Agency Archive
Securities and Exchange Commission
Recent Federal Register documents and issues associated with this agency.
Recent Documents
- 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 Bitnomial Exchange, LLC Friday, September 11, 2026 91 FR 57949
- 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 KalshiEX LLC Friday, September 11, 2026 91 FR 57947
- 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 Coinbase Derivatives, LLC Friday, September 11, 2026 91 FR 57944
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.23(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt Friday, September 11, 2026 91 FR 57945
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Exchange Rule 13.003 Related to Proxy Voting Friday, September 11, 2026 91 FR 57940
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 6e-2 and Form N-6EI-1 Friday, September 11, 2026 91 FR 57944
- The RBB Fund Trust and Millburn Ridgefield LLC Friday, September 11, 2026 91 FR 57949
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 0-1 Under the Investment Company Act of 1940, Definition of Terms Used in This Part Friday, September 11, 2026 91 FR 57948
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form CB-Tender Offer/Rights Offering Notification Form Thursday, September 10, 2026 91 FR 57663
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 425 Thursday, September 10, 2026 91 FR 57669
- Political Contributions by Certain Investment Advisers Thursday, September 10, 2026 91 FR 57698
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule Thursday, September 10, 2026 91 FR 57669
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule Thursday, September 10, 2026 91 FR 57667
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule Thursday, September 10, 2026 91 FR 57671
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule Thursday, September 10, 2026 91 FR 57663
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 24X Rule 13.4(a) To Reflect Name Changes and the Operation of Texas Stock Exchange LLC Thursday, September 10, 2026 91 FR 57672
- Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Model Validation Framework and Treasury Operations Policies and Procedures Thursday, September 10, 2026 91 FR 57665
- Daxor Corporation Wednesday, September 9, 2026 91 FR 57399
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule Wednesday, September 9, 2026 91 FR 57400
- AMG BBH Asset-Backed Credit Fund, LLC, et al. Wednesday, September 9, 2026 91 FR 57405
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) and To Adopt FINRA Rule 2166 (Temporary Delays for Suspected Fraud) Wednesday, September 9, 2026 91 FR 57407
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 4522 (Periodic Security Counts, Verifications and Comparisons) To Simplify Position Statement and Reconciliation Requirements for Certain Alternative Investments Wednesday, September 9, 2026 91 FR 57402
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing, and Order Granting Accelerated Approval of, a Proposed Rule Change To Amend Rule 5711(d) (Commodity-Based Trust Shares) Wednesday, September 9, 2026 91 FR 57392
- Notice pursuant to Rule 15c3-3a, Note H(b)(3) Regarding Application of the Customer Protection Rule Reserve Computations With Respect to U.S. Treasury Securities Wednesday, September 9, 2026 91 FR 57406
- Sunshine Act Meetings Tuesday, September 8, 2026 91 FR 57183
- Sunshine Act Meetings Tuesday, September 8, 2026 91 FR 57183
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 173 Tuesday, September 8, 2026 91 FR 57182
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 11a-2 Tuesday, September 8, 2026 91 FR 57207
- Agency Information Collection Activities; Proposed Collection; Comment Request; Revision: Ombudsman Matter Management System (OMMS) Submission Form Tuesday, September 8, 2026 91 FR 57173
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Clearing Membership Standards Tuesday, September 8, 2026 91 FR 57183
- Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Risk Management Model Description for the CDS Clearing Service Tuesday, September 8, 2026 91 FR 57178
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit the Exchange To Conduct Opening and Closing Auctions in UTP Securities Designated by the Exchange Tuesday, September 8, 2026 91 FR 57176
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Permit a New Issue ETPs To Commence Trading at the Beginning of the Pre-Market Session Tuesday, September 8, 2026 91 FR 57205
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a Lead Market Maker Program on the Exchange Tuesday, September 8, 2026 91 FR 57180
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers) Tuesday, September 8, 2026 91 FR 57174
- Transfer Agent Rules Friday, September 4, 2026 91 FR 56946
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 9558 of Nasdaq's Disciplinary Code Friday, September 4, 2026 91 FR 56934
