Agency Archive

Securities and Exchange Commission

Recent Federal Register documents and issues associated with this agency.

Recent Documents

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
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 To Adopt a Wide Market Protection Mechanism Designed To Reduce the Risk of Orders Executing at Extreme or Adverse Prices When the National Best Bid and Offer (“NBBO”) Is Determined To Be Wide Friday, April 24, 2026 91 FR 22179
Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 To Adopt a Wide Market Protection Mechanism Designed To Reduce the Risk of Orders Executing at Extreme or Adverse Prices When the National Best Bid and Offer (“NBBO”) Is Determined To Be Wide Friday, April 24, 2026 91 FR 22189
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 To Adopt a Wide Market Protection Mechanism Designed To Reduce the Risk of Orders Executing at Extreme or Adverse Prices When the National Best Bid and Offer (“NBBO”) Is Determined To Be Wide Friday, April 24, 2026 91 FR 22184
Aristotle Pacific Enhanced CLO Income Fund, et al. Thursday, April 23, 2026 91 FR 21858
Saba Capital Income & Opportunities Fund II, et al. Wednesday, April 22, 2026 91 FR 21532
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Nasdaq Options Market Data Feeds With Those of Other Nasdaq Options Markets Wednesday, April 22, 2026 91 FR 21586
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Concerning New Transaction Reporting Capability for Members That Maintain Clearing Relationships With Another Member Wednesday, April 22, 2026 91 FR 21561
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 21.19 and 21.21 To Permit Orders for the Accounts of Market-Makers With an Appointment in the Applicable Class To Be Solicited for the Initiating Order for a Simple AIM or Simple SAM Auction Wednesday, April 22, 2026 91 FR 21550
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the BondBloxx Private Credit Trust Under BZX Rule 14.11(f), Trust Issued Receipts Wednesday, April 22, 2026 91 FR 21527
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 4.21 (Series of FLEX Options) Wednesday, April 22, 2026 91 FR 21557
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Auction Mechanisms Wednesday, April 22, 2026 91 FR 21580
Joint Industry Plan; Notice of Filing of Amendment No. 1, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, as Modified by Amendment No. 1 Thereto, To Extend the Processor's Hours of Operation Wednesday, April 22, 2026 91 FR 21541
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Auction Mechanisms Wednesday, April 22, 2026 91 FR 21522
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Auction Mechanisms Wednesday, April 22, 2026 91 FR 21576
Consolidated Tape Association; Notice of Filing of Amendment No. 1, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Fortieth Substantive Amendment to the Second Restatement of the CTA Plan and Thirty-First Substantive Amendment to the Restated CQ Plan, as Modified by Amendment No. 1 Thereto, To Extend the Processor's Hours of Operation Wednesday, April 22, 2026 91 FR 21563
Self-Regulatory Organizations; New York Stock Exchange LLC; 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, April 22, 2026 91 FR 21553
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Auction Mechanisms Wednesday, April 22, 2026 91 FR 21537
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NTX Options Price Improvement Auction Wednesday, April 22, 2026 91 FR 21573
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30e-1 Wednesday, April 22, 2026 91 FR 21585
Reopening of Comment Period; Notice 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 Request for Comment Wednesday, April 22, 2026 91 FR 21584
Notice 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 Request for Comment Wednesday, April 22, 2026 91 FR 21533
Alger Next Gen Growth Fund, et al. Tuesday, April 21, 2026 91 FR 21361
Man ETF Series Trust and Man Solutions LLC Tuesday, April 21, 2026 91 FR 21344
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-Q Tuesday, April 21, 2026 91 FR 21341
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-PX Tuesday, April 21, 2026 91 FR 21358
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.240 (Trade Execution, Reporting, and Dissemination of Quotations) To Conform With Amendments to Rules 600 and 603 of Regulation NMS Recently Approved by the Commission That Concern the Reporting and Dissemination of Odd-Lot Information Tuesday, April 21, 2026 91 FR 21342
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 3304 (Data Feeds Utilized) To Establish a Primary and Secondary Source of Quotation Data of a New Market Center Tuesday, April 21, 2026 91 FR 21360
