Agency Archive
Securities and Exchange Commission
Recent Federal Register documents and issues associated with this agency.
Recent Documents
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-22 Thursday, May 28, 2026 91 FR 31794
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Options Opening Process Thursday, May 28, 2026 91 FR 31813
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters Thursday, May 28, 2026 91 FR 31795
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters Thursday, May 28, 2026 91 FR 31751
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 928NYP Thursday, May 28, 2026 91 FR 31749
- 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 Thursday, May 28, 2026 91 FR 31769
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O Thursday, May 28, 2026 91 FR 31746
- Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Wednesday, May 27, 2026 91 FR 31530
- Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change by the Options Clearing Corporation Concerning Amendments to OCC's STANS Methodology Description To Enable OCC To Accept Binary Options for Clearing and Appropriately Manage the Risk Created by Binary Options Wednesday, May 27, 2026 91 FR 31513
- 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 Non-Transaction Fees Wednesday, May 27, 2026 91 FR 31490
- Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts Wednesday, May 27, 2026 91 FR 31481
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Temporary Rule 7.34-E(T) To Provide for an Overnight Trading Session and To Amend the Hours for the Exchange's Early Trading Session and the Late Trading Session, and To Make Corresponding Changes to Other Rules Wednesday, May 27, 2026 91 FR 31509
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Introducing a New RPI Add Tier and Amending Its Fee Code Table Applicable to Securities Priced Below $1.00 Wednesday, May 27, 2026 91 FR 31487
- 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 Adopt Fees Applicable to Trading Options on MXWLD, MXACW, and MXUSA Wednesday, May 27, 2026 91 FR 31483
- Registered Offering Reform Tuesday, May 26, 2026 91 FR 31022
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee Tuesday, May 26, 2026 91 FR 30765
- Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Treasury Clearing Rules and Treasury Clearing Service Treasury Operations Policies and Liquidity Risk Management Framework Tuesday, May 26, 2026 91 FR 30751
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Delete the Cabinet Upgrade Fee Tuesday, May 26, 2026 91 FR 30760
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee Tuesday, May 26, 2026 91 FR 30763
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public) Tuesday, May 26, 2026 91 FR 30750
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee Tuesday, May 26, 2026 91 FR 30768
- 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 Tuesday, May 26, 2026 91 FR 30770
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee Tuesday, May 26, 2026 91 FR 30758
- Order Granting Additional Directors and Officers of Certain Foreign Private Issuers an Exemption From the Filing Requirements of Section 16(a) of the Exchange Act Friday, May 22, 2026 91 FR 30345
- Keystone Private Income Fund, et al. Friday, May 22, 2026 91 FR 30340
- Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail To Add Texas Stock Exchange LLC as a Participant Friday, May 22, 2026 91 FR 30339
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3120 To Increase the Position and Exercise Limits for Options on the iShares Bitcoin Trust ETF Friday, May 22, 2026 91 FR 30340
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fee Schedule Applicable to Members Concerning Equities Transaction Pricing Friday, May 22, 2026 91 FR 30355
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Position and Exercise Limits Rules Friday, May 22, 2026 91 FR 30358
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services) Friday, May 22, 2026 91 FR 30346
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Position and Exercise Limit Rules Friday, May 22, 2026 91 FR 30353
- Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies Thursday, May 21, 2026 91 FR 30086
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-2 Thursday, May 21, 2026 91 FR 30016
- Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending Section 703.12(II) of the NYSE Listed Company Manual To Expand the Circumstances Under Which Rights May Be Listed on the NYSE Thursday, May 21, 2026 91 FR 30005
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM's Rules in Connection With a Technology Migration Thursday, May 21, 2026 91 FR 30030
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits, and Exchange Rule 309, Exercise Limits, To Increase the Position and Exercise Limits for iShares Bitcoin Trust ETF Thursday, May 21, 2026 91 FR 29997
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report Thursday, May 21, 2026 91 FR 29992
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report Thursday, May 21, 2026 91 FR 30017
- Self-Regulatory Organizations; MIAX SAPPHIRE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report Thursday, May 21, 2026 91 FR 29995
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report Thursday, May 21, 2026 91 FR 30019
