Corporation Thursday, October 29, 2026 91 FR 68190
Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the ICE Clear Credit Recovery Plan and ICE Clear Credit Wind-Down Plan Thursday, October 29, 2026 91 FR 68207
Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15 (Clearly Erroneous Executions) Thursday, October 29, 2026 91 FR 68198
Valued Advisers Trust and Long Short Advisors, LLC Wednesday, October 28, 2026 91 FR 67878
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 163 Wednesday, October 28, 2026 91 FR 67888
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-54A Wednesday, October 28, 2026 91 FR 67879
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17f-1 Wednesday, October 28, 2026 91 FR 67880
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 433 Wednesday, October 28, 2026 91 FR 67884
The Carlyle Group Inc. and CP VIII Coinvestment B, L.P. Wednesday, October 28, 2026 91 FR 67879
Order Under Section 36 of the Securities Exchange Act of 1934 Granting Conditional Exemptive Relief Regarding the Treatment of Customer Margin Under Item 13 and Note F of Exhibit A to Rule 15c3-3 Wednesday, October 28, 2026 91 FR 67881
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15 (Clearly Erroneous Executions) Wednesday, October 28, 2026 91 FR 67884
Self-Regulatory Organizations; NYSE Texas, 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 Offer Complimentary Products and Services Wednesday, October 28, 2026 91 FR 67888
Sunshine Act Meetings Tuesday, October 27, 2026 91 FR 67642
Cboe Clear U.S., LLC; Order Granting an Application, as Amended, for Temporary Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934 Tuesday, October 27, 2026 91 FR 67624
Nilsine Partners NP1X Fund, et al. Tuesday, October 27, 2026 91 FR 67641
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule Monday, October 26, 2026 91 FR 67375
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 Regarding Fees and Rebates Applicable to Manual Transactions Monday, October 26, 2026 91 FR 67356
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of Trading Platform Monday, October 26, 2026 91 FR 67373
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of Trading Platform Monday, October 26, 2026 91 FR 67339
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements Monday, October 26, 2026 91 FR 67343
Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.18, 7.35(a)(8)(A), and 7.35(f) Regarding Trading Halts Monday, October 26, 2026 91 FR 67346
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Annual Listing Fees Applicable to Exchange-Traded Products Listed on the Exchange, Which Are Set Forth in BZX Rule 14.13(b)(2)(E), To Eliminate the Annual Listing Fee Applicable to Legacy Listings Monday, October 26, 2026 91 FR 67341
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 7.18-E, 7.35-E(a)(8)(A), and 7.35-E(f) Regarding Trading Halts Monday, October 26, 2026 91 FR 67368
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 Regarding Fees and Rebates Applicable to Manual Transactions Monday, October 26, 2026 91 FR 67351
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of Trading Platform Monday, October 26, 2026 91 FR 67349
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements Monday, October 26, 2026 91 FR 67370
Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Clearing Member Standards Monday, October 26, 2026 91 FR 67362
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of Trading Platform Monday, October 26, 2026 91 FR 67360
List of Rules To Be Reviewed Pursuant to the Regulatory Flexibility Act Friday, October 23, 2026 91 FR 66795
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Restore Former Rule 123D Friday, October 23, 2026 91 FR 66903
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Corporate Listing Fees on the Exchange Friday, October 23, 2026 91 FR 66876
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Amend Rule 7.10 (Clearly Erroneous Executions) Friday, October 23, 2026 91 FR 66892
Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Revisions to OCC Rule 213-Cybersecurity Obligations Friday, October 23, 2026 91 FR 66879
FIS Trust and Faith Investor Services, LLC Friday, October 23, 2026 91 FR 66892
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-1 Friday, October 23, 2026 91 FR 66902
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension Rule: 15c2-7 Friday, October 23, 2026 91 FR 66891
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17Ad-3(b) Friday, October 23, 2026 91 FR 66905
Neostellar Capital Corp., et al. Thursday, October 22, 2026 91 FR 66744
Notice of Intention To Cancel Registrations of Certain Transfer Agents Thursday, October 22, 2026 91 FR 66767
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 Thursday, October 22, 2026 91 FR 66744
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 Thursday, October 22, 2026 91 FR 66756
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 Thursday, October 22, 2026 91 FR 66766
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 Thursday, October 22, 2026 91 FR 66747
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 Thursday, October 22, 2026 91 FR 66752
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 Thursday, October 22, 2026 91 FR 66748
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 Thursday, October 22, 2026 91 FR 66758
Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status Wednesday, October 21, 2026 91 FR 66591
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-2 Wednesday, October 21, 2026 91 FR 66590
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 Wednesday, October 21, 2026 91 FR 66587
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 Wednesday, October 21, 2026 91 FR 66596
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Wednesday, October 21, 2026 91 FR 66591
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 Wednesday, October 21, 2026 91 FR 66590
Interval Fund Modernization; Expansion of Multiple Share Class to Registered Closed-End Management Investment Companies and Business Development Companies Tuesday, October 20, 2026 91 FR 66293
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) Tuesday, October 20, 2026 91 FR 66371
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) Monday, October 19, 2026 91 FR 66187
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 Monday, October 19, 2026 91 FR 66179
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 Monday, October 19, 2026 91 FR 66176
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Warrant Performance Incentive Program Monday, October 19, 2026 91 FR 66182
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

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