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4759 (Data Feeds Utilized) To Establish a Primary and Secondary Source of Quotation Data of a New Market Center Tuesday, April 21, 2026 91 FR 21340
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4759 (Data Feeds Utilized) To Establish a Primary and Secondary Source of Quotation Data of a New Market Center Tuesday, April 21, 2026 91 FR 21357
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Class ETF Shares to the Definition of Exchange-Traded Product Tuesday, April 21, 2026 91 FR 21355
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Certain Standard Transaction Fees, Floor Broker Permit Fees, the SPX and VIX Floor Broker Trading Surcharges, the Floor Broker ADV Discount, Market-Maker Tier Appointment Fees, Floor Jacket Stipends, and SPXW Excessive Complex Instrument Creation Charges Tuesday, April 21, 2026 91 FR 21345
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rule IM-5101-4 Tuesday, April 21, 2026 91 FR 21358
Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources Monday, April 20, 2026 91 FR 20945
Sunshine Act Meetings Monday, April 20, 2026 91 FR 21063
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-27 Monday, April 20, 2026 91 FR 21041
Order Under Section 36 of the Securities Exchange Act of 1934 (the “Exchange Act”) Granting Conditional Exemptive Relief from Section 15(c)(3) of and Rule 15c3-3 Under the Exchange Act for Cross-Margining of Cleared U.S. Treasury Securities and Related Futures Monday, April 20, 2026 91 FR 21035
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment Nos. 1 and 2, To Amend and Restate the Second Amended and Restated Cross-Margining Agreement Between FICC and CME and Amend Related GSD Rules Monday, April 20, 2026 91 FR 21025
Flat Rock Global, LLC, et al. Monday, April 20, 2026 91 FR 21068
The RBB Fund Trust and Opal Capital LLC Monday, April 20, 2026 91 FR 21069
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Franklin Ethereum ETF Monday, April 20, 2026 91 FR 21056
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules Related to Binary Options Monday, April 20, 2026 91 FR 21045
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Certain Connectivity Services Monday, April 20, 2026 91 FR 21042
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Certain Connectivity Services Monday, April 20, 2026 91 FR 21058
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Connectivity Services Monday, April 20, 2026 91 FR 21022
Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Regarding Complimentary Products and Services Offered by the Exchange Monday, April 20, 2026 91 FR 21061
Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Review of Professional Orders Monday, April 20, 2026 91 FR 21019
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Review of Professional Orders Monday, April 20, 2026 91 FR 21066
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Review of Professional Orders Monday, April 20, 2026 91 FR 21054
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of “Exercise Settlement Amount” Applicable to Binary Options Monday, April 20, 2026 91 FR 21063
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 3a-8 Under the Investment Company Act of 1940 Friday, April 17, 2026 91 FR 20741
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation 14N and Schedule 14N Friday, April 17, 2026 91 FR 20772
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Quarterly Review of Professional Orders Friday, April 17, 2026 91 FR 20729
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 the Fees for All Liquidity Taker Event Reports Friday, April 17, 2026 91 FR 20724
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 Amend the Fees for All Liquidity Taker Event Reports Friday, April 17, 2026 91 FR 20767
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Fee Schedule for All Liquidity Taker Event Reports Friday, April 17, 2026 91 FR 20742
Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the CDSClear Risk Framework Friday, April 17, 2026 91 FR 20750
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Exchange Fee Schedule for All Liquidity Taker Event Reports Friday, April 17, 2026 91 FR 20755
Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Establish the CME Securities Clearing Inc. Enterprise Risk Management Framework Friday, April 17, 2026 91 FR 20719
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(c)(11) and Rule 11.13(a)(4)(C)-(D) To Describe the Behavior of Non-Displayed Orders Friday, April 17, 2026 91 FR 20763
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.6(e)(2) and Rule 11.10(a)(4)(C)-(D) To Describe the Behavior of Orders Containing a Non-Displayed Instruction Friday, April 17, 2026 91 FR 20747