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Short Term Option Series Program Thursday, May 21, 2026 91 FR 30003
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E Thursday, May 21, 2026 91 FR 30006
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Position and Exercise Limits for Options on iShares Bitcoin Trust ETF Thursday, May 21, 2026 91 FR 30008
- Rescission of Policy Regarding Denials in Settlements of Enforcement Actions Thursday, May 21, 2026 91 FR 29892
- The Goldman Sachs Group, Inc. Thursday, May 21, 2026 91 FR 30021
- U.S. Bancorp, et al.; Notice of Application and Temporary Order Tuesday, May 19, 2026 91 FR 29244
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 611 Tuesday, May 19, 2026 91 FR 29198
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 24X Rule 1.5(c) To Extend by Seven (7) Months the Deadline by Which 24X Must File With the Commission the 24X Market Session Proposed Rule Change Regarding the Commencement of the 24X Market Session Tuesday, May 19, 2026 91 FR 29241
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters Tuesday, May 19, 2026 91 FR 29205
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, To Adopt Additional Initial Listing Criteria for Companies Primarily Operating in China Tuesday, May 19, 2026 91 FR 29183
- 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 Adopt Fees Applicable to Trading Options on MXWLD, MXACW, and MXUSA Tuesday, May 19, 2026 91 FR 29198
- Self-Regulatory Organizations; MIAX SAPPHIRE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Short Term Option Series Program Tuesday, May 19, 2026 91 FR 29178
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Short Term Option Series Program Tuesday, May 19, 2026 91 FR 29180
- 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 Between Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., BOX Exchange LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., NYSE Texas, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., Long-Term Stock Exchange, Inc., MEMX LLC, Nasdaq ISE, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, Investors Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, MIAX Sapphire, LLC, The Nasdaq Stock Market LLC, Nasdaq Texas LLC, Nasdaq PHLX LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Long-Term Stock Exchange, Inc., 24X National Exchange LLC, Green Impact Exchange, LLC, MX2 LLC and Texas Stock Exchange LLC Concerning Covered Regulation NMS and Consolidated Audit Trail Rules Tuesday, May 19, 2026 91 FR 29171
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating to Investigative and Disciplinary Matters Tuesday, May 19, 2026 91 FR 29223
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Emerald Price Improvement Mechanism and PRIME Solicitation Mechanism Tuesday, May 19, 2026 91 FR 29202
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change 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) Tuesday, May 19, 2026 91 FR 29201
- Proposed Collection; Comment Request; Extension: Rule 206(4)-6 Tuesday, May 19, 2026 91 FR 29204
- Sunshine Act Meetings Tuesday, May 19, 2026 91 FR 29180
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-CSR Monday, May 18, 2026 91 FR 28694
- KKR Real Estate Select Trust Inc., et al. Monday, May 18, 2026 91 FR 28698
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 4321 (Allocations of Fail To Deliver Positions) and Amend FINRA Rule 4560 (Short-Interest Reporting) Monday, May 18, 2026 91 FR 28699
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Allow Sponsored Participants To Be Joint Participants in the Warrant Performance Incentive Program Monday, May 18, 2026 91 FR 28695
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules To Permit the Listing and Trading of Exchange-Traded Products on the Exchange Monday, May 18, 2026 91 FR 28683
- Self-Regulatory Organizations; Cboe 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 Its Rules Relating to Designated Primary Market-Makers (“DPMs”) and DPM Appointments in Global Trading Hours and Curb Sessions Monday, May 18, 2026 91 FR 28705
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Monday, May 18, 2026 91 FR 28660
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Monday, May 18, 2026 91 FR 28711
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Monday, May 18, 2026 91 FR 28637
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges Monday, May 18, 2026 91 FR 28690
- Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related To Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Monday, May 18, 2026 91 FR 28734
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Monday, May 18, 2026 91 FR 28866
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) To Establish Fees for Industry Members Related to Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Monday, May 18, 2026 91 FR 28766
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Monday, May 18, 2026 91 FR 28816
- Deregistration Under Section 8(f) of the Investment Company Act of 1940 Monday, May 18, 2026 91 FR 28698
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form ADV Friday, May 15, 2026 91 FR 28088
- Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Twenty-Sixth Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas LLC Friday, May 15, 2026 91 FR 27995
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Friday, May 15, 2026 91 FR 28033
