Agency Archive
Securities and Exchange Commission
Recent Federal Register documents and issues associated with this agency.
Recent Documents
- Regulation Crypto Assets Friday, August 21, 2026 91 FR 54510
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form ADV Friday, August 21, 2026 91 FR 54421
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Section 4 (Complex Order Fees and Rebates) and Section 6 (Other Options Fees and Rebates) Friday, August 21, 2026 91 FR 54415
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Rule 20.6 (Nullification and Adjustment of Options Transactions Including Obvious Errors) Regarding the Roster Requirements for the Obvious Error Panel Friday, August 21, 2026 91 FR 54422
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.4(a) To Reflect the Operation of TXSE Exchange Friday, August 21, 2026 91 FR 54414
- Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the LCH SA Liquidity Plan Friday, August 21, 2026 91 FR 54427
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Friday, August 21, 2026 91 FR 54430
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Friday, August 21, 2026 91 FR 54419
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Friday, August 21, 2026 91 FR 54425
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials Thursday, August 20, 2026 91 FR 53911
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials Thursday, August 20, 2026 91 FR 53909
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials Thursday, August 20, 2026 91 FR 53920
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials Thursday, August 20, 2026 91 FR 53913
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Thursday, August 20, 2026 91 FR 53916
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Thursday, August 20, 2026 91 FR 53907
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering Thursday, August 20, 2026 91 FR 53918
- Eagle Point Credit Management LLC and Eagle Point Trinity Senior Secured Lending Company Thursday, August 20, 2026 91 FR 53922
- Clearlake Private Markets Fund and Clearlake Capital RIC Management, LLC Thursday, August 20, 2026 91 FR 53907
- Valued Advisers Trust and Alaia Capital, LLC Thursday, August 20, 2026 91 FR 53923
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend a Continued Listing Standard Relating to Beneficial Holders Applicable to Exchange Traded Fund Shares Listed Under Rule 17.104(b)(2)(B) Wednesday, August 19, 2026 91 FR 53683
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4120 Regarding Trading Halts Wednesday, August 19, 2026 91 FR 53677
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 3100 Regarding Trading Halts Wednesday, August 19, 2026 91 FR 53680
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of 3x Gold ETF, 3x Silver ETF, 3x Bitcoin ETF, 3x Ether ETF, 3x Crude Oil ETF, and 3x Natural Gas ETF, Each a Series of the VS Trust, Under BZX Rule 14.11(e)(4) (Commodity-Based Trust Shares) Wednesday, August 19, 2026 91 FR 53686
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Wednesday, August 19, 2026 91 FR 53683
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Section 802.01C of the NYSE Listed Company Manual Tuesday, August 18, 2026 91 FR 53458
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To Amend Section 1003 of the NYSE American Company Guide Tuesday, August 18, 2026 91 FR 53436
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-1 and Form NRSRO Tuesday, August 18, 2026 91 FR 53436
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-2 Tuesday, August 18, 2026 91 FR 53447
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-1 Tuesday, August 18, 2026 91 FR 53468
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-3(b) Tuesday, August 18, 2026 91 FR 53453
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form SF-3 Tuesday, August 18, 2026 91 FR 53435
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form SF-1 Tuesday, August 18, 2026 91 FR 53435
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-16 Tuesday, August 18, 2026 91 FR 53447
- Sunshine Act Meetings Tuesday, August 18, 2026 91 FR 53435
- Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Enhance the Supplemental Liquidity Deposit Rules, Methodology and Processes Tuesday, August 18, 2026 91 FR 53454
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Amendments to the CMESC Stress Testing & Guaranty Fund Sizing Policy (or the “Policy”) and Proposed Amendments to Rule 402(b) Tuesday, August 18, 2026 91 FR 53469
- Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Amend the Redemptions Service Guide and the Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services) Tuesday, August 18, 2026 91 FR 53473
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rules 7.31, 7.35, and 7.35B Tuesday, August 18, 2026 91 FR 53465
