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What that date means
Coverage begins on 2026-08-10, which is when this archive started holding
Federal Register issues — not when the agency started publishing.
Anything earlier is absent from this page, and its absence is not evidence.
The Securities and Exchange Commission published five notices including approvals of a National Market System Plan amendment and information collection activities.
- Notice 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↗ 2026-16287
- Notice 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↗ 2026-16286
- Notice 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↗ 2026-16285
- Notice 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↗ 2026-16284
- Notice 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↗ 2026-16283
- Notice 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↗ 2026-16282
- Notice 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↗ 2026-16281
- Notice 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↗ 2026-16280
- Notice 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↗ 2026-16279
- Notice 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↗ 2026-16278
- Notice 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↗ 2026-16277
The Securities and Exchange Commission published five notices on August 12, 2026, regarding investment funds and exchange fee schedule modifications.
The Securities and Exchange Commission published thirteen notices on August 13, 2026, concerning self-regulatory organization rule changes, exemptive relief requests, and agency information collection activities.
- Notice Sunshine Act Meetings↗ 2026-16519
- Notice 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↗ 2026-16471
- Notice 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↗ 2026-16470
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30b1-7 and Form N-MFP↗ 2026-16467
- Notice AMG BBH Asset-Backed Credit Fund, LLC, et al.; August 10, 2026.↗ 2026-16466
- Notice 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)↗ 2026-16464
- Notice Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations↗ 2026-16463
- Notice 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↗ 2026-16462
- Notice 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↗ 2026-16461
- Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend the Criteria for Underlying Securities↗ 2026-16460
- Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quotation Obligations↗ 2026-16459
- Notice Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations↗ 2026-16458
- Notice Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations↗ 2026-16457
The Securities and Exchange Commission published seven notices including its regulatory flexibility agenda, an exemptive order for overnight trading, and six self-regulatory organization rule filings.
- Notice Regulatory Flexibility Agenda↗ 2026-16619
- Notice 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↗ 2026-16572
- Notice 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↗ 2026-16563
- Notice 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↗ 2026-16562
- Notice 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↗ 2026-16561
- Notice 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↗ 2026-16560
- Notice 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↗ 2026-16559
The Securities and Exchange Commission published 17 notices on August 17, 2026, concerning fund filings, exchange fee schedules, and information collection activities.
- Notice Parvin Decentralized Fund and Parvin Fund Management, LLC↗ 2026-16768
- Notice Sunshine Act Meetings↗ 2026-16767
- Notice Northern Lights Fund Trust and Ocean Park Asset Management, LLC↗ 2026-16765
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-2↗ 2026-16704
- Notice Elevation Series Trust and Norris Perné and French LLP↗ 2026-16702
- Notice Stone Point Credit Income Fund and Stone Point Credit Income Adviser LLC↗ 2026-16700
- Notice 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↗ 2026-16699
- Notice 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↗ 2026-16698
- Notice 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↗ 2026-16697
- Notice 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↗ 2026-16696
- Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Amend the Short Term Option Series Program Related to Qualifying Securities↗ 2026-16695
- Notice 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↗ 2026-16694
- Notice 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↗ 2026-16693
- Notice 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↗ 2026-16692
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule↗ 2026-16691
- Notice 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↗ 2026-16690
- Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule↗ 2026-16689
The Securities and Exchange Commission published 16 notices on August 18, 2026, covering self-regulatory organization rule changes and agency information collection activities.
The Securities and Exchange Commission published five notices regarding self-regulatory organizations' proposed rule changes on August 19, 2026.
- Notice 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)↗ 2026-16857
- Notice 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↗ 2026-16856
- Notice 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↗ 2026-16855
- Notice 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)↗ 2026-16854
- Notice Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List↗ 2026-16853
The Securities and Exchange Commission published ten notices on August 20, 2026, including proposed rule changes from Cboe and Nasdaq exchanges regarding fees and connectivity schedules.