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 1 Friday, May 15, 2026 91 FR 28086
- Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Concerning a New Customer Net Margin Account Option for Agent Clearing Members in the Securities Financing Transaction Clearing Service Friday, May 15, 2026 91 FR 28000
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Adopt a New Fee Code for Market-Maker Complex Orders Executed on the Complex Order Book That Add Liquidity in Penny Program Securities and To Amend Its Orders Submitted With a Designated Give Up Program Friday, May 15, 2026 91 FR 28056
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Friday, May 15, 2026 91 FR 28158
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Friday, May 15, 2026 91 FR 28208
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Exchange's Rules To Enable the Trading of Securities on the Exchange in Tokenized Form Friday, May 15, 2026 91 FR 28059
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules To Enable the Trading of Securities on the Exchange in Tokenized Form Friday, May 15, 2026 91 FR 28004
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish Fees Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Friday, May 15, 2026 91 FR 28308
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Friday, May 15, 2026 91 FR 28258
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Extended Trading Hours for Eligible Equity and Index Options Friday, May 15, 2026 91 FR 27995
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Friday, May 15, 2026 91 FR 28358
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Friday, May 15, 2026 91 FR 28009
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Friday, May 15, 2026 91 FR 28064
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 and Correct Rule 7.37(e) Friday, May 15, 2026 91 FR 27999
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.37E and Correct Rule 7.37E(d) Friday, May 15, 2026 91 FR 27997
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E Friday, May 15, 2026 91 FR 28032
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Concerning the Consolidated Audit Trail Friday, May 15, 2026 91 FR 28108
- GoldenTree Opportunistic Credit Fund, et al. Thursday, May 14, 2026 91 FR 27474
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37 Thursday, May 14, 2026 91 FR 27420
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Description and Contents of GEMX Trade Outline Products Thursday, May 14, 2026 91 FR 27478
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Thursday, May 14, 2026 91 FR 27421
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Thursday, May 14, 2026 91 FR 27382
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Thursday, May 14, 2026 91 FR 27449
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule To Make Changes in Connection With the Fees Related to Certain Orders Executed in Automated Improvement Mechanism Auctions, Amend the Customer Volume Incentive Program and Affiliated Volume Plan, and Amend the Cboe Options Historical Depth Description Thursday, May 14, 2026 91 FR 27444
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change 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 Thursday, May 14, 2026 91 FR 27406
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Entitled “Consolidated Audit Trail Funding Fees” Thursday, May 14, 2026 91 FR 27742
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Entitled “Consolidated Audit Trail Funding Fees” Thursday, May 14, 2026 91 FR 27642
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Entitled “Consolidated Audit Trail Funding Fees” Thursday, May 14, 2026 91 FR 27692
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Entitled “Consolidated Audit Trail Funding Fees” Thursday, May 14, 2026 91 FR 27592
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Entitled “Consolidated Audit Trail Funding Fees” Thursday, May 14, 2026 91 FR 27542
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Entitled “Consolidated Audit Trail Funding Fees” Thursday, May 14, 2026 91 FR 27492
- Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Facilitate the Exchange of a Mutual Fund Share to an Exchange-Traded Fund Share, Shorten the Settlement Time for Certain Networking Payments, and Clarify Certain Fees Thursday, May 14, 2026 91 FR 27475
- AQR Delphi Long-Short Fund and AQR Capital Management, LLC Thursday, May 14, 2026 91 FR 27405
- Precidian ETF Trust II, et al. Thursday, May 14, 2026 91 FR 27472
- G-X Private Equity and Goldman Sachs Asset Management, L.P. Wednesday, May 13, 2026 91 FR 27114
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of iShares Bitcoin Premium Income ETF Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares) Wednesday, May 13, 2026 91 FR 27097
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend 24X Rules 2.11, 1.5(kk), 11.6(p), and 4.5(qq) Wednesday, May 13, 2026 91 FR 27118
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Price List Wednesday, May 13, 2026 91 FR 27113
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification Wednesday, May 13, 2026 91 FR 27104
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Remove Text Capping the Number of Dedicated Cores Available to Market Participants Wednesday, May 13, 2026 91 FR 27090