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Relating to The Options Clearing Corporation's Proposal To Amend the Evergreen Provisions Relating to Its Revolving Credit Facility Tuesday, August 18, 2026 91 FR 53449
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Sections 303A.00 and 303A.07 of the NYSE Listed Company Manual Tuesday, August 18, 2026 91 FR 53448
- Parvin Decentralized Fund and Parvin Fund Management, LLC Monday, August 17, 2026 91 FR 53286
- Sunshine Act Meetings Monday, August 17, 2026 91 FR 53303
- Northern Lights Fund Trust and Ocean Park Asset Management, LLC Monday, August 17, 2026 91 FR 53318
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-2 Monday, August 17, 2026 91 FR 53334
- Elevation Series Trust and Norris Perné and French LLP Monday, August 17, 2026 91 FR 53290
- Stone Point Credit Income Fund and Stone Point Credit Income Adviser LLC Monday, August 17, 2026 91 FR 53325
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule Regarding the Routing Fee Table Monday, August 17, 2026 91 FR 53322
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Options Exchange Fee Schedule Regarding the Routing Fee Table Monday, August 17, 2026 91 FR 53315
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule Regarding the Routing Fee Table Monday, August 17, 2026 91 FR 53304
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Regarding the Routing Fee Table Monday, August 17, 2026 91 FR 53290
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Amend the Short Term Option Series Program Related to Qualifying Securities Monday, August 17, 2026 91 FR 53286
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Amend Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes for Certain Origins Monday, August 17, 2026 91 FR 53325
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Amend Fees and Rebates for Professional Customer Orders for QCC and cQCC Transactions, and Establish a Tiered Fee Structure for Away Market Maker Facilitation of Customer QFOs or cQFOs Monday, August 17, 2026 91 FR 53311
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify Certain Volume Thresholds for the Priority Customer Rebate Program Monday, August 17, 2026 91 FR 53319
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule Monday, August 17, 2026 91 FR 53307
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules To Establish a Procedures-Based Approach for Determining Product Eligibility During Overnight or Extended Trading Sessions Utilizing Its Current ETH Risk Management Framework Monday, August 17, 2026 91 FR 53294
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Monday, August 17, 2026 91 FR 53329
- Regulatory Flexibility Agenda Friday, August 14, 2026 91 FR 53164
- Order Granting Temporary Conditional Exemptive Relief to 24X National Exchange LLC From Certain Requirements of Rule 602 of Regulation NMS, Certain Requirements of Certain Equity Data Plans, and Section 19(g)(1) of the Securities Exchange Act of 1934, Pursuant to Section 36 of the Securities Exchange Act of 1934 and Rules 602 and 608 of Regulation NMS, To Permit Certain Overnight Trading, Subject to Certain Conditions, and Effective As of January 24, 2027 and Until the Earlier of (1) the date the Extended Hours Amendments Are Implemented or (2) July 2, 2027 Friday, August 14, 2026 91 FR 52756
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program for the BZX Top Data Feed Friday, August 14, 2026 91 FR 52767
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce the New One-Minute Interval Intra-Day Report Friday, August 14, 2026 91 FR 52770
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Introduce the New One-Minute Interval Intra-Day Report Friday, August 14, 2026 91 FR 52753
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 2 Friday, August 14, 2026 91 FR 52772
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 11.25 To Introduce an Optional, Contingent Instruction Applicable to Periodic Auction Only Orders, Introduce a Time-in-Force of Auction or Cancel, and Make Conforming Changes to Its Periodic Auction Processing Behavior To Support the Proposed Contingent Instruction Friday, August 14, 2026 91 FR 52735
- Sunshine Act Meetings Thursday, August 13, 2026 91 FR 52392
- Reopening of Comment Period; Notices of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, From Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Requests for Comment Thursday, August 13, 2026 91 FR 52354
- Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq Texas, LLC, Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, MIAX Sapphire, MEMX LLC, MX2 LLC, and Investors Exchange LLC Concerning Options-Related Market Surveillance Thursday, August 13, 2026 91 FR 52365
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30b1-7 and Form N-MFP Thursday, August 13, 2026 91 FR 52352
