SEC Remarks on Small Business Capital Formation
SEC Deputy Directors Jenny Riegel and Amy Reischauer delivered remarks on improving capital formation for small businesses. The speech outlined the Office of the Advocate for Small Business Capital Formation's 'Listen → Learn → Improve' framework and highlighted tools designed to help small businesses navigate regulatory pathways.
NYSE American LLC Rule Change Proceedings
The SEC has published a notice regarding NYSE American LLC's proposed rule change, as amended. This notice includes an order instituting proceedings to determine whether to approve or disapprove the proposed amendments to Sections 1003 and 1009 of the NYSE American Company Guide.
Nasdaq Texas LLC Colocation Service Rule Change
Nasdaq Texas LLC has filed a proposed rule change with the SEC to introduce a new colocation service called TNO Cross Connect. This service is a telecommunications carrier connectivity service offered within Nasdaq's colocation facilities. The rule change is effective immediately upon filing.
MIAX PEARL LLC - Proposed Rule Change on Data Feed Usage
The SEC has published a notice of filing and immediate effectiveness for a proposed rule change by MIAX PEARL LLC concerning the usage of data feeds. This filing amends Exchange Rule 2613(a) regarding how market data feeds can be utilized.
NYSE Arca Inc. Proposed Rule Change on Equities Fees
The SEC has published a notice of filing and immediate effectiveness for a proposed rule change by NYSE Arca, Inc. concerning equities fees and charges. This action allows the exchange to implement changes to its fee structure for equity trading.
Nasdaq Rule Change Proposal for VanEck JitoSOL ETF Listing
The SEC has published a notice regarding a proposed rule change by Nasdaq to list and trade shares of the VanEck JitoSOL ETF. This notice initiates a public comment period for the proposed rule change.
Nasdaq PHLX LLC - Proposed Rule Change for Co-Location Services
The SEC has published a notice regarding a proposed rule change by Nasdaq PHLX LLC to expand its co-location services. This filing indicates an immediate effectiveness, suggesting the changes are operational or have been approved.
SEC Order Granting Exemptive Relief for Multi-Class ETFs
The SEC has issued an order granting conditional exemptive relief for multi-class Exchange Traded Funds (ETFs) under Section 36 of the Exchange Act. This relief pertains to specific rules including 10b-10, 14e-5, and Section 11(d)(1).
Nasdaq Texas LLC Rule Change to Expand Co-Location Services
The SEC has published a notice regarding a proposed rule change by Nasdaq Texas LLC to expand its co-location services. This filing is effective immediately upon filing. The rule change concerns the provision of co-location services, which allow market participants to house their trading equipment within an exchange's data center.
Nasdaq Co-Location Services Expansion Rule Change
The SEC has published a notice of filing and immediate effectiveness for a proposed rule change by The Nasdaq Stock Market LLC. This change allows for the expansion of the exchange's co-location services, impacting how market participants access exchange infrastructure.
Nasdaq MRX LLC Rule Change - Co-Location Services Expansion
The SEC has published a notice regarding a proposed rule change by Nasdaq MRX LLC to expand its co-location services. This notice details the filing and immediate effectiveness of the rule change, which allows Nasdaq MRX to offer additional co-location services to market participants.
Nasdaq ISE Co-Location Services Rule Change Proposal
The SEC has published a notice regarding a proposed rule change by Nasdaq ISE, LLC, concerning its co-location services. This filing indicates an expansion of the exchange's co-location offerings, which are critical infrastructure for high-frequency trading firms.
Nasdaq GEMX LLC - Proposed Rule Change for Co-Location Services
Nasdaq GEMX LLC has filed a proposed rule change with the SEC to expand its co-location services. This notice announces the filing and immediate effectiveness of the proposal, allowing for the introduction of new co-location offerings.
SEC Agency Information Collection Activities; OMB Review; Comment Request
The Securities and Exchange Commission (SEC) has published a notice requesting public comment on an extension of an existing information collection activity. This notice pertains to the Form F-1 Registration Statement and is subject to review by the Office of Management and Budget (OMB).
SEC - Agency Information Collection Activities; Comment Request; Extension Rule 17d-1
The Securities and Exchange Commission (SEC) has published a notice regarding an agency information collection activity. This notice requests comments on the extension of an existing collection of information related to Rule 17d-1, under OMB Control No. 3235-0562.
SEC - Agency Information Collection Activities; Form F-10 Extension
The Securities and Exchange Commission (SEC) has submitted a request to the Office of Management and Budget (OMB) for review and extension of the Form F-10 Registration Statement information collection activity. This notice announces the request and opens a public comment period.
SEC - Agency Information Collection Activities; Form F-4 Extension
The Securities and Exchange Commission (SEC) has submitted Form F-4, related to agency information collection activities, for OMB review. This notice requests comments on the extension of the existing information collection requirements associated with Form F-4.