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule to Remove Text Capping the Number of Dedicated Cores Available to Market Participants Wednesday, May 13, 2026 91 FR 27094
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Remove Text Capping the Number of Dedicated Cores Available to Market Participants Wednesday, May 13, 2026 91 FR 27109
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule To Remove Text Capping the Number of Dedicated Cores Available to Market Participants Wednesday, May 13, 2026 91 FR 27115
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26802
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Align the Notice Period for Missed Transfer Adjustments in the Distributions Service Guide Tuesday, May 12, 2026 91 FR 26169
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26752
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26702
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Pearl Equities Fee Schedule To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26652
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the MIAX Emerald Options Exchange Fee Schedule To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26602
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Texas, Inc. To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26552
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Price List To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26502
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26452
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26402
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 26146
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 26194
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 26217
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 26123
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 26008
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 26054
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 26100
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule of NYSE Texas, Inc. To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 26171
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Fee Schedule To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 25938
- 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 To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 26031
- 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 Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 25985
- 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 Establish Fees for Industry Members Related To Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 26077
- 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 To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Tuesday, May 12, 2026 91 FR 25961
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Fee Schedule To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26352
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE National Schedule of Fees and Rebates To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, May 12, 2026 91 FR 26302
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail Incurred Prior to January 1, 2022 Tuesday, May 12, 2026 91 FR 26252
- Sunshine Act Meetings Monday, May 11, 2026 91 FR 25604
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for the Period From May 1, 2026 Through December 31, 2026 Monday, May 11, 2026 91 FR 25677
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE National Schedule of Fees and Rebates To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Monday, May 11, 2026 91 FR 25605
- 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 Monday, May 11, 2026 91 FR 25669
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule To Establish Fees for Industry Members Related To Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Monday, May 11, 2026 91 FR 25646
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Price List To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Monday, May 11, 2026 91 FR 25726
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges and the NYSE Arca Options Fees and Charges To Establish Fees for Industry Members Related to Reasonably Budgeted CAT Costs of the National Market System Plan Governing the Consolidated Audit Trail for May 1, 2026 Through December 31, 2026 Monday, May 11, 2026 91 FR 25700
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.190(g) Monday, May 11, 2026 91 FR 25638
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.8, Voluntary Termination of Rights as a Member Monday, May 11, 2026 91 FR 25642
- Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.8, Voluntary Termination of Rights as a Member Monday, May 11, 2026 91 FR 25723
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Regarding Trading Permit Holders and Associated Persons of a Trading Permit Holder Who Are or Become Subject to a Statutory Disqualification Monday, May 11, 2026 91 FR 25672
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification Monday, May 11, 2026 91 FR 25633
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification Monday, May 11, 2026 91 FR 25628
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification Monday, May 11, 2026 91 FR 25600
- Proposed Collection; Comment Request; Extension: Rule 15b6-1 and Form BDW Monday, May 11, 2026 91 FR 25723