The Securities and Exchange Commission proposed Regulation Crypto Assets establishing exemptions from registration requirements for certain crypto asset offerings.
The Securities and Exchange Commission published twelve notices on August 24, 2026, regarding information collection activities, self-regulatory organization rule changes, and related matters.
The Securities and Exchange Commission published five notices on August 26, 2026, regarding investment funds, registration fees, and self-regulatory organization rule changes.
The Securities and Exchange Commission published eight notices on August 27, 2026, regarding self-regulatory organizations and agency information collection activities.
- Notice Fenimore Asset Management, Inc. and Fenimore Asset Management Trust↗ 2026-17520
- Notice Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposal To Adopt Rules for the Listing and Trading of Securities Event Contracts on the Exchange↗ 2026-17465
- Notice Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Warrant Performance Incentive Program To Add ETPs to the Definition of Liquidity Improvement Symbols and High-Volume Symbols↗ 2026-17464
- Notice Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Intra-Day Snapshots to NTX Options Trade Outline↗ 2026-17463
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 19b-7 and Form 19b-7↗ 2026-17461
- Notice Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, To Amend the Short Term Option Series Program With Respect to Qualifying Securities↗ 2026-17460
- Notice Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading, To Amend the Short Term Option Series Program With Respect to Qualifying Securities↗ 2026-17458
- Notice Self-Regulatory Organizations: Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading, To Amend the Short Term Option Series Program With Respect to Qualifying Securities↗ 2026-17457
The Securities and Exchange Commission published seven notices on August 28, 2026, including rule filings from self-regulatory organizations and an information collection request.
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 2a-5↗ 2026-17604
- Notice Sunshine Act Meetings↗ 2026-17591
- Notice Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of SR-GEMX-2026-15↗ 2026-17554
- Notice Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of Its Rules Regarding Statutory Disqualifications↗ 2026-17550
- Notice Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure To Make Changes to Certain Provisions Relating to Arbitrator List Selection↗ 2026-17549
- Notice Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., BOX Exchange, LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, NYSE American LLC, NYSE Arca, Inc., The Nasdaq Stock Market LLC, Nasdaq Texas LLC, Nasdaq PHLX LLC, Nasdaq GEMX, LLC, Cboe EDGX Exchange, Inc., Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, MIAX Sapphire, LLC, MEMX LLC, MX2 LLC and Investors Exchange LLC Concerning Options-Related Sales Practice Matters↗ 2026-17548
- Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of SR-ISE-2026-18↗ 2026-17547
The Securities and Exchange Commission published fourteen notices on August 31, 2026, concerning clearing agency exemptions, self-regulatory organization rule changes, and information collection activities.
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 489 and Form F-N↗ 2026-17679
- Notice DTCC ITP LLC; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934↗ 2026-17674
- Notice TriOptima AB; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934↗ 2026-17673
- Notice OSTTRA Limited; OSTTRA Services, LLC; Notice of Filing of Applications for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934↗ 2026-17672
- Notice LSEG Post Trade Services Limited; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934↗ 2026-17671
- Notice Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of a Change to Rule 515A, MIAX Emerald Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism↗ 2026-17670
- Notice Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of a Change to Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism↗ 2026-17669
- Notice Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Rule 20.6 (Nullification and Adjustment of Options Transactions Including Obvious Errors) Regarding the Roster Requirements for the Obvious Error Panel↗ 2026-17668
- Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules To Permit the Listing of Binary Options Overlying Key Performance Indicators Reported by Certain Issuers of Stock↗ 2026-17667
- Notice Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Adopt Standards for Establishing Cross-Margin Arrangements and Adopt a Cross-Margin Arrangement With Chicago Mercantile Exchange Inc.↗ 2026-17666
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)↗ 2026-17665
- Notice 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”)↗ 2026-17664
- Notice Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)↗ 2026-17663
- Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)↗ 2026-17662
The Securities and Exchange Commission published nine notices on September 1, 2026, regarding investment company deregistration, exchange listing rules, and standardized options procedures.