SEC Agency Information Collection Activities; OMB Review; Comment Request; Extension
The SEC has submitted an agency information collection activity, specifically related to Tender Offer Statements (Schedule 14D-1F), for OMB review and extension. This notice requests public comment on the proposed extension of this information collection.
SEC - Agency Information Collection Activities Submission for OMB Review
The Securities and Exchange Commission (SEC) has submitted an agency information collection activity for review by the Office of Management and Budget (OMB). This notice pertains to the extension of an existing information collection related to Exempt Preliminary Roll-Up Communication, identified by OMB Control No. 3235-0452.
MIAX PEARL Proposes Temporary Options Regulatory Fee Decrease
MIAX PEARL, LLC has filed a proposed rule change with the SEC to temporarily decrease the Options Regulatory Fee (ORF) from $0.0016 to $0.0013 per contract. This reduction is planned to be effective from March 1, 2026, through June 30, 2026, to recover regulatory costs.
SEC Proposes Rule on Quotation Submissions for Equity Securities
The SEC is proposing to amend Rule 15c2-11 to limit its application to equity securities. This rule governs information gathering and review requirements for brokers and dealers before quoting a security. The proposal aims to refine the scope of the existing rule.
SEC Notice: Nasdaq PHLX LLC Proposed Rule Change for TNO Cross Connect
The SEC has published a notice regarding a proposed rule change by Nasdaq PHLX LLC to introduce a new telecommunications network operator (TNO) connectivity service called 'TNO Cross Connect' within its data center campus. The Exchange will submit a separate filing for associated fees.
Cboe EDGX Exchange Proposed Rule Change: Fee Waiver for Internal Distributors
The Cboe EDGX Exchange has filed a proposed rule change with the SEC to amend its Fee Schedule. The proposal introduces a new fee waiver for eligible Internal Distributors of the EDGX Depth Data Feed, aiming to facilitate system setup for new distributors. The SEC is soliciting comments on this proposal.
SEC Notice: RBB Fund Trust and M.D. Sass, LLC Application for Exemption
The SEC has issued a notice regarding an application from The RBB Fund Trust and M.D. Sass, LLC. The applicants seek an exemption from certain provisions of the Investment Company Act of 1940 and related disclosure rules to allow for subadvisory agreements without shareholder approval and to modify fee disclosure requirements.
Nasdaq Co-location Services Expansion Proposal
The SEC is soliciting comments on a proposed rule change by Nasdaq to expand its co-location services. The proposal includes offering new cabinet and power options, specifically a liquid-cooled cabinet, in Nasdaq's expanded data center to accommodate higher power densities and enable greater computing power deployment.
MIAX Sapphire Proposes Temporary Decrease to Options Regulatory Fee
MIAX Sapphire has filed a proposed rule change with the SEC to temporarily decrease its Options Regulatory Fee (ORF) from $0.0013 to $0.0011 per contract. This reduction is planned to be in effect from March 1, 2026, to June 30, 2026, and is intended to recover a portion of the exchange's regulatory costs.
Nasdaq Proposed Rule Change for TNO Cross Connect Service
The SEC is soliciting comments on a proposed rule change by Nasdaq to introduce a new telecommunications network operator (TNO) connectivity service called 'TNO Cross Connect' within its data center campus. This service will provide a specific component of telco-to-customer connectivity.
Nasdaq MRX LLC Co-location Services Rule Change Proposal
Nasdaq MRX LLC has proposed a rule change to expand its co-location services by introducing new cabinet and power options, including a liquid-cooled cabinet, in its expanded data center. The SEC is soliciting public comments on this proposal.
NYSE American LLC Proposed Rule Change to Company Guide Section 1003
The SEC has published a notice regarding a proposed rule change by NYSE American LLC to amend Section 1003 of its Company Guide. This notice is part of the standard regulatory review process for proposed changes by self-regulatory organizations.
NYSE rule change amendment proceedings initiated
NYSE rule change amendment proceedings initiated
SEC Administrative Proceeding Against PHX Financial - Proposed Distribution Plan
The SEC has issued a notice regarding a proposed plan to distribute $347,989.04 in disgorgement, prejudgment interest, and penalties to harmed investors in an administrative proceeding against PHX Financial, Inc. The notice provides an opportunity for public comment on the proposed distribution plan.
SEC No-Action Letter: Cboe EDGX Retail Price Improvement Program
The SEC's Division of Trading and Markets issued a no-action letter to Cboe EDGX Exchange regarding its proposed Retail Price Improvement Program. The program allows for non-displayed orders that price-improve on the National Best Bid or Offer (NBBO) by at least $0.001 per share. This relief is provided in connection with the proposed rule change SR-CboeEDGX-2025-072.