- Agency Information Collection Activities; Submission for OMB Review; Comment Request: Extension: Rule 151-1 Monday, May 11, 2026 91 FR 25645
- Adams Street Advisors, LLC., et al. Monday, May 11, 2026 91 FR 25671
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 2040, Qualified Floor Orders Friday, May 8, 2026 91 FR 25413
- 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 Introduce the LTSE Membership Launchpad Program Friday, May 8, 2026 91 FR 25397
- Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the CDS Clearing Rules (AMF Outsourcing; EMIR SITG; EU CCPRR) Friday, May 8, 2026 91 FR 25421
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the DTC Rules To Align a Provision With Rule 17ad-22(e)(19) Under the Securities Exchange Act of 1934 Friday, May 8, 2026 91 FR 25408
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Certain Rules Regarding Complex Orders and Complex Order Auctions To Accommodate Stop-Limit Complex Orders and Establish Stop Complex Order Auctions as a New Type of Auction Mechanism Friday, May 8, 2026 91 FR 25393
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Ports Fees Friday, May 8, 2026 91 FR 25410
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Stock Loan Inventory Functionality for Silexx Friday, May 8, 2026 91 FR 25404
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Adopt Rules Related to the Listing and Trading of Closed-End Funds on the Exchange Friday, May 8, 2026 91 FR 25400
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Permit the Listing of A.M.-Settled Options on the Nasdaq-100 Index That Expire on Any Monday, Tuesday, Wednesday, Thursday, or Friday (Other Than the Third Friday-of-the-Month or Days That Coincide With an End-of-Month Expiration) and Expire on the Last Trading Day of the Month Friday, May 8, 2026 91 FR 25393
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 104 Friday, May 8, 2026 91 FR 25425
- Semiannual Reporting Thursday, May 7, 2026 91 FR 24968
- Order Making Fiscal Year 2026 Annual Adjustments to Transaction Fee Rates; Correction Thursday, May 7, 2026 91 FR 24948
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Designated Date for Removal of the Exchange's Dedicated GPS Antenna Service Under General 8, Section 1(d) Thursday, May 7, 2026 91 FR 24949
- Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-12(c) To Codify and Retire or Revise Certain Existing Interpretive Guidance on Confirmation Requirements for Those Inter-Dealer Municipal Securities Transactions That Are Ineligible for Automated Comparison Thursday, May 7, 2026 91 FR 24919
- 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., Cboe BYX Exchange, Inc., NYSE Texas, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, MIAX PEARL, LLC, Nasdaq Texas LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., 24X National Exchange LLC, Green Impact Exchange, LLC, MX2 LLC, and Texas Stock Exchange LLC Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules Thursday, May 7, 2026 91 FR 24938
- Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-20 To Revise the MSRB's Gift and Gratuities Requirements To Preserve Alignment With Amendments to FINRA Rule 3220 and To Make Certain Technical Amendments Thursday, May 7, 2026 91 FR 24929
- Self-Regulatory Organizations; LCH SA; Notice of an Application for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 Relating to Rule Filing Requirements and Request for Comment Wednesday, May 6, 2026 91 FR 24617
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, 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 Adopt FINRA Rule 3290 (Outside Activities Requirements) Wednesday, May 6, 2026 91 FR 24613
- Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Forty-First Amendment to the Second Restatement of the CTA Plan and Thirty-Second Amendment to the Restated CQ Plan Wednesday, May 6, 2026 91 FR 24619
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the VanEck JitoSOL ETF Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares) Wednesday, May 6, 2026 91 FR 24625
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules To Enable the Trading of Securities on the Exchange in Tokenized Form Wednesday, May 6, 2026 91 FR 24620
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) To Expand the Scope of the Non-Member Affiliate-Principal Transaction Indicator to Also Include Member Affiliates Wednesday, May 6, 2026 91 FR 24625
- Order Granting Conditional Exemptive Relief Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) From Rule Filing Requirements Under Section 19(b) of the Exchange Act and Requirements Under Section 6(b) of the Exchange Act for Order and Execution Management Systems Offered by an Affiliate of the Cboe Exchange, Inc. (“Cboe” or “Exchange”) or Pursuant to a Contract With the Exchange Wednesday, May 6, 2026 91 FR 24631
- Muzinich BDC, Inc., et al. Tuesday, May 5, 2026 91 FR 24312
- Technical Amendments to Rule 610(e) of Regulation NMS and to Delegation of Authority To Grant or Deny Exemptions From Rule 610 of Regulation NMS Tuesday, May 5, 2026 91 FR 24115
- Guggenheim Strategic Opportunities Fund, et al. Tuesday, May 5, 2026 91 FR 24298
- PCM Fund, Inc., et al. Tuesday, May 5, 2026 91 FR 24299