The SEC published a proposed rule to exempt European Union debt obligations from securities registration for futures trading and approved or filed 13 self-regulatory organization rule changes.
- Proposed Rule Exemption of Debt Obligations Issued by the European Union Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities↗ 2026-17939
- Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders↗ 2026-17920
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Program↗ 2026-17919
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders↗ 2026-17918
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders↗ 2026-17917
- Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program↗ 2026-17916
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders↗ 2026-17915
- Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of a Proposed Change, as Modified by Amendment No. 2, To Amend Its Rules To Extend Trading Hours for Certain Eligible Equity Options↗ 2026-17914
- Notice Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Rule Governing the Operation of a Proposed Step Up Mechanism (“SUM”) on the Exchange and To Make Conforming Changes in Other Rules↗ 2026-17913
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce the Exchange's Order Entry Protocol Migration Program↗ 2026-17912
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule Equity 7 Regarding Pricing of Ports for the Night Session↗ 2026-17911
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program↗ 2026-17910
- Notice Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees and Rebates for Professional Customer Orders for QCC and cQCC Transactions and Establish a Tiered Fee Structure for Away Market Maker Facilitation of Customer QFOs or cQFOs↗ 2026-17909
- Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt VIX Future-Option Orders↗ 2026-17908
The SEC and CFTC published a rule extending the Form PF compliance date for private fund advisers from October 1, 2026, to July 1, 2027.
The Securities and Exchange Commission published a proposed rule to modernize transfer agent regulations and six notices regarding self-regulatory organization filings.
The Securities and Exchange Commission published eleven notices on September 8, 2026, including Sunshine Act meeting notices, information collection activities, and self-regulatory organization rule filings.
The Securities and Exchange Commission published seven notices on September 9, 2026, regarding broker-dealer rules, exchange connectivity fees, and self-regulatory organization proposals.
- Notice Daxor Corporation↗ 2026-18387
- Notice Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule↗ 2026-18295
- Notice AMG BBH Asset-Backed Credit Fund, LLC, et al.↗ 2026-18294
- Notice Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 0150 (Application of Rules to Exempted Securities Except Municipal Securities), 2165 (Financial Exploitation of Specified Adults) and 4512 (Customer Account Information) and To Adopt FINRA Rule 2166 (Temporary Delays for Suspected Fraud)↗ 2026-18293
- Notice Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 4522 (Periodic Security Counts, Verifications and Comparisons) To Simplify Position Statement and Reconciliation Requirements for Certain Alternative Investments↗ 2026-18292
- Notice Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing, and Order Granting Accelerated Approval of, a Proposed Rule Change To Amend Rule 5711(d) (Commodity-Based Trust Shares)↗ 2026-18291
- Notice Notice pursuant to Rule 15c3-3a, Note H(b)(3) Regarding Application of the Customer Protection Rule Reserve Computations With Respect to U.S. Treasury Securities↗ 2026-18278
The Securities and Exchange Commission published a proposed rule to rescind the political contribution rule for investment advisers and eight notices regarding information collection and self-regulatory organization rule changes.
The Securities and Exchange Commission published eight notices on September 11, 2026, including acknowledgements of national securities exchange registrations and self-regulatory organization filings.
The Securities and Exchange Commission published 27 notices on September 14, 2026, including self-regulatory organization rule filings and agency information collection activities.
