GrubMarket, Inc. - Order Appointing Fund Administrator
The SEC has appointed KCC Class Action Services, LLC as the fund administrator for the $8 million Fair Fund collected from GrubMarket, Inc. This follows an earlier order where GrubMarket was fined $8 million for materially overstating revenues to investors between 2019 and 2021.
Lord Abbett Private Credit Fund, et al. Filing
The Securities and Exchange Commission has issued a notice regarding a filing by the Lord Abbett Private Credit Fund, et al. The notice, published on March 30, 2026, pertains to Investment Company Act Release No. 36071 and File No. 812-15816.
NSCC Proposes New Customer Margin Account Option for Securities Financing Transactions
The Securities and Exchange Commission (SEC) has published a notice regarding a proposed rule change by the National Securities Clearing Corporation (NSCC). NSCC proposes to introduce a new customer net margin account option for agent clearing members within its Securities Financing Transaction Clearing Service.
MIAX Sapphire LLC Proposed Rule Change on Fee Schedule
The SEC has published a notice of filing and immediate effectiveness for a proposed rule change by MIAX Sapphire LLC. This change amends the exchange's fee schedule, specifically concerning non-transaction fee waivers. The filing is effective immediately upon filing.
Agency Information Collection Activities; Comment Request; Regulation SHO Rules
The Securities and Exchange Commission has submitted an information collection request for extension to the OMB for Regulation SHO rules, specifically Rule 201 and Rule 200(g). This notice requests public comment on the proposed extension of these existing information collection requirements.
SEC - Agency Information Collection Activities; OMB Review; Comment Request; OMMS Form
The Securities and Exchange Commission (SEC) has issued a notice requesting public comment on the extension of an existing information collection activity related to the Ombudsman Matter Management System (OMMS) Form. This notice is part of the standard process for reviewing and approving information collection requests by the Office of Management and Budget (OMB).
Multi-Class ETF Fund Exemptive Relief Under the Investment Company Act of 1940
The Securities and Exchange Commission has issued a notice regarding exemptive relief for multi-class ETF funds under the Investment Company Act of 1940. This notice provides details on applications filed and amended, outlining the scope of relief granted.
Cboe Exchange, Inc. Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Introduce an Exchange Clock Service
The SEC has published a notice regarding a proposed rule change by Cboe Exchange, Inc. to introduce an exchange clock service. This notice details the filing and immediate effectiveness of the rule change, which is intended to enhance the accuracy and reliability of exchange timekeeping.
Cboe C2 Exchange - Proposed Rule Change for Clock Service
The Securities and Exchange Commission (SEC) has published a notice regarding a proposed rule change by Cboe C2 Exchange, Inc. The exchange intends to introduce a new 'Exchange Clock Service' to enhance the accuracy and reliability of trading time synchronization for its participants. This filing is effective immediately upon filing.
Nasdaq Texas LLC Proposes Dual Listing Fees Rule Change
The Securities and Exchange Commission (SEC) has published a notice regarding a proposed rule change by Nasdaq Texas LLC. The rule change, which is effective immediately, establishes new fees for dual listing on the exchange. This action impacts public companies seeking to list on Nasdaq Texas.
Cboe Exchange Inc. Rule Change Approval for Auction Response Functionality
The Securities and Exchange Commission (SEC) has published a notice regarding Cboe Exchange Inc.'s proposed rule change to amend functionality for processing auction responses. This notice includes an order granting accelerated approval of the proposed rule change, as modified by an amendment.
Proposed Rule Change for 24X National Exchange LLC
The SEC is soliciting comments on a proposed rule change filed by 24X National Exchange LLC. The proposal aims to update references to Regulation NMS and clarify the handling of specific order types to ensure compliance with Rule 610(e) of Regulation NMS.
NYSE Arca Proposes New Options Regulatory Fee Assessment Methodology
The SEC is soliciting comments on a proposed rule change by NYSE Arca to amend its Options Regulatory Fee (ORF) assessment methodology. The proposed change aligns with other exchanges, limiting the ORF to options transactions occurring on NYSE Arca and cleared in the Customer range at OCC, with an intended effective date of July 1, 2026.