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Amendment Nos. 3 and 4, and Order Granting Accelerated Approval of a Proposed Rule Change, as Superseded by Amendment No. 3 and Modified by Amendment No. 4, To Adopt New Options Rule 3B To List and Trade Binary Broad-Based Index Options Tuesday, May 5, 2026 91 FR 24299
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules To Enable the Trading of Securities on the Exchange in Tokenized Form Tuesday, May 5, 2026 91 FR 24307
- Sunshine Act Meetings Tuesday, May 5, 2026 91 FR 24313
- VegaShares ETF Trust and Vega Capital Partners LLC Monday, May 4, 2026 91 FR 24022
- Franklin Lexington Private Markets Fund, et al. Monday, May 4, 2026 91 FR 24022
- Multi-Class ETF Fund Exemptive Relief Under the Investment Company Act of 1940 Monday, May 4, 2026 91 FR 24025
- Monachil Credit Income Fund, et al. Monday, May 4, 2026 91 FR 24024
- Third Point Private Capital Partners, et al. Monday, May 4, 2026 91 FR 24023
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of Proposed Minor Rule Violation Plan Monday, May 4, 2026 91 FR 24024
- 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 Chicago Mercantile Exchange Inc. Monday, May 4, 2026 91 FR 24028
- Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Section 1003 of the NYSE American Company Guide Monday, May 4, 2026 91 FR 24023
- Staff Report on the Definitions of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant” Monday, May 4, 2026 91 FR 24038
- Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 Under the Investment Advisers Act of 1940 Friday, May 1, 2026 91 FR 23520
- Self-Regulatory Organizations: Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531 Friday, May 1, 2026 91 FR 23479
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings to Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New Continued Listing Requirement Friday, May 1, 2026 91 FR 23495
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531 Friday, May 1, 2026 91 FR 23503
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531 Friday, May 1, 2026 91 FR 23476
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Introducing New Fee Code ZP and Amending the Fee Associated With Fee Code DX Friday, May 1, 2026 91 FR 23486
- Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Investors Exchange LLC Friday, May 1, 2026 91 FR 23506
- 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 Modify Certain Rebate Tiers for Qualified Contingent Cross Transactions Friday, May 1, 2026 91 FR 23492
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531 Friday, May 1, 2026 91 FR 23483
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing of A.M.-Settled Options on the S&P 500 Index that Expire on Any Monday, Tuesday, Wednesday, Thursday, or Friday (other than the Third Friday-of-the-Month or Days that Coincide With an End-of-Month Expiration) and Expire on the Last Trading Day of the Month Friday, May 1, 2026 91 FR 23499
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the One-Minute Intraday Open-Close Data Report and To Adopt Fees for Such Product Friday, May 1, 2026 91 FR 23515
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rules 353 and 931NY Friday, May 1, 2026 91 FR 23474
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Replace the Existing Flat Monthly Fee for the Silexx Application Programming Interface (“API”) With a Usage-Based Tiered Pricing Structure Friday, May 1, 2026 91 FR 23512
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fee Schedule To Introduce a New Displayed Liquidity Adding Rebate for Tape B Securities Friday, May 1, 2026 91 FR 23489
- GCM Grosvenor Private Equity Capital Opportunities Fund and GCM Grosvenor Wealth L.P. Thursday, April 30, 2026 91 FR 23317
- Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice To Raise Prefunded Default Liquidity Through the Commercial Paper Program Thursday, April 30, 2026 91 FR 23318
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) Thursday, April 30, 2026 91 FR 23321
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 8.201-E (Generic) To Modify the Generic Listing Standards for Commodity-Based Trust Shares Thursday, April 30, 2026 91 FR 23327
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 5, To Amend the Position and Exercise Limits for IBIT Options Thursday, April 30, 2026 91 FR 23333
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B) to Delay the Opening Auction Under Certain Market Conditions Thursday, April 30, 2026 91 FR 23330
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Short Term Options Series Program Thursday, April 30, 2026 91 FR 23324
- AAM/Wilshire Infrastructure Fund and Advisors Asset Management, Inc. Thursday, April 30, 2026 91 FR 23323
- Wasatch Funds Trust and Wasatch Advisors LP Thursday, April 30, 2026 91 FR 23324
- 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 the Firm and Broker Dealer Monthly Fee Cap and the Combined Cap on Submitting Broker Credits Paid for QCC Trades and Floor Broker Rebates Paid Through the Manual Billable Rebate Program Wednesday, April 29, 2026 91 FR 23125
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the T. Rowe Price Active Crypto ETF Under NYSE Arca Rule 8.201-E (Generic) Commodity-Based Trust Shares Wednesday, April 29, 2026 91 FR 23135
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Certain Parts of its Opening and Closing Auctions Wednesday, April 29, 2026 91 FR 23128