- Notice Sunshine Act Meeting↗ 2026-18781
- Notice Sunshine Act Meetings↗ 2026-18779
- Notice Sunshine Act Meetings↗ 2026-18677
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule↗ 2026-18668
- Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10E, Clearly Erroneous Executions↗ 2026-18667
- Notice Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees To Increase the Floor Market Maker Fee and Floor Broker Breakup Credit for Transactions in Non-Penny Classes↗ 2026-18666
- Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fees Schedule and Exchange Rule 6.5↗ 2026-18665
- Notice Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 6.5↗ 2026-18664
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule↗ 2026-18663
- Notice Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules To Permit Trading 23 Hours per Day, Five Days per Week↗ 2026-18662
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck JitoSOL ETF Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)↗ 2026-18661
- Notice Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the ICE Clear Credit Recovery Plan and ICE Clear Credit Wind-Down Plan↗ 2026-18660
- Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule To Update the Definition of “Trading Platform”↗ 2026-18659
- Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Add a New Partial Cabinet Solution Bundle as Part of Its Co-Location Services↗ 2026-18658
- Notice Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle as Part of Its Co-Location Services↗ 2026-18657
- Notice Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle as Part of Its Co-Location Services↗ 2026-18656
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of “Trading Platform”↗ 2026-18655
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of “Trading Platform”↗ 2026-18654
- Notice Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle as Part of Its Co-Location Services↗ 2026-18653
- Notice Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle As Part of Its Co-Location Services↗ 2026-18652
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Update the Definition of “Trading Platform”↗ 2026-18651
- Notice Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend SAIL Order Entry Port Fees↗ 2026-18650
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Tender Offer-Regulation 14D and Regulation 14E, Schedule 14D-9↗ 2026-18637
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 19a-1↗ 2026-18636
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17Ab2-1 and Form CA-1↗ 2026-18635
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15b9-1↗ 2026-18634
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 20-F↗ 2026-18632
- Notice Order Granting Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934, From Inline XBRL Requirements for Portions of Form CA-1 and Form 1 and for Form X-17A-5 Part III, Form 17-H, and Security-Based Swap Entity's Annual Compliance Report↗ 2026-18905
- Notice In the Matter of The Nasdaq Stock Market LLC; Order Granting Petitions for Review and Scheduling Filing of Statements Regarding an Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Continued Listing Requirement↗ 2026-18878
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Securities Act Rule 192↗ 2026-18819
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-6F↗ 2026-18818
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 12d1-4↗ 2026-18817
- Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 10, Section 27↗ 2026-18816
- Notice Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division↗ 2026-18815
- Notice Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule↗ 2026-18814
- Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 11.1, 11.6, 11.7, and 11.8 To Add a New Time-in-Force Designation Known as “Regular `til Post Market”↗ 2026-18813
- Notice Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add Investors Exchange LLC as a Participant↗ 2026-18812
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 11.1(a), 11.9(b), and 11.23 To Add a New Time-in-Force Designation Known as “Regular til Post Market”↗ 2026-18811
- Notice Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Timeframe To Permit Trading of Pegged Orders During Pre-Market and Post-Market Sessions↗ 2026-18810
- Notice Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan To Add MX2 LLC as a Participant↗ 2026-18809
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule Equity 7 Regarding Pricing of Ports for the Night Session↗ 2026-18808
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.29 Regarding Trading Halts↗ 2026-18807
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 11.1(a), 11.9(b), 11.23, and 11.24 To Add a New Time-in-Force Designation Known as “Regular `til Post Market”↗ 2026-18806
The Securities and Exchange Commission published seven notices regarding proposed rule changes and fee schedule amendments by various self-regulatory organizations.
The Securities and Exchange Commission published ten notices on September 17, 2026, including rule changes for exchanges and self-regulatory organizations and information collection extensions.
The Securities and Exchange Commission published twenty-one notices on September 18, 2026, regarding proposed rule changes by self-regulatory organizations and the Public Company Accounting Oversight Board.