IEX Proposed Rule Change for Nasdaq Texas Name Change
The Securities and Exchange Commission is soliciting comments on a proposed rule change by Investors Exchange LLC (IEX). The proposed change would amend IEX rules to reflect the name change of Nasdaq BX, Inc. to Nasdaq Texas, LLC, and update obsolete references to 'NASDAQ'.
SEC Approves Nasdaq ISE Rule Change for Crypto Asset Options Listing
The SEC has approved a rule change proposed by Nasdaq ISE, LLC, allowing the listing and trading of options on Commodity-Based Trusts that hold multiple crypto assets. This change expands the criteria beyond trusts holding a single crypto asset, provided each underlying crypto asset meets specific market value and derivatives trading requirements.
NYSE American LLC Proposes New Options Regulatory Fee Assessment Methodology
The SEC is soliciting comments on a proposed rule change by NYSE American LLC to amend its Options Regulatory Fee (ORF) assessment methodology. The proposed change aligns with other exchanges by assessing ORF only for options transactions cleared in the Customer range at OCC and occurring on the Exchange, with an intended effective date of July 1, 2026.
Giftify, Inc. - Notice of Delisting or Failure to Satisfy Listing Rule
Giftify, Inc. received a notice from Nasdaq indicating its common stock is non-compliant with the minimum bid price requirement of $1 per share. The company has 180 days to regain compliance, potentially through a reverse stock split, or face delisting.
BiomX Inc. - Notice of Delisting or Failure to Satisfy Continued Listing Rule
BiomX Inc. received a notice from NYSE American for failing to meet continued listing standards related to minimum stockholders' equity. The company must submit a plan by April 24, 2026, to regain compliance by September 25, 2027.
Immersion Corp - Notice of Delisting or Failure to Satisfy Continued Listing Rule
Immersion Corporation received an additional delinquency notice from Nasdaq for failing to file its Quarterly Reports on Form 10-Q for the fiscal quarters ended January 31, 2026, October 31, 2025, and July 31, 2025. The company has requested a hearing to seek additional time to comply with Nasdaq Listing Rules.
SEC Approves Amendment to NMS Plan to Reduce Consolidated Audit Trail Costs
The SEC approved an amendment to the National Market System Plan for the Consolidated Audit Trail (CAT) to reduce operational costs. The amendment is estimated to save $50-70 million annually by implementing measures such as deleting older data and relaxing certain reporting requirements.
SEC Obtains Consent Judgments Against Benjamin Taylor and Darina Windsor in Insider Trading Case
The SEC announced final consent judgments against Benjamin Taylor and Darina Windsor, former investment bankers, in an alleged insider trading scheme. The judgments permanently enjoin them from violating securities laws and order disgorgement and civil penalties totaling $550,000.
SEC Dismisses Civil Enforcement Action Against FAT Brands, Inc. and Executives
The SEC announced the dismissal, with prejudice, of its civil enforcement action against FAT Brands, Inc., Andrew Wiederhorn, Ron Roe, and Rebecca D. Hershinger. The dismissal was based on the facts and circumstances of the case and evidence developed in discovery.
SEC Files Subpoena Enforcement Action Against John Olsen
The SEC has filed a subpoena enforcement action against Florida executive John Olsen and six affiliated companies in the Northern District of Texas. The action seeks to compel the production of documents and information related to an investigation into a possible market-manipulation scheme involving Mondee Holdings, Inc. securities.
SEC charges Krish Kumar for defrauding investors
The SEC filed settled charges against Oklahoma resident Krish Kumar for allegedly defrauding investors in two offerings, raising approximately $7.8 million and misappropriating nearly $7 million. Kumar consented to a judgment enjoining him from future violations and ordering monetary remedies to be determined by the court.
SEC Obtains Final Judgment Against Commonwealth Equity Services
The SEC announced it has obtained a final consent judgment against Commonwealth Equity Services, LLC, an investment adviser, for alleged failures to disclose material conflicts of interest related to revenue sharing agreements. Commonwealth has agreed to pay a civil penalty of $5 million.