SEC Agency Information Collection Activities; Proposed Collection; Comment Request
The SEC has issued a notice regarding proposed collection of agency information under Rule 17a-22. This notice requests public comment on the extension of an existing information collection requirement. The document cites OMB Control No. 3235-0196 and is published in the Federal Register.
SEC Seeks OMB Review for Rule 15c2-5 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 information collection requirements under Rule 15c2-5. This notice seeks public comment on the proposed extension.
Nasdaq Rule Change Approved for Tokenized Securities Trading
The SEC has approved a Nasdaq rule change allowing the trading of tokenized securities on the exchange. This order, published on March 23, 2026, marks a significant step in integrating digital assets into traditional market infrastructure.
SEC Order Approving Fixed Income Clearing Corporation Rule Change
The Securities and Exchange Commission (SEC) has issued a notice approving a proposed rule change by the Fixed Income Clearing Corporation (FICC). This change removes an activity limit from the GSD Rules, impacting how FICC operates its services.
Cboe Exchange Inc. Rule Change for Options on Magnificent 10 Index
The SEC has published a notice regarding a proposed rule change by Cboe Exchange Inc. to amend its rules concerning the minimum increment for options on the Cboe Magnificent 10 Index. The notice includes an order granting accelerated approval of the proposed rule change, as modified by amendments.
Nasdaq Rule Change for Liquidity Provider Programs
The SEC has published a notice regarding a proposed rule change by The Nasdaq Stock Market LLC. This change aims to amend the Designated Liquidity Provider and Market Quality Supporter Programs within Equity 7, Section 114. The filing was effective immediately upon notice.
NYSE Arca Rule Change to Eliminate Outdated Publication Obligations
The SEC has published a notice regarding a rule change by NYSE Arca, Inc. The proposed change aims to eliminate certain outdated publication obligations within NYSE Arca's rules, specifically amending Rules 2.4, 2.6, and 6.44-O. This action is effective immediately upon filing.
SEC Order on FICC/CME Cross-Margining Agreement Rule Change
The SEC has issued an order instituting proceedings to determine whether to approve or disapprove a proposed rule change by the Fixed Income Clearing Corporation (FICC). The proposed change involves amending and restating the cross-margining agreement between FICC and CME, and also amending related GSD rules.
NYSE Arca Crypto Options Trading Rule Change
The SEC has published a notice regarding a proposed rule change by NYSE Arca, Inc. to amend its rules concerning options on certain crypto assets. This filing is effective immediately upon publication.
Cboe BYX Exchange - Proposed Rule Change on Trading Halts
The SEC has published a notice regarding a proposed rule change by Cboe BYX Exchange, Inc. This change aims to adopt new rules (11.28 and 11.29) concerning regulatory and operations trading halts, integrate definitions from the CTA/CQ Plan, and reorganize existing Rule 11.18. The filing is effective immediately.
Cboe BZX Exchange - Proposed Rule Change on Trading Halts
The SEC has published a notice of filing and immediate effectiveness for a proposed rule change by Cboe BZX Exchange, Inc. The change aims to adopt new rules (11.29 and 11.30) regarding regulatory and operations trading halts, integrate definitions from the CTA/CQ Plan, and reorganize existing Rule 11.18. This action affects how trading halts are managed on the exchange.
NYSE American LLC Proposes Rule Changes for Crypto Options Trading
The SEC has published a notice regarding a proposed rule change by NYSE American LLC concerning options on certain crypto assets. This filing pertains to amendments to Exchange Rules 904, 903G, and 906G, and is effective immediately upon filing.
SEC Seeks Comments on Schedule 14D-1F Tender Offer Statement
The SEC has submitted a request to the Office of Management and Budget for an extension of the approval for Schedule 14D-1F. This form facilitates cross-border tender offers for Canadian issuers where U.S. holders own less than 40% of the target's securities. The notice seeks public comment on the information collection request.
SEC Seeks Comments on Exempt Preliminary Roll-Up Communication Collection
The SEC has submitted a request to the Office of Management and Budget for an extension of a previously approved collection of information regarding exempt preliminary roll-up communications. This notice seeks public comment on the information collection request, which is associated with Rule 14a-6(n).
SEC Registration Statement Form F-4 Information Collection Request
The Securities and Exchange Commission (SEC) has submitted a request to the Office of Management and Budget to extend the approval for the information collection requirements associated with Form F-4. This form is used by foreign issuers to register securities in business combinations, reorganizations, and exchange offers.
SEC Seeks OMB Review for Rule 17d-1 Collection
The Securities and Exchange Commission (SEC) has submitted a request to the Office of Management and Budget (OMB) for an extension of the previously approved collection of information under Rule 17d-1. This rule governs joint transactions and arrangements involving investment companies and their affiliates.
SEC Registration Statement Comment Request
The SEC has submitted a request to the Office of Management and Budget for the extension of the information collection requirements associated with Form F-1, used by foreign private issuers to register securities. The notice provides details on the estimated annual burden and cost associated with this form.
SEC Proposes NYSE American LLC Rule Changes for Continued Listing Standards
The SEC is seeking public comment on proposed rule changes filed by NYSE American LLC to amend its Company Guide regarding continued listing standards. The proposed changes would increase the minimum closing price per share for immediate delisting from $0.10 to $0.25.
Nasdaq Texas Co-location Services Rule Change Proposal
Nasdaq Texas has proposed a rule change to expand its co-location services by introducing new cabinet offerings and power options in its future expansion area (NY11-5). The proposal aims to align the services available in the new area with those in existing expansion areas.
SEC Grants Conditional Exemptive Relief for Multi-Class ETFs
The SEC has granted conditional exemptive relief for multi-class ETFs, allowing them to offer both ETF shares and mutual fund shares within the same fund. This relief is based on previously granted orders and aims to address specific Exchange Act provisions for transactions involving ETF shares.
SEC Proposes Extension for Form F-10 Collection of Information
The SEC has submitted a request to the Office of Management and Budget for the extension of the information collection for Form F-10, used by certain Canadian foreign private issuers for securities offerings. The notice details the estimated burden hours and costs associated with the form.
NYSE Arca Rule Change for Equities Fees and Charges
NYSE Arca has filed a proposed rule change with the SEC to introduce the NYSE Arca Equity Membership On-Ramp Program. This program offers discounted fees for new Equity Permit Holders (ETPs) for up to 18 months, aiming to encourage smaller, retail-oriented market participants to join the exchange. The SEC is soliciting public comments on this proposal.
Nasdaq GEMX Proposes Rule Change for Co-location Services
Nasdaq GEMX has filed a proposed rule change with the SEC to expand its co-location services by introducing new cabinet offerings and power options in its future expansion area (NY11-5). The proposal aims to provide customers with the same cabinet and power services currently available in other data center areas.
SEC Application of Federal Securities Laws to Crypto Assets
The SEC and CFTC have issued a final rule clarifying the application of federal securities laws to certain crypto assets and related transactions. This rule aims to provide greater certainty for market participants regarding regulatory obligations.
Hester Peirce Discusses Materiality in SEC Disclosures
SEC Commissioner Hester Peirce delivered remarks on the limits of the SEC's disclosure rulemaking authority, referencing recent Supreme Court decisions. The speech, delivered at SEC Speaks on March 19, 2026, emphasized the importance of understanding statutory boundaries in regulatory work.