- AMG BBH Asset-Backed Credit Fund, LLC, et al.; August 10, 2026. Thursday, August 13, 2026 91 FR 52386
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Sections 2 (Customer Rebate Program) and 4 (Multiply Listed Options Fees) Thursday, August 13, 2026 91 FR 52392
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations Thursday, August 13, 2026 91 FR 52380
- Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA CaLM Minimum Cash Collateral Requirement and to LCH Liquidity Risk Policy Thursday, August 13, 2026 91 FR 52357
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements Thursday, August 13, 2026 91 FR 52384
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend the Criteria for Underlying Securities Thursday, August 13, 2026 91 FR 52387
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quotation Obligations Thursday, August 13, 2026 91 FR 52376
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations Thursday, August 13, 2026 91 FR 52361
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations Thursday, August 13, 2026 91 FR 52372
- Regan Capital Alternative Income Fund, et al. Wednesday, August 12, 2026 91 FR 52108
- Source Capital and First Pacific Advisors, LP Wednesday, August 12, 2026 91 FR 52103
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Discounted External Distribution Fee for the EDGX Top Feed Available Under the Exchange's Existing Small Retail Broker Distribution Program From $750 per Month to $1,250 per Month Wednesday, August 12, 2026 91 FR 52101
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Amend the Exchange's Fee Schedule Applicable to Members To Modify IEX's Incremental Fee Tiers and To Make Organizational Changes to the Fee Schedule in Preparation for the Launch of IEX Options Later This Year Wednesday, August 12, 2026 91 FR 52097
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Trading Permit Holder (“TPH”) Transaction Reporting Duties Wednesday, August 12, 2026 91 FR 52104
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 3, Note 18 Tuesday, August 11, 2026 91 FR 51785
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations Tuesday, August 11, 2026 91 FR 51760
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A Related to PRIME and cPRIME Functionality Tuesday, August 11, 2026 91 FR 51816
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations Tuesday, August 11, 2026 91 FR 51810
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations Tuesday, August 11, 2026 91 FR 51817
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division Tuesday, August 11, 2026 91 FR 51762
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division Tuesday, August 11, 2026 91 FR 51787
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the GSD Rules To Adopt a U.S. Treasury Clearing Trade Submission Requirement Tuesday, August 11, 2026 91 FR 51815
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts on the Exchange) To Reflect That IEX Will Not Cancel Outstanding Orders During a Regulatory Halt or Operational Halt in Anticipation of the SIP Implementation of the New Regulatory Halt Rules Tuesday, August 11, 2026 91 FR 51812
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Offer Additional Tickets Under the Exchange's Rodeo Program and Re-Open the Application Window for the Rodeo Program; and Permit Sponsored Participants To Participate in the Rodeo Program Together With a Sponsoring Member of the Exchange as Joint Participants Tuesday, August 11, 2026 91 FR 51756
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations Tuesday, August 11, 2026 91 FR 51819
- Sunshine Act Meetings Monday, August 10, 2026 91 FR 51513
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 8b-1 to 8b-5; 8b-10 to 8b-22; and 8b-25 to 8b-31 Monday, August 10, 2026 91 FR 51513
- Joint Industry Plan; Order Granting Approval of the Twenty-Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Establish Temporary Price Band Protections in Overnight Trading Monday, August 10, 2026 91 FR 51515
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-8B-2 Monday, August 10, 2026 91 FR 51512
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-17f-2 Monday, August 10, 2026 91 FR 51514
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-54C Friday, August 7, 2026 91 FR 51201
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Amend the Manual Billable Rebate Program and Add a Credit Under the Firm Monthly Fee Cap Friday, August 7, 2026 91 FR 51196
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Remove MSCI Related Index Options From Certain Tier Discounts and Incentive Programs and Add a Break-Up Credit for Certain Executions in the Customer Best Execution (“CUBE”) Auction Friday, August 7, 2026 91 FR 51199
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Regulatory Information Requests and Indemnification of Reported Data Friday, August 7, 2026 91 FR 51188