- Notice Public Company Accounting Oversight Board; Notice of Filing of Proposed Rules on Amendments to QC 1000, A Firm's System of Quality Control, and Related Rule and Forms↗ 2026-19148
- Notice Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing of Binary KPI Options↗ 2026-19139
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program↗ 2026-19134
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program↗ 2026-19133
- Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of a Proposed Rule Change To Permit the Listing of Binary KPI Options↗ 2026-19132
- Notice Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts↗ 2026-19131
- Notice Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Section 3, Appointment of Market Makers↗ 2026-19130
- Notice Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 2, Section 3, Appointment of Market Makers↗ 2026-19129
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rules 11.1, 11.6, 11.7, and 11.8 To Add a New Time-in-Force Designation Known as “Regular `til Post Market”↗ 2026-19128
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program↗ 2026-19127
- Notice Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Adopt FINRA Rule 3290 (Outside Activities Requirements)↗ 2026-19126
- Notice Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.12 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-19125
- Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.12E Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-19124
- Notice Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.12-E Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-19123
- Notice Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.12 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours Per Day, 5 Days Per Week↗ 2026-19122
- Notice Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.12 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-19121
- Notice Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 2628 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-19120
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Sections 1 and 2↗ 2026-19119
- Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program↗ 2026-19118
- Notice Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Framework of the Exchange's Initial Fee Schedule and Establish an Options Regulatory Fee (“ORF”)↗ 2026-19117
- Notice OneAscent Capital Opportunities Fund, et al.↗ 2026-19111
The Securities and Exchange Commission published two proposed rules and eight notices on September 21, 2026.
The Securities and Exchange Commission published ten notices on September 23, 2026, regarding proposed rule changes filed by self-regulatory organizations.
- Notice Self-Regulatory Organizations; KalshiEX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Listing Standards for Security Futures Products↗ 2026-19409
- Notice Self-Regulatory Organizations; Bitnomial Exchange, LLC; Notice of a Filing of a Proposed Rule Change Relating to Security Futures Product Listing Standards, Customer Margin and Related Rules↗ 2026-19408
- Notice Self-Regulatory Organizations; Coinbase Derivatives, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Adoption of Coinbase Derivatives, LLC's Rules Governing Cash Settled Futures on Individual Equity Securities and Exchange-Traded Fund Shares, Including Perpetual Single-Stock Futures↗ 2026-19407
- Notice Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.10-E Clearly Erroneous Executions↗ 2026-19398
- Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13(a) To Replace the Term “Registered Clearing Agency” With “Qualified Clearing Agency” and Clarify That a Non-Member May Act as a Clearing Firm↗ 2026-19397
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15(a) To Clarify That a Non-Member May Act as a Clearing Firm↗ 2026-19396
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.13(a) To Replace the Term “registered clearing agency” With “Qualified Clearing Agency;” Clarify That a Non-Member May Act as a Clearing Firm; and Require That a Member Seeking To Participate in the Exchange's Overnight Trading Session Maintain a Separate, Effective Letter of Guarantee or Authorization From a Clearing Firm↗ 2026-19395
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Amend Rule 11.15(a) To Clarify That a Non-Member May Act as a Clearing Firm↗ 2026-19394
- Notice Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the Implementation Schedule of Amendments To Schedule A to the FINRA By-Laws Adopted in SR-FINRA-2024-019 as Modified in SR-FINRA-2025-007↗ 2026-19393
- Notice Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Pause Assessment of the Trading Activity Fee↗ 2026-19392
The Securities and Exchange Commission published eight notices on September 24, 2026, regarding information collection activities and self-regulatory organization rule changes.
The Securities and Exchange Commission published fifteen notices on September 25, 2026, regarding self-regulatory organization rule changes and information collection extensions.
The Securities and Exchange Commission published seven notices, including proposed information collection extensions and self-regulatory organization rule changes.
The Securities and Exchange Commission published 13 notices on September 29, 2026, including self-regulatory organization rule changes and exemption applications.