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(c)(11) and Rule 11.13(a)(4)(C)-(D) To Describe the Behavior of Non-Displayed Orders Friday, April 17, 2026 91 FR 20760
Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend LTSE Fee Schedule To Modify Transaction Fees Friday, April 17, 2026 91 FR 20739
Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend FINRA Rule 4210 (Margin Requirements) To Replace the Day Trading Margin Provisions With Intraday Margin Standards Friday, April 17, 2026 91 FR 20731
Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940 Friday, April 17, 2026 91 FR 20723
Adoption of Updated EDGAR Filer Manual Thursday, April 16, 2026 91 FR 20335
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Schedule TO Thursday, April 16, 2026 91 FR 20542
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 5-Annual Statement of Beneficial Ownership Thursday, April 16, 2026 91 FR 20527
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities, and Exchange Rule 403, Withdrawal of Approval of Underlying Securities, To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets Thursday, April 16, 2026 91 FR 20536
Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities, and Exchange Rule 403, Withdrawal of Approval of Underlying Securities, To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets Thursday, April 16, 2026 91 FR 20545
Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities, and Exchange Rule 403, Withdrawal of Approval of Underlying Securities, To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets Thursday, April 16, 2026 91 FR 20530
Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Review of Professional Orders Thursday, April 16, 2026 91 FR 20528
Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Review of Professional Orders Thursday, April 16, 2026 91 FR 20542
Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Clarifying Changes to the Rule Text Related to the Trading Floor Thursday, April 16, 2026 91 FR 20519
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 Thursday, April 16, 2026 91 FR 20524
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.15(b) To Introduce the Exchange's Clock Service Thursday, April 16, 2026 91 FR 20515
Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Modify the CME Securities Clearing Inc. Amended and Restated By-Laws, Board of Directors Charter, Risk Management Committee Charter, Nominating Committee Charter, and Audit Committee Charter Thursday, April 16, 2026 91 FR 20550
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning NSCC's Ability To Support Industry Efforts To Extend Trading Hours for the U.S. Equity Markets Thursday, April 16, 2026 91 FR 20507
Agency Information Collection Activities; Proposed Collection; Comment Request; ICR Type Extension: Form 144-Notice of Proposed Sale of Securities Pursuant to Rule 144 Under the Securities Act of 1933 Wednesday, April 15, 2026 91 FR 20198
Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of 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, April 15, 2026 91 FR 20192
Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Section 2, Customer Rebate Program, and at Options 7, Section 4, Multiply Listed Options Fees Wednesday, April 15, 2026 91 FR 20200
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules To Enable the Exchange To Offer Trading in Equity Securities and Exchange Traded Products 23 Hours per Day, Five Days per Week Wednesday, April 15, 2026 91 FR 20213
Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 14.602, To Extend the Duration of Certain Term-Limited Complimentary Products and Services Wednesday, April 15, 2026 91 FR 20235
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule To Revise the Criteria of LMP Tiers 1 and 2 Wednesday, April 15, 2026 91 FR 20195
Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Regarding Conversion and Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC Wednesday, April 15, 2026 91 FR 20199
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended by Amendment Nos. 2 and 3, To Extend the Exchange's Trading Hours to 23 Hours a Day, Five Days a Week Wednesday, April 15, 2026 91 FR 20222
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Establish a New “Retail Broker” Definition and Related Pricing for the Exchange's Complex Order Book Data Feed Wednesday, April 15, 2026 91 FR 20204
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified and Superseded by Amendment No. 3, To Amend Rules 4.13 and 5.1 To Permit Options on the Dow Jones Industrial Average Index To Be P.M.-Settled Wednesday, April 15, 2026 91 FR 20238