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Adopt CMESC Margin Policy Friday, August 7, 2026 91 FR 51191
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 122 To Remove Daily List and Fundamental Data From the Nasdaq Rulebook and Clarify How Certain Information Will Be Distributed Friday, August 7, 2026 91 FR 51205
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 1 and Options 3C, Section 4(d) Friday, August 7, 2026 91 FR 51203
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form S-6, for Registration Under the Securities Act of 1933 of Unit Investment Trusts Registered on Form N-8B-2 Friday, August 7, 2026 91 FR 51196
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 0-2 Under the Investment Company Act of 1940, General Requirements of Papers and Applications Friday, August 7, 2026 91 FR 51202
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15g-2 Friday, August 7, 2026 91 FR 51205
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 31a-1 Friday, August 7, 2026 91 FR 51209
- Investment Company Governance Technical Amendments Thursday, August 6, 2026 91 FR 50707
- Berkshire Partners LLC Thursday, August 6, 2026 91 FR 50905
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 35d-1 Under the Investment Company Act of 1940 Thursday, August 6, 2026 91 FR 50911
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c1-7 Thursday, August 6, 2026 91 FR 50901
- Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by The Options Clearing Corporation To Amend Its System for Theoretical Analysis and Numerical Simulation Methodology Description To Incorporate Options Implied Interest Rates as an Additional Source of Interest Rates Inputs for Constructing the Interest Rate Discount Curve Used in Options Pricing Thursday, August 6, 2026 91 FR 50908
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule To Implement a Market Maker/Lead Market Maker Posting Incentive Program for Certain Non-Penny Issues Thursday, August 6, 2026 91 FR 50902
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (ORF) Thursday, August 6, 2026 91 FR 50898
- Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (ORF) Thursday, August 6, 2026 91 FR 50905
- Deregistration Under Section 8(f) of the Investment Company Act of 1940 Wednesday, August 5, 2026 91 FR 50575
- Macquarie Infrastructure Income Opportunities Fund, et al. Wednesday, August 5, 2026 91 FR 50576
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options; Correction Wednesday, August 5, 2026 91 FR 50573
- Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA CDS Clear Trade Registration Fund Wednesday, August 5, 2026 91 FR 50584
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Market-Maker Tier Appointment Fees Wednesday, August 5, 2026 91 FR 50573
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Wednesday, August 5, 2026 91 FR 50564
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Cboe Bitcoin U.S. ETF Index Options (“CBTX”) and Cboe Mini Bitcoin U.S. ETF Index Options (“MBTX”) Standard Transaction Fees Wednesday, August 5, 2026 91 FR 50576
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning the Payment of Interest on Margin Cash Wednesday, August 5, 2026 91 FR 50579
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-19 and Form X-17A-19 Tuesday, August 4, 2026 91 FR 49475
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FLEX Options Listing Rules Tuesday, August 4, 2026 91 FR 49470
- Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-27 To Exclude Certain Public Finance Activities From Term “Structuring of Public Offerings or Private Placements,” Extend the Length of the Exclusion for Non-Primary Residences From Municipal Branch Office Designation, and Make a Technical Update to the Rule's Title Tuesday, August 4, 2026 91 FR 49460
- Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Change To Amend Its Rules To Extend Trading Hours for Certain Eligible Equity Options Tuesday, August 4, 2026 91 FR 49469
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Rule 8.23 Tuesday, August 4, 2026 91 FR 49469
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FLEX Electronic Options Listing Rules Tuesday, August 4, 2026 91 FR 49476
- Yorkville America Investment Trust and Yorkville America Equities, LLC Tuesday, August 4, 2026 91 FR 49481
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 2a-7 Tuesday, August 4, 2026 91 FR 49459
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30b1-8 and Form N-CR Tuesday, August 4, 2026 91 FR 49475
- Sunshine Act Meetings Monday, August 3, 2026 91 FR 48969
- Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts Monday, August 3, 2026 91 FR 48955
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Timeframe of a Recent Rule Filing Monday, August 3, 2026 91 FR 48966