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program Friday, September 4, 2026 91 FR 56923
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program Friday, September 4, 2026 91 FR 56931
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program Friday, September 4, 2026 91 FR 56928
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program Friday, September 4, 2026 91 FR 56926
- Eldridge Dynamic Income Fund and Eldridge Structured Credit Advisers, LLC Friday, September 4, 2026 91 FR 56922
- Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date Thursday, September 3, 2026 91 FR 56593
- Notice of a Request for Exemption From Certain Provisions of the National Market System Plan Governing the Consolidated Audit Trail Related to the Recovery of Costs Incurred During Period 4 of the Financial Accountability Milestones Pursuant to Section 36 of the Securities Exchange Act of 1934 and/or Rule 608(e) of Regulation NMS Thereunder, and Request for Comment Thursday, September 3, 2026 91 FR 56691
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15g-9 Thursday, September 3, 2026 91 FR 56696
- 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 Thursday, September 3, 2026 91 FR 56696
- 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 Thursday, September 3, 2026 91 FR 56686
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 410, Rule 101, the Capped Liquidity Facility Procedure, and the Liquidity Risk Management Policy Thursday, September 3, 2026 91 FR 56678
- 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 Thursday, September 3, 2026 91 FR 56685
- Exemption of Debt Obligations Issued by the European Union Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities Wednesday, September 2, 2026 91 FR 56387
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders Wednesday, September 2, 2026 91 FR 56492
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Program Wednesday, September 2, 2026 91 FR 56530
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders Wednesday, September 2, 2026 91 FR 56486
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders Wednesday, September 2, 2026 91 FR 56487
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program Wednesday, September 2, 2026 91 FR 56533
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders Wednesday, September 2, 2026 91 FR 56529
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of a Proposed Change, as Modified by Amendment No. 2, To Amend Its Rules To Extend Trading Hours for Certain Eligible Equity Options Wednesday, September 2, 2026 91 FR 56504
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Rule Governing the Operation of a Proposed Step Up Mechanism (“SUM”) on the Exchange and To Make Conforming Changes in Other Rules Wednesday, September 2, 2026 91 FR 56514
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce the Exchange's Order Entry Protocol Migration Program Wednesday, September 2, 2026 91 FR 56524
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule Equity 7 Regarding Pricing of Ports for the Night Session Wednesday, September 2, 2026 91 FR 56526
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program Wednesday, September 2, 2026 91 FR 56489
- 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 Wednesday, September 2, 2026 91 FR 56518
- 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 Nos. 1 and 2, To Adopt VIX Future-Option Orders Wednesday, September 2, 2026 91 FR 56493
- Deregistration Under Section 8(f) of the Investment Company Act of 1940 Tuesday, September 1, 2026 91 FR 56260
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Listing Fees for Exchange-Traded Products and Add a New Quality Liquidity Provider Program Tuesday, September 1, 2026 91 FR 56234
- Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add MX2 LLC as a Plan Sponsor Tuesday, September 1, 2026 91 FR 56249
- Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add Investors Exchange LLC as a Plan Sponsor Tuesday, September 1, 2026 91 FR 56253
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5.52 (Market-Maker Quotes) To Adopt Two-Sided Quote Bid/Ask Differentials Tuesday, September 1, 2026 91 FR 56254
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5.52 (Market-Maker Quotes) To Adopt Two-Sided Quote Bid/Ask Differentials Tuesday, September 1, 2026 91 FR 56257
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 22.6 (Market Maker Quotations) To Adopt Two-Sided Quote Bid/Ask Differentials Tuesday, September 1, 2026 91 FR 56250
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 22.6 (Market Maker Quotations) To Adopt Two-Sided Quote Bid/Ask Differentials Tuesday, September 1, 2026 91 FR 56245
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing of Proposed Rule Change To Adopt New Rule 24 Under Article 22 of the NYSE Texas Rule Book Tuesday, September 1, 2026 91 FR 56247