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Codify a User Fee Exemption and the Amended Definition of “Non-Display Usage” in Its Fee Schedule Tuesday, April 28, 2026 91 FR 22896
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Codify a User Fee Exemption and the Amended Definition of “Non-Display Usage” in Its Fee Schedule Tuesday, April 28, 2026 91 FR 22899
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Codify a User Fee Exemption and the Amended Definition of “Non-Display Usage” in Its Fee Schedule Tuesday, April 28, 2026 91 FR 22889
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Codify a User Fee Exemption and the Amended Definition of “Non-Display Usage” in Its Fee Schedule Tuesday, April 28, 2026 91 FR 22881
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 2050, Trading Floor Order Price Protection Mechanisms and Risk Controls Tuesday, April 28, 2026 91 FR 22876
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Codify a User Fee Exemption and Amend the Definition of Non-Display Usage Tuesday, April 28, 2026 91 FR 22892
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Codify a User Fee Exemption and Amend the Definition of Non-Display Usage Tuesday, April 28, 2026 91 FR 22894
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend FINRA Rules 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities) Tuesday, April 28, 2026 91 FR 22902
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Codify a User Fee Exemption and Amend the Definition of Non-Display Usage Tuesday, April 28, 2026 91 FR 22878
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule to Codify a User Fee Exemption and Amend the Definition of Non-Display Usage Tuesday, April 28, 2026 91 FR 22887
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Amend Rule 5711(d) To Modify the Generic Listing Standards for Commodity-Based Trust Shares Tuesday, April 28, 2026 91 FR 22883
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation S-Rules Governing Offers and Sales Made Outside the United States Without Registration Under the Securities Act of 1933 Monday, April 27, 2026 91 FR 22561
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 147(f)(1)(iii) Written Representation as to Purchaser Residency Monday, April 27, 2026 91 FR 22558
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 147A(f)(1)(iii) Written Representation as to Purchaser Residency Monday, April 27, 2026 91 FR 22561
- Sunshine Act Meetings Monday, April 27, 2026 91 FR 22554
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify Certain Initial Listing Requirements for Acquisition Companies Monday, April 27, 2026 91 FR 22558
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rule Regarding Trading Permit Holders and Associated Persons of a Trading Permit Holder Who Are or Become Subject to a Statutory Disqualification Monday, April 27, 2026 91 FR 22562
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Description and Contents of ISE Trade Outline Products Monday, April 27, 2026 91 FR 22555
- Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the Extension of Eligible Collateral to U.S. Treasury Monday, April 27, 2026 91 FR 22566
- AGL Private Credit Income Fund, et al. Friday, April 24, 2026 91 FR 22194
- CION Grosvenor Infrastructure Master Fund, LLC, et al. Friday, April 24, 2026 91 FR 22195
- Form PF; Reporting Requirements for All Filers Friday, April 24, 2026 91 FR 22232
Recent Issues
- Federal Register Volume 91 Issue 102 (Thursday, May 28, 2026) Thursday, May 28, 2026 7 documents
- Federal Register Volume 91 Issue 101 (Wednesday, May 27, 2026) Wednesday, May 27, 2026 7 documents
- Federal Register Volume 91 Issue 100 (Tuesday, May 26, 2026) Tuesday, May 26, 2026 9 documents
- Federal Register Volume 91 Issue 99 (Friday, May 22, 2026) Friday, May 22, 2026 8 documents
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- Federal Register Volume 91 Issue 96 (Tuesday, May 19, 2026) Tuesday, May 19, 2026 14 documents
- Federal Register Volume 91 Issue 95 (Monday, May 18, 2026) Monday, May 18, 2026 15 documents
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- Federal Register Volume 91 Issue 92 (Wednesday, May 13, 2026) Wednesday, May 13, 2026 9 documents
- Federal Register Volume 91 Issue 91 (Tuesday, May 12, 2026) Tuesday, May 12, 2026 26 documents
- Federal Register Volume 91 Issue 90 (Monday, May 11, 2026) Monday, May 11, 2026 17 documents
- Federal Register Volume 91 Issue 89 (Friday, May 8, 2026) Friday, May 8, 2026 10 documents
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- Federal Register Volume 91 Issue 85 (Monday, May 4, 2026) Monday, May 4, 2026 9 documents
- Federal Register Volume 91 Issue 84 (Friday, May 1, 2026) Friday, May 1, 2026 14 documents
- Federal Register Volume 91 Issue 83 (Thursday, April 30, 2026) Thursday, April 30, 2026 9 documents
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- Federal Register Volume 91 Issue 81 (Tuesday, April 28, 2026) Tuesday, April 28, 2026 11 documents
- Federal Register Volume 91 Issue 80 (Monday, April 27, 2026) Monday, April 27, 2026 8 documents
- Federal Register Volume 91 Issue 79 (Friday, April 24, 2026) Friday, April 24, 2026 6 documents
- Federal Register Volume 91 Issue 78 (Thursday, April 23, 2026) Thursday, April 23, 2026 1 document