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing, and Order Granting Accelerated Approval of, a Proposed Rule Change To Amend Rule 14.11(e)(4) (Commodity-Based Trust Shares) Monday, August 3, 2026 91 FR 48957
- Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend its Rules Related to Market Makers Monday, August 3, 2026 91 FR 48969
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq General 4, Rule 1210 Monday, August 3, 2026 91 FR 48964
- In the Matter of Nasdaq PHLX LLC; Order Granting Petition for Review and Scheduling Filing of Statements Regarding an Order Approving, on an Accelerated Basis, a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options Monday, August 3, 2026 91 FR 48968
- Baillie Giffords Funds, et al. Monday, August 3, 2026 91 FR 48967
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Exchange Act Form 10-K Friday, July 31, 2026 91 FR 48456
- VALIC Company I and The Variable Annuity Life Insurance Company Friday, July 31, 2026 91 FR 48438
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Nasdaq TotalView Plus and Nasdaq Basic Plus Data Feeds Friday, July 31, 2026 91 FR 48458
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various NTX Options Rules Friday, July 31, 2026 91 FR 48438
- Self-Regulatory Organizations; NYSE Arca, 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 NYSE Arca Rule 8.201-E (Generic) Commodity-Based Trust Shares Friday, July 31, 2026 91 FR 48462
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Nasdaq Totalview Plus and Nasdaq Basic Plus Data Feeds Friday, July 31, 2026 91 FR 48452
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Nasdaq TotalView Plus and Nasdaq Basic Plus Data Feeds Friday, July 31, 2026 91 FR 48466
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35 (Auctions) for ETP IPO Securities Friday, July 31, 2026 91 FR 48457
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Nasdaq Rule 5711(d) (Commodity-Based Trust Shares) Thursday, July 30, 2026 91 FR 48204
- Notice of an Application of the Securities Industry and Financial Markets Association for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 From Certain Conditions of Note H to Exchange Act Rule 15c3-3a Thursday, July 30, 2026 91 FR 48201
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c2-1 Wednesday, July 29, 2026 91 FR 47862
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Wednesday, July 29, 2026 91 FR 47894
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Wednesday, July 29, 2026 91 FR 47886
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving 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, July 29, 2026 91 FR 47909
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.8(c) Regarding Intermarket Sweep Orders Wednesday, July 29, 2026 91 FR 47863
- Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Treasury Clearing Rules and Treasury Clearing Service Treasury Operations Policies and Liquidity Risk Management Framework Wednesday, July 29, 2026 91 FR 47864
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 10b-17 Wednesday, July 29, 2026 91 FR 47874
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Amend the Exchange's Fee Schedule Wednesday, July 29, 2026 91 FR 47874
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.8(c) Regarding Intermarket Sweep Orders Wednesday, July 29, 2026 91 FR 47864
- Cohen & Steers Realty Shares, Inc., et al. Wednesday, July 29, 2026 91 FR 47863
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Wednesday, July 29, 2026 91 FR 47878
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Parts of Its Opening and Closing Auctions Wednesday, July 29, 2026 91 FR 47860
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities) Wednesday, July 29, 2026 91 FR 47903
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c1-5 Tuesday, July 28, 2026 91 FR 47284
- Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by the Options Clearing Corporation To Establish a Commercial Paper Program Tuesday, July 28, 2026 91 FR 47277
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B) To Delay the Opening Auction Under Certain Market Conditions Tuesday, July 28, 2026 91 FR 47284
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.9(d) Regarding Intermarket Sweep Orders Tuesday, July 28, 2026 91 FR 47292
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.9(d) Regarding Intermarket Sweep Orders Tuesday, July 28, 2026 91 FR 47283
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail Tuesday, July 28, 2026 91 FR 47276
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program Tuesday, July 28, 2026 91 FR 47267
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Establish a Rebate for the External Distribution of Real-Time IEX Market Data Products Tuesday, July 28, 2026 91 FR 47293
- Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Treasury Clearing Service Initial Margin Approach Model Description Document, Treasury Clearing Service Guaranty Fund and Stress Test Approach Model Description Document, and Treasury Clearing Service Risk Parameter Setting and Review Policy Tuesday, July 28, 2026 91 FR 47264
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c1-6 Monday, July 27, 2026 91 FR 46992
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 13f-2-Short Position and Short Activity Reporting by Institutional Investment Managers Monday, July 27, 2026 91 FR 47023
- Sunshine Act Meetings Monday, July 27, 2026 91 FR 46991
- ETF Opportunities Trust and Hedgeye Asset Management, LLC Monday, July 27, 2026 91 FR 47026
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Continued Listing Requirement Monday, July 27, 2026 91 FR 46995
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Monthly Fees for Its Proprietary Market Data Feeds Monday, July 27, 2026 91 FR 46992
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Connectivity Fees Monday, July 27, 2026 91 FR 47027
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 and Rule 18.110 Regarding the General Securities Sales Supervisor Registration Category and the Corresponding Series 9/10 Qualification Examination; and Amend Rule 2.160 Regarding the Description of the Regulatory Element Continuing Education Requirements Monday, July 27, 2026 91 FR 47015
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Its Exchange Designated Complex Instruments (“EDCI”) Feed Monday, July 27, 2026 91 FR 47018
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Section 4 (Complex Order Fees and Rebates) Monday, July 27, 2026 91 FR 47011
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 10c-1a Monday, July 27, 2026 91 FR 47024
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-11 Monday, July 27, 2026 91 FR 47018
- Cboe Clear U.S., LLC; Notice of Filing of an Application, as Amended, for Temporary Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934 Friday, July 24, 2026 91 FR 46817
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190 to Permit Trading of Pegged Orders During Pre-Market and Post-Market Sessions Friday, July 24, 2026 91 FR 46805
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Rules 19.3 and 19.4 To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts That Hold Multiple Crypto Assets Friday, July 24, 2026 91 FR 46814
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rules 971.1NYP and 971.2NYP To Allow FLEX Options To Trade in Its CUBE Auction for Single-Leg and Complex Orders Friday, July 24, 2026 91 FR 46809
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 13.003 Related to Proxy Voting Friday, July 24, 2026 91 FR 46817
- Apogem Capital LLC, et al. Thursday, July 23, 2026 91 FR 46526
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 206(4)-6 Thursday, July 23, 2026 91 FR 46516
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 611 Thursday, July 23, 2026 91 FR 46505
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c3-3 Thursday, July 23, 2026 91 FR 46517
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 608 Thursday, July 23, 2026 91 FR 46497
- Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Thursday, July 23, 2026 91 FR 46518
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Options Regulatory Fee (ORF) Under the New Methodology for Transactions That Occur on the Exchange Thursday, July 23, 2026 91 FR 46494
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Thursday, July 23, 2026 91 FR 46490
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Support Members' Risk Management of and Enhance Their Ability To Authorize Persons as Users Thursday, July 23, 2026 91 FR 46506
- 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 Thursday, July 23, 2026 91 FR 46498
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Thursday, July 23, 2026 91 FR 46512
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule Thursday, July 23, 2026 91 FR 46522
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend BOX Rule 3060 (Gratuities) To Conform With FINRA Rule 3220 Thursday, July 23, 2026 91 FR 46503
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Wednesday, July 22, 2026 91 FR 46196
- Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Wednesday, July 22, 2026 91 FR 46178
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Wednesday, July 22, 2026 91 FR 46182
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IEX Rule 16.160 Regarding Information Circular Requirements Wednesday, July 22, 2026 91 FR 46193
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Wednesday, July 22, 2026 91 FR 46201
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Wednesday, July 22, 2026 91 FR 46189
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity Wednesday, July 22, 2026 91 FR 46186