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 489 and Form F-N Monday, August 31, 2026 91 FR 55940
- DTCC ITP LLC; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934 Monday, August 31, 2026 91 FR 55933
- TriOptima AB; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934 Monday, August 31, 2026 91 FR 55921
- OSTTRA Limited; OSTTRA Services, LLC; Notice of Filing of Applications for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934 Monday, August 31, 2026 91 FR 55951
- LSEG Post Trade Services Limited; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934 Monday, August 31, 2026 91 FR 55956
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of a Change to Rule 515A, MIAX Emerald Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism Monday, August 31, 2026 91 FR 55955
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of a Change to Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism Monday, August 31, 2026 91 FR 55923
- Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Rule 20.6 (Nullification and Adjustment of Options Transactions Including Obvious Errors) Regarding the Roster Requirements for the Obvious Error Panel Monday, August 31, 2026 91 FR 55918
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules To Permit the Listing of Binary Options Overlying Key Performance Indicators Reported by Certain Issuers of Stock Monday, August 31, 2026 91 FR 55918
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Adopt Standards for Establishing Cross-Margin Arrangements and Adopt a Cross-Margin Arrangement With Chicago Mercantile Exchange Inc. Monday, August 31, 2026 91 FR 55940
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”) Monday, August 31, 2026 91 FR 55930
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”) Monday, August 31, 2026 91 FR 55961
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”) Monday, August 31, 2026 91 FR 55928
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”) Monday, August 31, 2026 91 FR 55925
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 2a-5 Friday, August 28, 2026 91 FR 55658
- Sunshine Act Meetings Friday, August 28, 2026 91 FR 55656
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of SR-GEMX-2026-15 Friday, August 28, 2026 91 FR 55655
- Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of Its Rules Regarding Statutory Disqualifications Friday, August 28, 2026 91 FR 55652
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure To Make Changes to Certain Provisions Relating to Arbitrator List Selection Friday, August 28, 2026 91 FR 55637
- Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., BOX Exchange, LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, NYSE American LLC, NYSE Arca, Inc., The Nasdaq Stock Market LLC, Nasdaq Texas LLC, Nasdaq PHLX LLC, Nasdaq GEMX, LLC, Cboe EDGX Exchange, Inc., Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, MIAX Sapphire, LLC, MEMX LLC, MX2 LLC and Investors Exchange LLC Concerning Options-Related Sales Practice Matters Friday, August 28, 2026 91 FR 55642
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of SR-ISE-2026-18 Friday, August 28, 2026 91 FR 55656
- Fenimore Asset Management, Inc. and Fenimore Asset Management Trust Thursday, August 27, 2026 91 FR 55410
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposal To Adopt Rules for the Listing and Trading of Securities Event Contracts on the Exchange Thursday, August 27, 2026 91 FR 55384
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Warrant Performance Incentive Program To Add ETPs to the Definition of Liquidity Improvement Symbols and High-Volume Symbols Thursday, August 27, 2026 91 FR 55374
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Intra-Day Snapshots to NTX Options Trade Outline Thursday, August 27, 2026 91 FR 55368
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 19b-7 and Form 19b-7 Thursday, August 27, 2026 91 FR 55373
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, To Amend the Short Term Option Series Program With Respect to Qualifying Securities Thursday, August 27, 2026 91 FR 55403
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading, To Amend the Short Term Option Series Program With Respect to Qualifying Securities Thursday, August 27, 2026 91 FR 55411
- Self-Regulatory Organizations: Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading, To Amend the Short Term Option Series Program With Respect to Qualifying Securities Thursday, August 27, 2026 91 FR 55377
- ARK Venture Fund and ARK Investment Management LLC Wednesday, August 26, 2026 91 FR 55149
- Order Making Fiscal Year 2027 Annual Adjustments to Registration Fee Rates Wednesday, August 26, 2026 91 FR 55138
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18E Regarding Trading Halts Wednesday, August 26, 2026 91 FR 55132
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts Wednesday, August 26, 2026 91 FR 55143