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Facilitate the Transfer and Trading of Options That Overlie a Reduced Value of the MSCI World Index (1/100), the Full Value of the MSCI ACWI Index and a Reduced Value of the MSCI USA Index (1/100) Wednesday, April 15, 2026 91 FR 20208
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Facilitate the Transfer and Trading of Options That Overlie a Reduced Value of the MSCI World Index (1/100), the Full Value of the MSCI ACWI Index and a Reduced Value of the MSCI USA Index (1/100) Wednesday, April 15, 2026 91 FR 20187
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form ID-Application for EDGAR Access Wednesday, April 15, 2026 91 FR 20237
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 3-Initial Statement of Beneficial Ownership of Securities Wednesday, April 15, 2026 91 FR 20238
John Hancock GA Mortgage Trust, et al. Wednesday, April 15, 2026 91 FR 20207
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C) Monday, April 13, 2026 91 FR 18938
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form ADV-H Monday, April 13, 2026 91 FR 18935
Sunshine Act Meetings Monday, April 13, 2026 91 FR 18935
Sunshine Act Meetings Monday, April 13, 2026 91 FR 18928
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 22d-1 Monday, April 13, 2026 91 FR 18927
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 203A-2(d) Monday, April 13, 2026 91 FR 18938
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 12h-1(f) Monday, April 13, 2026 91 FR 18935
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Securities Act Rule 477 Monday, April 13, 2026 91 FR 18946
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Lists of Regulatory Halts and Operational Halts Monday, April 13, 2026 91 FR 18902
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.1 to Permit the Exchange to List Binary Options on Exclusively Listed Index Options Designated for Trading Under Chapter 4, Section B During Global Trading Hours (“GTH”) and Curb Trading Hours (“Curb”) Monday, April 13, 2026 91 FR 18899
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 Amend Non-Transaction Fees Monday, April 13, 2026 91 FR 18884
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 Monday, April 13, 2026 91 FR 18909
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Average Daily Quote and Average Daily Order Fees To Be Effective April 1, 2026 Monday, April 13, 2026 91 FR 18928
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the iShares Bitcoin Trust ETF and iShares Ethereum Trust ETF Monday, April 13, 2026 91 FR 18936
Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Exchange Rules 4.3 (Criteria for Underlying Securities) and 4.4 (Withdrawal of Approval of Underlying Securities) To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets Monday, April 13, 2026 91 FR 18960
Performance-Based Investment Advisory Fees Tuesday, March 31, 2026 91 FR 15930
Sunshine Act Meetings Tuesday, March 31, 2026 91 FR 16044
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 Waive the Combined Cap on Submitting Broker Credits Paid for QCC Trades and Floor Broker Rebates Paid Through the Manual Billable Rebate Program for the Month of March 2026 Tuesday, March 31, 2026 91 FR 16052
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 for Trading in Options Overlying the MSCI EAFE Index and the MSCI Emerging Markets Index Tuesday, March 31, 2026 91 FR 16055
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 Certain Fees and Rebates Applicable to Non-Customers and Floor Brokers Tuesday, March 31, 2026 91 FR 16025
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 Certain Fees and Rebates Applicable to Non-Customers and Floor Brokers Tuesday, March 31, 2026 91 FR 16028
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Apply Its Wide Market Protection Mechanism on a Trading Session-By-Trading Session Basis Tuesday, March 31, 2026 91 FR 16036
Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of a Proposed Rule Change To Adopt Extended Trading Hours for Eligible Equity and Index Options Tuesday, March 31, 2026 91 FR 16066
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22 To Introduce the Exchange's Clock Service Tuesday, March 31, 2026 91 FR 16040
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce an Exchange Clock Service Tuesday, March 31, 2026 91 FR 16032
Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce an Exchange Clock Service Tuesday, March 31, 2026 91 FR 16062
Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Implement a Warrant Performance Incentive Program Tuesday, March 31, 2026 91 FR 16044
Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce an Exchange Clock Service Tuesday, March 31, 2026 91 FR 16058