- Notice Sunshine Act Meetings↗ 2026-20396
- Proposed Rule Interval Fund Modernization; Expansion of Multiple Share Class to Registered Closed-End Management Investment Companies and Business Development Companies↗ 2026-20360
- Notice Potential Designation of Chartered Financial Analyst Designation as Qualifying Natural Persons for Accredited Investor Status↗ 2026-20311
- Notice Potential Designation of Passage of an Accredited Investor Exam To Be Developed by FINRA as Qualifying Natural Persons for Accredited Investor Status↗ 2026-20310
- Notice Potential Designation of Certified Financial Planner Certification as Qualifying Natural Persons for Accredited Investor Status↗ 2026-20309
- Notice Potential Designation of U.S. Certified Public Accountant License as Qualifying Natural Persons for Accredited Investor Status↗ 2026-20308
- Notice Potential Designations of the Investment Banking Representative License (Series 79) and the Research Analyst License (Series 86 and Series 87) as Qualifying Natural Persons for Accredited Investor Status↗ 2026-20307
- Notice Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend LTSE Rule 15.120 To Expand the Permitted Collection Arrangements↗ 2026-20305
- Notice Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC↗ 2026-20304
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC↗ 2026-20303
- Notice Self-Regulatory Organizations: MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Risk Controls for Equity Members in Connection With the Upcoming Expansion by Other National Securities Exchanges and the Appliable Securities Information Processors of Their Hours to 23 Hours per Day, 5 Days per Week↗ 2026-20302
- Notice Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Change To Modernize the Direct Registration System↗ 2026-20301
- Notice Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC↗ 2026-20300
- Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLC↗ 2026-20299
- Notice Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Conforming Changes To Reflect the Name Change of “Nasdaq BX, Inc.” to “Nasdaq Texas, LLC”↗ 2026-20298
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule Equity 2, Section 9 Regarding Clearing and Settlement in Connection With 23-5 Trading↗ 2026-20297
- Notice SLR Secured Lending Partners, LLC and SLR Secured Specialty Lending Fund↗ 2026-20289
The Securities and Exchange Commission published five notices on October 7, 2026, regarding self-regulatory organizations and fund matters.
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of a Proposed Rule Change To List and Trade Shares of the 3x Gold ETF, 3x Silver ETF, 3x Bitcoin ETF, 3x Ether ETF, 3x Crude Oil ETF, and 3x Natural Gas ETF, Each a Series of the VS Trust, Under BZX Rule 14.11(e)(4) (Commodity-Based Trust Shares)↗ 2026-20507
- Notice Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Exempt Specified Collective Trust Funds From FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131(b) (New Issue Allocations and Distributions)↗ 2026-20506
- Notice Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Listing Standards and Withdrawal Criteria for Options on Commodity-Based Trusts Holding a Single Crypto Asset or Multiple Crypto Assets and To Amend Rules Regarding Position and Exercise Limits for Options on iShares Bitcoin Trust ETF↗ 2026-20505
- Notice Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rule 1328, Influencing or Rewarding Employees of Others↗ 2026-20504
- Notice Manning & Napier Fund, Inc., et al.↗ 2026-20502
The Securities and Exchange Commission published nineteen notices on October 8, 2026, regarding information collection extensions and self-regulatory organization rule changes.
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 2a-7↗ 2026-20671
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-8 and Form N-CR↗ 2026-20670
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-19 and Form X-17A-19↗ 2026-20669
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation SE↗ 2026-20616
- Notice Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4121 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-20606
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4121 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-20605
- Notice Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 3101 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-20604
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.24(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-20603
- Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.23 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-20602
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.30 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-20601
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.29 Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt in Connection With the Industry's Expansion of Trading Hours to 23 Hours per Day, 5 Days per Week↗ 2026-20600
- Notice 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↗ 2026-20599
- Notice Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Wide Risk Protection↗ 2026-20598
- Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market Wide Risk Protection↗ 2026-20597
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Modify the Operative Date of SR-Nasdaq-2026-004↗ 2026-20596
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8(d)↗ 2026-20595
- Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.8(d)↗ 2026-20594
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22(g)↗ 2026-20593
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.22(g)↗ 2026-20592
The Securities and Exchange Commission published ten notices on October 9, 2026, regarding self-regulatory organization rule changes and applications.
The Securities and Exchange Commission published 20 notices on October 13, 2026, regarding self-regulatory organization rule changes and information collection activities.