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules Wednesday, August 26, 2026 91 FR 55130
- Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the CDS Instrument On-Boarding Policies and Procedures Tuesday, August 25, 2026 91 FR 54893
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance Certain Aspects of the Activity-Based Risk Controls Applicable to IEX Options Members Set Forth in IEX Rule 22.250, and To Make Conforming and Typo Clean-Up Changes to IEX Rules 22.250 and 22.260 Tuesday, August 25, 2026 91 FR 54895
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 4759 Regarding Sources of Data Used Tuesday, August 25, 2026 91 FR 54900
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-54A Monday, August 24, 2026 91 FR 54778
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17f-1 Monday, August 24, 2026 91 FR 54779
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 163 Monday, August 24, 2026 91 FR 54779
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 433 Monday, August 24, 2026 91 FR 54774
- Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 903G and 906G Monday, August 24, 2026 91 FR 54778
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 5.32-O and 5.35-O Monday, August 24, 2026 91 FR 54783
- 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 Eliminate Customer and Professional Customer Fees and Introduce a Floor Broker Incentive for Trading in Certain MSCI Related Index Options Monday, August 24, 2026 91 FR 54780
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With Binary Options That Overlie the Mini-S&P 500 Index Monday, August 24, 2026 91 FR 54770
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Monday, August 24, 2026 91 FR 54775
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Internal Cross-Reference Error in Rule 23.150 Monday, August 24, 2026 91 FR 54768
- Pender Real Estate Credit Fund, et al. Monday, August 24, 2026 91 FR 54782
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 31a-4 Monday, August 24, 2026 91 FR 54768
- Regulation Crypto Assets Friday, August 21, 2026 91 FR 54510
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form ADV Friday, August 21, 2026 91 FR 54421
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Section 4 (Complex Order Fees and Rebates) and Section 6 (Other Options Fees and Rebates) Friday, August 21, 2026 91 FR 54415
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Rule 20.6 (Nullification and Adjustment of Options Transactions Including Obvious Errors) Regarding the Roster Requirements for the Obvious Error Panel Friday, August 21, 2026 91 FR 54422
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.4(a) To Reflect the Operation of TXSE Exchange Friday, August 21, 2026 91 FR 54414
- Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the LCH SA Liquidity Plan Friday, August 21, 2026 91 FR 54427
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Friday, August 21, 2026 91 FR 54430
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Friday, August 21, 2026 91 FR 54419
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Friday, August 21, 2026 91 FR 54425
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials Thursday, August 20, 2026 91 FR 53911
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials Thursday, August 20, 2026 91 FR 53909
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials Thursday, August 20, 2026 91 FR 53920
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials Thursday, August 20, 2026 91 FR 53913
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Thursday, August 20, 2026 91 FR 53916
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Thursday, August 20, 2026 91 FR 53907
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Thursday, August 20, 2026 91 FR 53918
- Eagle Point Credit Management LLC and Eagle Point Trinity Senior Secured Lending Company Thursday, August 20, 2026 91 FR 53922
- Clearlake Private Markets Fund and Clearlake Capital RIC Management, LLC Thursday, August 20, 2026 91 FR 53907
- Valued Advisers Trust and Alaia Capital, LLC Thursday, August 20, 2026 91 FR 53923
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend a Continued Listing Standard Relating to Beneficial Holders Applicable to Exchange Traded Fund Shares Listed Under Rule 17.104(b)(2)(B) Wednesday, August 19, 2026 91 FR 53683
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4120 Regarding Trading Halts Wednesday, August 19, 2026 91 FR 53677
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 3100 Regarding Trading Halts Wednesday, August 19, 2026 91 FR 53680
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of 3x Gold ETF, 3x Silver ETF, 3x Bitcoin ETF, 3x Ether ETF, 3x Crude Oil ETF, and 3x Natural Gas ETF, Each a Series of the VS Trust, Under BZX Rule 14.11(e)(4) (Commodity-Based Trust Shares) Wednesday, August 19, 2026 91 FR 53686
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Wednesday, August 19, 2026 91 FR 53683