Sunshine Act Meetings Tuesday, March 31, 2026 91 FR 16058
Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation Not To Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount Tuesday, March 31, 2026 91 FR 16038
Regan Capital Alternative Income Fund and Regan Capital, LLC Tuesday, March 31, 2026 91 FR 16052
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 103 Tuesday, March 31, 2026 91 FR 16031
Application of the Federal Securities Laws to Certain Types of Crypto Assets and Certain Transactions Involving Crypto Assets Monday, March 23, 2026 91 FR 13714
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, To Amend the Exchange's Rules To Enable the Trading of Securities on the Exchange in Tokenized Form Monday, March 23, 2026 91 FR 13900
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Approving Proposed Rule Change To Remove the Activity Limit From the GSD Rules Monday, March 23, 2026 91 FR 13890
Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified and Superseded by Amendment No. 2, To Amend Rule 5.4 To Change the Minimum Increment for Options on the Cboe Magnificent 10 Index Monday, March 23, 2026 91 FR 13907
Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Designated Liquidity Provider and Market Quality Supporter Programs in Equity 7, Section 114 Monday, March 23, 2026 91 FR 13893
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 2.4, 2.6, and 6.44-O To Eliminate Certain Outdated Publication Obligations Monday, March 23, 2026 91 FR 13898
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend and Restate the Second Amended and Restated Cross-Margining Agreement Between FICC and CME and Amend Related GSD Rules Monday, March 23, 2026 91 FR 13912
Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules 5.32-O, 5.35-O, and 6.8-O Regarding Options on Certain Crypto Assets Monday, March 23, 2026 91 FR 13904
Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules 11.28 and 11.29 Relating the Regulatory and Operations Trading Halts, Integrate Several Definitions and Concepts From the Amended CTA/CQ Plan, Reorganize Existing Rule 11.18, and To Make Conforming Changes to Related Rules Monday, March 23, 2026 91 FR 13883
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules 11.29 and 11.30 Relating the Regulatory and Operations Trading Halts, Integrate Several Definitions and Concepts From the Amended CTA/CQ Plan, Reorganize Existing Rule 11.18, and To Make Conforming Changes to Related Rules Monday, March 23, 2026 91 FR 13873
Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Exchange Rules 904, 903G, and 906G Regarding Options on Certain Crypto Assets Monday, March 23, 2026 91 FR 13870
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-22 Monday, March 23, 2026 91 FR 13897
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c2-5 Monday, March 23, 2026 91 FR 13907
Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Methodology for Assessment and Collection of the Options Regulatory Fee (ORF) Tuesday, March 17, 2026 91 FR 12851
Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Concerning the Clearing of Exchange-Traded Funds With Options as Underlying Components Tuesday, March 17, 2026 91 FR 12866
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To Amend Exchange Rule 14.12 Monday, March 16, 2026 91 FR 12650
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on 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 in Order To Improve Price Discovery and Allow Executions To Occur at Prices That Better Reflect Current Market Conditions Monday, March 16, 2026 91 FR 12649
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Transaction Rebates Applicable to Members of the Exchange Monday, March 16, 2026 91 FR 12634
JPMorgan Private Markets Fund, et al. Monday, March 16, 2026 91 FR 12643
Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-CSR Friday, March 13, 2026 91 FR 12478
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 19b-4 and Form 19b-4 Friday, March 13, 2026 91 FR 12454
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 Friday, March 13, 2026 91 FR 12457
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 14.11(j) Regarding Information Circular for UTP Derivative Security Friday, March 13, 2026 91 FR 12454
WhiteHorse Finance, Inc., et al. Thursday, March 12, 2026 91 FR 12262
Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Related to Connectivity to Third Party Systems and Third Party Data Feeds Thursday, March 12, 2026 91 FR 12252
Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Related to Connectivity to Third Party Systems and Third Party Data Feeds Thursday, March 12, 2026 91 FR 12230
Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Stress Testing Framework Monday, March 9, 2026 91 FR 11358
Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Stress Testing Framework Monday, March 9, 2026 91 FR 11349
Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Clearing Agency Stress Testing Framework Monday, March 9, 2026 91 FR 11362
Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Rule Codifying the Exchange's Fingerprint-Based Background Check Process Monday, March 9, 2026 91 FR 11368
Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 11.6(q)(1) Monday, March 9, 2026 91 FR 11356
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 for Trading in Options Overlying the MSCI EAFE Index and the MSCI Emerging Markets Index Monday, March 9, 2026 91 FR 11365
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Harmonize Rules 9.261, 9.341, 9.524, and 9.830 With Rule Changes Made by the Financial Industry Regulatory Authority, Inc. That Allow for Video Conference Hearings Under Specified Conditions Monday, March 9, 2026 91 FR 11353
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation SBSR Friday, March 6, 2026 91 FR 11116
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Texas Stock Exchange LLC Friday, March 6, 2026 91 FR 11114
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form S-4-Registration Statement Thursday, March 5, 2026 91 FR 10845
Order Making Fiscal Year 2026 Annual Adjustments to Transaction Fee Rates Wednesday, March 4, 2026 91 FR 10643
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 602 Wednesday, March 4, 2026 91 FR 10655
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 6a-4, Form 1-N Wednesday, March 4, 2026 91 FR 10637
Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-8B-4 Wednesday, March 4, 2026 91 FR 10655
Self-Regulatory Organizations; MIAX Sapphire, LLC; Order Approving Proposed Rule Change, as Modified by Amendment No. 1, To Amend Exchange Rule 527 (Exchange Liability) Wednesday, March 4, 2026 91 FR 10637
Joint Industry Plan; Order Approving Amendment To Add Paragraph (c) to Section 6 of the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options (OLPP) To Create a Forum for Discussion Concerning Plan Matters Monday, March 2, 2026 91 FR 10168
Notice of an Application of the Chicago Mercantile Exchange Inc. for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 and Request for Comment in Connection With the Opening Price Settlement Requirements of Rule 6h-1(b) Under the Securities Exchange Act of 1934 for Certain Cash-Settled Security Futures Thursday, February 12, 2026 91 FR 6681
Self-Regulatory Organizations; Nasdaq BX, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Schedule of Fees and Rebates To Bring It Into Compliance With New Reg NMS Rule 610(d) Thursday, February 12, 2026 91 FR 6691
Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Equities Transaction Pricing Thursday, February 12, 2026 91 FR 6666
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 Thursday, February 12, 2026 91 FR 6689
Andalusian Credit Company, LLC, et al. Thursday, February 12, 2026 91 FR 6719
Alger Next Gen Growth Fund and Fred Alger Management, LLC Thursday, February 12, 2026 91 FR 6665
Stepstone Private Credit Fund LLC, et al. Thursday, February 12, 2026 91 FR 6700
Order Granting Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Thereunder, From Certain Requirements of the National Market System Plan Governing the Consolidated Audit Trail Related to Port-Level Settings Tuesday, January 27, 2026 91 FR 3557
Order Granting Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Thereunder, Relating to the Reporting of Responses to Requests for Quotes and Other Solicitation Responses Provided in a Standard Electronic Format, as Required by Section 6.4(d) of the National Market System Plan Governing the Consolidated Audit Trail Tuesday, January 27, 2026 91 FR 3572
Order Extending Temporary Conditional Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Thereunder, From Certain Requirements of Appendix D, Section 3 of the National Market System Plan Governing the Consolidated Audit Trail Related to Representative Orders Tuesday, January 27, 2026 91 FR 3601
Carlyle Secured Lending, Inc., et al. Tuesday, January 27, 2026 91 FR 3567
Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.16 With Respect to Its Risk Monitor Mechanism, To Provide Members With Additional Flexibility in Establishing How Their Trading Activity Counts Towards Certain Risk Parameters Tuesday, January 27, 2026 91 FR 3579
Joint Industry Plan; Notice of Filing of the Fifty-Fifth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Tuesday, January 27, 2026 91 FR 3609

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