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-54C↗ 2026-20819
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program↗ 2026-20811
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program↗ 2026-20810
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program↗ 2026-20809
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Listing Rule 5505↗ 2026-20808
- Notice Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 11, Rule 11890 (Clearly Erroneous Transactions)↗ 2026-20807
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 11, Rule 11890 (Clearly Erroneous Transactions)↗ 2026-20806
- Notice Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 3312 (Clearly Erroneous Transactions)↗ 2026-20805
- Notice Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5740 Regarding Information Circular Requirements↗ 2026-20804
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Add IEX Exchange, Inc. (“IEX”) to Fee Code RP↗ 2026-20803
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule To Add IEX Exchange, Inc. (“IEX”) to Fee Code RP↗ 2026-20802
- Notice Self-Regulatory Organizations; MEMX LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Rules for the Listing and Trading of Securities Event Contracts on the Exchange↗ 2026-20801
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5740 Regarding Information Circular Requirements↗ 2026-20800
- Notice Joint Industry Plan; Notice of Filing and Order of Summary Effectiveness on a Temporary Basis Not To Exceed 120 Days of Proposed Twenty-Ninth Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Revise the Time for Calculating the Consolidated Price in Connection With Overnight Trading↗ 2026-20799
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.17 (Clearly Erroneous Executions)↗ 2026-20798
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.17 (Clearly Erroneous Executions)↗ 2026-20797
- Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.15 (Clearly Erroneous Executions)↗ 2026-20796
- Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Rules Regarding the Global Trading Hours (“GTH”) and Curb Trading Hours Sessions↗ 2026-20795
- Notice Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Adopt Standards for Establishing Cross-Margin Arrangements and Adopt a Cross-Margin Arrangement With Chicago Mercantile Exchange Inc.↗ 2026-20794
- Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program↗ 2026-20793
The Securities and Exchange Commission published five notices on October 14, 2026, regarding proposed rule changes and fund matters.
The Securities and Exchange Commission published a proposed rule amending cross trading conditions for investment companies and two notices.
The Securities and Exchange Commission published 18 notices on October 16, 2026, concerning information collection activities, self-regulatory organization rule changes, and investment company matters.
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-17f-2↗ 2026-21216
- Notice Stellus Capital Investment Corporation, et al.↗ 2026-21215
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-3↗ 2026-21204
- Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-22↗ 2026-21203
- Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-7 and Form N-MFP↗ 2026-21180
- Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Permit the Listing of Binary Options Overlying Key Performance Indicators Reported by Certain Issuers of Stock↗ 2026-21149
- Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4120 To Set Forth Specific Requirements for Halting and Opening Trading in Exchange-Traded Products During 23/5 Trading↗ 2026-21137
- Notice Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Amend Rule 410, Rule 101, the Capped Liquidity Facility Procedure, and the Liquidity Risk Management Policy↗ 2026-21136
- Notice Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts↗ 2026-21135
- Notice Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism↗ 2026-21134
- Notice Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify the Priority Customer Rebate Program Table for Certain Transactions in Complex Orders↗ 2026-21133
- Notice Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the LTSE Fee Schedule To Add an Incentive Program for Market Makers↗ 2026-21132
- Notice Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market-Wide Speed Bump and the Kill Switch↗ 2026-21131
- Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market-Wide Speed Bump and Kill Switch↗ 2026-21130
- Notice Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.270 (Clearly Erroneous Executions) in Light of the Commission's Approval of Overnight Protected Bands for 23/5 Trading↗ 2026-21129
- Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 and Rule 19.4 To Establish Generic Listing Criteria and Continued Listing Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets and To Permit the Listing of Options on Exchange-Traded Funds↗ 2026-21128
- Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule↗ 2026-21127
- Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements↗ 2026-21126
The Securities and Exchange Commission published four notices of self-regulatory organization rule change filings.
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Everything on this page is also a tool call. Add
mcp.downstream.sh as an MCP server in Claude, ChatGPT, or any client that speaks the
protocol — no key, no account — then paste this:
Using the Downstream MCP server at mcp.downstream.sh, call whats_new_since with agency "Securities and Exchange Commission" since 2026-08-10, then tell me what this agency has been working on and which of its deadlines are still open.
Reaches whats_new_since. The response carries its own citations
and states what it is missing — including which dates it has no record for.