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Section 802.01C of the NYSE Listed Company Manual Tuesday, August 18, 2026 91 FR 53458
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To Amend Section 1003 of the NYSE American Company Guide Tuesday, August 18, 2026 91 FR 53436
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-1 and Form NRSRO Tuesday, August 18, 2026 91 FR 53436
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-2 Tuesday, August 18, 2026 91 FR 53447
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-1 Tuesday, August 18, 2026 91 FR 53468
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-3(b) Tuesday, August 18, 2026 91 FR 53453
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form SF-3 Tuesday, August 18, 2026 91 FR 53435
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form SF-1 Tuesday, August 18, 2026 91 FR 53435
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-16 Tuesday, August 18, 2026 91 FR 53447
- Sunshine Act Meetings Tuesday, August 18, 2026 91 FR 53435
- Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Enhance the Supplemental Liquidity Deposit Rules, Methodology and Processes Tuesday, August 18, 2026 91 FR 53454
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Amendments to the CMESC Stress Testing & Guaranty Fund Sizing Policy (or the “Policy”) and Proposed Amendments to Rule 402(b) Tuesday, August 18, 2026 91 FR 53469
- Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Amend the Redemptions Service Guide and the Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services) Tuesday, August 18, 2026 91 FR 53473
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rules 7.31, 7.35, and 7.35B Tuesday, August 18, 2026 91 FR 53465
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Relating to The Options Clearing Corporation's Proposal To Amend the Evergreen Provisions Relating to Its Revolving Credit Facility Tuesday, August 18, 2026 91 FR 53449
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Sections 303A.00 and 303A.07 of the NYSE Listed Company Manual Tuesday, August 18, 2026 91 FR 53448
- Parvin Decentralized Fund and Parvin Fund Management, LLC Monday, August 17, 2026 91 FR 53286
- Sunshine Act Meetings Monday, August 17, 2026 91 FR 53303
- Northern Lights Fund Trust and Ocean Park Asset Management, LLC Monday, August 17, 2026 91 FR 53318
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-2 Monday, August 17, 2026 91 FR 53334
- Elevation Series Trust and Norris Perné and French LLP Monday, August 17, 2026 91 FR 53290
- Stone Point Credit Income Fund and Stone Point Credit Income Adviser LLC Monday, August 17, 2026 91 FR 53325
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule Regarding the Routing Fee Table Monday, August 17, 2026 91 FR 53322
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Options Exchange Fee Schedule Regarding the Routing Fee Table Monday, August 17, 2026 91 FR 53315
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule Regarding the Routing Fee Table Monday, August 17, 2026 91 FR 53304
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Regarding the Routing Fee Table Monday, August 17, 2026 91 FR 53290
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Amend the Short Term Option Series Program Related to Qualifying Securities Monday, August 17, 2026 91 FR 53286
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Amend Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes for Certain Origins Monday, August 17, 2026 91 FR 53325
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule 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, August 17, 2026 91 FR 53311
- 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 Certain Volume Thresholds for the Priority Customer Rebate Program Monday, August 17, 2026 91 FR 53319
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule Monday, August 17, 2026 91 FR 53307
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of 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, August 17, 2026 91 FR 53294
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Monday, August 17, 2026 91 FR 53329
- Regulatory Flexibility Agenda Friday, August 14, 2026 91 FR 53164
- Order Granting Temporary Conditional Exemptive Relief to 24X National Exchange LLC From Certain Requirements of Rule 602 of Regulation NMS, Certain Requirements of Certain Equity Data Plans, and Section 19(g)(1) of the Securities Exchange Act of 1934, Pursuant to Section 36 of the Securities Exchange Act of 1934 and Rules 602 and 608 of Regulation NMS, To Permit Certain Overnight Trading, Subject to Certain Conditions, and Effective As of January 24, 2027 and Until the Earlier of (1) the date the Extended Hours Amendments Are Implemented or (2) July 2, 2027 Friday, August 14, 2026 91 FR 52756
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program for the BZX Top Data Feed Friday, August 14, 2026 91 FR 52767