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified and Superseded by Amendment No. 1, To Amend Its Rules Related to Binary Options Wednesday, July 22, 2026 91 FR 46205
- Herzfeld Credit Income Fund, et al. Wednesday, July 22, 2026 91 FR 46220
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c6-2 Wednesday, July 22, 2026 91 FR 46221
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 613 of Regulation NMS Wednesday, July 22, 2026 91 FR 46199
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-10 Wednesday, July 22, 2026 91 FR 46204
- Electronic Delivery of Information Under the Federal Securities Laws Tuesday, July 21, 2026 91 FR 45884
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-2 Tuesday, July 21, 2026 91 FR 45846
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ac3-1 and Form TA-W Tuesday, July 21, 2026 91 FR 45847
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17f-2(e) Tuesday, July 21, 2026 91 FR 45871
- Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change to the Risk Management Model Description for the CDS Clearing Service Tuesday, July 21, 2026 91 FR 45843
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified and Superseded by Amendment No. 1, To Amend Rule 4.21 (Series of FLEX Options) Tuesday, July 21, 2026 91 FR 45856
- Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Providing Clearing Services for Fee Grid for the Triparty Collateral Mechanism Tuesday, July 21, 2026 91 FR 45854
- Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning the Synthetic Futures Model Tuesday, July 21, 2026 91 FR 45848
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Limited Liability Agreement for 24X Bermuda Holdings LLC To Provide for Board Observer Roles Tuesday, July 21, 2026 91 FR 45851
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers) Tuesday, July 21, 2026 91 FR 45862
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Initial Schedule of Fees and Rebates Applicable to Members of the Exchange and Adopt a Monthly Membership Fee Tuesday, July 21, 2026 91 FR 45866
- 360 Funds and M3Sixty Capital, LLC Tuesday, July 21, 2026 91 FR 45870
- Sunshine Act Meetings Monday, July 20, 2026 91 FR 45292
- Modernization of Delegations of Authority to Commission Staff Monday, July 20, 2026 91 FR 45187
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-4(b)(17) Monday, July 20, 2026 91 FR 45292
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 101 of Regulation M Monday, July 20, 2026 91 FR 45293
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the FINRA Rule 6300 Series (Trade Reporting Facilities) To Extend the Trade Reporting Facilities Operating Hours to 23 Hours Per Day, Five Days Per Week Monday, July 20, 2026 91 FR 45299
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.8-O To Increase Position and Exercise Limits for Options on iShares Bitcoin Trust ETF Monday, July 20, 2026 91 FR 45294
- Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Operational Risk Management Framework Monday, July 20, 2026 91 FR 45306
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 904 and Rule 905 To Increase Position and Exercise Limits for Options on iShares Bitcoin Trust ETF Friday, July 17, 2026 91 FR 44909
- Kennedy Lewis Capital Company, et al. Friday, July 17, 2026 91 FR 44937
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15b6-1 and Form BDW Friday, July 17, 2026 91 FR 44938
- Cliffwater Corporate Lending Fund, et al. Friday, July 17, 2026 91 FR 44938
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”) Friday, July 17, 2026 91 FR 44889
- Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fourth Amendment to the Limited Liability Company Agreement of CT Plan LLC Friday, July 17, 2026 91 FR 44892
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 Friday, July 17, 2026 91 FR 44933
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Section 4, Multiply Listed Options Fees Friday, July 17, 2026 91 FR 44906
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204, Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification Friday, July 17, 2026 91 FR 44928
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204. Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification Friday, July 17, 2026 91 FR 44884
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204, Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification Friday, July 17, 2026 91 FR 44900
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204, Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification Friday, July 17, 2026 91 FR 44919
- 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, July 17, 2026 91 FR 44904
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Friday, July 17, 2026 91 FR 44924
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List Friday, July 17, 2026 91 FR 44939
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