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce the New One-Minute Interval Intra-Day Report Friday, August 14, 2026 91 FR 52770
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Introduce the New One-Minute Interval Intra-Day Report Friday, August 14, 2026 91 FR 52753
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 2 Friday, August 14, 2026 91 FR 52772
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting 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 Friday, August 14, 2026 91 FR 52735
- Sunshine Act Meetings Thursday, August 13, 2026 91 FR 52392
- Reopening of Comment Period; Notices of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, From Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Requests for Comment Thursday, August 13, 2026 91 FR 52354
- Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq Texas, LLC, Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, MIAX Sapphire, MEMX LLC, MX2 LLC, and Investors Exchange LLC Concerning Options-Related Market Surveillance Thursday, August 13, 2026 91 FR 52365
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30b1-7 and Form N-MFP Thursday, August 13, 2026 91 FR 52352
- AMG BBH Asset-Backed Credit Fund, LLC, et al.; August 10, 2026. Thursday, August 13, 2026 91 FR 52386
- 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, Sections 2 (Customer Rebate Program) and 4 (Multiply Listed Options Fees) Thursday, August 13, 2026 91 FR 52392
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations Thursday, August 13, 2026 91 FR 52380
- Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA CaLM Minimum Cash Collateral Requirement and to LCH Liquidity Risk Policy Thursday, August 13, 2026 91 FR 52357
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements Thursday, August 13, 2026 91 FR 52384
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend the Criteria for Underlying Securities Thursday, August 13, 2026 91 FR 52387
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quotation Obligations Thursday, August 13, 2026 91 FR 52376
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations Thursday, August 13, 2026 91 FR 52361
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations Thursday, August 13, 2026 91 FR 52372
- Regan Capital Alternative Income Fund, et al. Wednesday, August 12, 2026 91 FR 52108
- Source Capital and First Pacific Advisors, LP Wednesday, August 12, 2026 91 FR 52103
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Discounted External Distribution Fee for the EDGX Top Feed Available Under the Exchange's Existing Small Retail Broker Distribution Program From $750 per Month to $1,250 per Month Wednesday, August 12, 2026 91 FR 52101
- 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 Applicable to Members To Modify IEX's Incremental Fee Tiers and To Make Organizational Changes to the Fee Schedule in Preparation for the Launch of IEX Options Later This Year Wednesday, August 12, 2026 91 FR 52097
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Trading Permit Holder (“TPH”) Transaction Reporting Duties Wednesday, August 12, 2026 91 FR 52104
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 3, Note 18 Tuesday, August 11, 2026 91 FR 51785
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations Tuesday, August 11, 2026 91 FR 51760
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A Related to PRIME and cPRIME Functionality Tuesday, August 11, 2026 91 FR 51816
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations Tuesday, August 11, 2026 91 FR 51810
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations Tuesday, August 11, 2026 91 FR 51817
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division Tuesday, August 11, 2026 91 FR 51762
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division Tuesday, August 11, 2026 91 FR 51787
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the GSD Rules To Adopt a U.S. Treasury Clearing Trade Submission Requirement Tuesday, August 11, 2026 91 FR 51815
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts on the Exchange) To Reflect That IEX Will Not Cancel Outstanding Orders During a Regulatory Halt or Operational Halt in Anticipation of the SIP Implementation of the New Regulatory Halt Rules Tuesday, August 11, 2026 91 FR 51812
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Offer Additional Tickets Under the Exchange's Rodeo Program and Re-Open the Application Window for the Rodeo Program; and Permit Sponsored Participants To Participate in the Rodeo Program Together With a Sponsoring Member of the Exchange as Joint Participants Tuesday, August 11, 2026 91 FR 51756
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations Tuesday, August 11, 2026 91 FR 51819
- Sunshine Act Meetings Monday, August 10, 2026 91 FR 51513
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 8b-1 to 8b-5; 8b-10 to 8b-22; and 8b-25 to 8b-31 Monday, August 10, 2026 91 FR 51513
- Joint Industry Plan; Order Granting Approval of the Twenty-Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Establish Temporary Price Band Protections in Overnight Trading Monday, August 10, 2026 91 FR 51515
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-8B-2 Monday, August 10, 2026 91 FR 51512
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-17f-2 Monday, August 10, 2026 91 FR 51514
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-54C Friday, August 7, 2026 91 FR 51201
- 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 Manual Billable Rebate Program and Add a Credit Under the Firm Monthly Fee Cap Friday, August 7, 2026 91 FR 51196
- 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 Remove MSCI Related Index Options From Certain Tier Discounts and Incentive Programs and Add a Break-Up Credit for Certain Executions in the Customer Best Execution (“CUBE”) Auction Friday, August 7, 2026 91 FR 51199
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Regulatory Information Requests and Indemnification of Reported Data Friday, August 7, 2026 91 FR 51188
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Adopt CMESC Margin Policy Friday, August 7, 2026 91 FR 51191
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 122 To Remove Daily List and Fundamental Data From the Nasdaq Rulebook and Clarify How Certain Information Will Be Distributed Friday, August 7, 2026 91 FR 51205
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 1 and Options 3C, Section 4(d) Friday, August 7, 2026 91 FR 51203
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form S-6, for Registration Under the Securities Act of 1933 of Unit Investment Trusts Registered on Form N-8B-2 Friday, August 7, 2026 91 FR 51196
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 0-2 Under the Investment Company Act of 1940, General Requirements of Papers and Applications Friday, August 7, 2026 91 FR 51202
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15g-2 Friday, August 7, 2026 91 FR 51205
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 31a-1 Friday, August 7, 2026 91 FR 51209
- Investment Company Governance Technical Amendments Thursday, August 6, 2026 91 FR 50707
- Berkshire Partners LLC Thursday, August 6, 2026 91 FR 50905
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 35d-1 Under the Investment Company Act of 1940 Thursday, August 6, 2026 91 FR 50911
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c1-7 Thursday, August 6, 2026 91 FR 50901
- Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by The Options Clearing Corporation To Amend Its System for Theoretical Analysis and Numerical Simulation Methodology Description To Incorporate Options Implied Interest Rates as an Additional Source of Interest Rates Inputs for Constructing the Interest Rate Discount Curve Used in Options Pricing Thursday, August 6, 2026 91 FR 50908
- 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 Implement a Market Maker/Lead Market Maker Posting Incentive Program for Certain Non-Penny Issues Thursday, August 6, 2026 91 FR 50902
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (ORF) Thursday, August 6, 2026 91 FR 50898
- Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (ORF) Thursday, August 6, 2026 91 FR 50905
- Deregistration Under Section 8(f) of the Investment Company Act of 1940 Wednesday, August 5, 2026 91 FR 50575
- Macquarie Infrastructure Income Opportunities Fund, et al. Wednesday, August 5, 2026 91 FR 50576
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options; Correction Wednesday, August 5, 2026 91 FR 50573
- Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA CDS Clear Trade Registration Fund Wednesday, August 5, 2026 91 FR 50584
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Market-Maker Tier Appointment Fees Wednesday, August 5, 2026 91 FR 50573
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Wednesday, August 5, 2026 91 FR 50564
- 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 Wednesday, August 5, 2026 91 FR 50576
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning the Payment of Interest on Margin Cash Wednesday, August 5, 2026 91 FR 50579
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-19 and Form X-17A-19 Tuesday, August 4, 2026 91 FR 49475
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FLEX Options Listing Rules Tuesday, August 4, 2026 91 FR 49470
- Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-27 To Exclude Certain Public Finance Activities From 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 Tuesday, August 4, 2026 91 FR 49460
- Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Change To Amend Its Rules To Extend Trading Hours for Certain Eligible Equity Options Tuesday, August 4, 2026 91 FR 49469
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