Form 12b-25 NT 10-Q Late Filing Notification - Period Ended February 28, 2026
Golkor Inc. filed Form 12b-25 (Notification of Late Filing) with the SEC on April 15, 2026, notifying the Commission that it is unable to timely file its Quarterly Report on Form 10-Q for the period ended February 28, 2026. The company cited unforeseen events requiring unreasonable effort and expense as the reason for the delay. Under Rule 12b-25, the company has until the fifth calendar day following the prescribed due date to file the report.
Business Loan Agreement with Bankers' Bank - $4.3M Revolving Credit Facility
First Mid Bancshares, Inc. (CIK: 700565) filed Exhibit 10.1 with the SEC disclosing a Business Loan Agreement dated April 10, 2026 with Bankers' Bank (Madison, WI). The agreement establishes a revolving line of credit facility for the borrower, with required collateral including a Negative Pledge and Negative Assignment Agreement on 100% of First Mid Bank & Trust, National Association's capital stock.
Maiden Creek Mining Registration Revoked for Filing Failures
The SEC issued an opinion revoking Maiden Creek Mining Co., Inc.'s securities registration under Section 12(j) of the Securities Exchange Act of 1934. The company, a dissolved Canadian corporation, failed to file required periodic reports in violation of Section 13(a) and Exchange Act Rule 13a-1. The company was deemed in default after failing to respond to the Order Instituting Proceedings and Order to Show Cause.
Manuka Inc. Registration Revoked for Exchange Act Reporting Violations
The SEC issued an opinion revoking the securities registration of Manuka, Inc. (ticker: MNKA) under Exchange Act Section 12(j). The company failed to file required periodic reports in violation of Section 13(a) and Rules 13a-1 and 13a-13, having not filed reports since Form 10-Q for the period ended September 30, 2023. Respondent failed to answer the Order Instituting Proceedings and failed to respond to an order to show cause, resulting in a default determination.
W&E Source Corp. Securities Registration Revoked for Filing Failure
The SEC revoked the registration of W&E Source Corp. (ticker: WESC) under Exchange Act Section 12(j) after finding the company violated Section 13(a) and Rules 13a-1 and 13a-13 by failing to file required periodic reports. The company, a void Delaware corporation, failed to respond to the Order Instituting Proceedings and subsequent order to show cause, resulting in default judgment. The registration revocation applies to all classes of securities registered under Section 12.
Contribution and Equity Purchase Agreement - AHP-ANLG IV LLC, ANLG Intermediate Company LLC, and Leidos Inc.
Leidos Holdings Inc., Leidos Inc., AHP-ANLG IV LLC, and ANLG Intermediate Company LLC entered into a Contribution and Equity Purchase Agreement dated April 14, 2026. The agreement governs the formation and operation of joint venture entities, including equity contributions, closing conditions, post-closing adjustments, and representations and warranties from both Leidos and AHP entities covering topics including intellectual property, cybersecurity, data privacy, government contracts, taxes, and environmental compliance.
SEC Seeks Public Comment on Form ID Extension
The SEC published a notice in the Federal Register (91 FR 20237) seeking public comment on extending OMB Control No. 3235-0328, the information collection for Form ID (Application for EDGAR Access). Form ID is used by entities filing electronically with the SEC to obtain access credentials for the EDGAR system. The notice solicits comments on the necessity of the collection, accuracy of the burden estimate, and quality of utility of the information collected.
NYSE Arca Options Trading Rule Change for Reduced Value MSCI Indices
NYSE Arca filed a proposed rule change with the SEC to facilitate the transfer and trading of options overlaying the reduced value of the MSCI World Index (1/100), the full value of the MSCI ACWI Index, and the reduced value of the MSCI USA Index (1/100). The exchange claims the change has immediate effectiveness under Section 19(b)(3)(A) of the Securities Exchange Act. The SEC published notice of the filing in the Federal Register on April 15, 2026.
NYSE American Proposes MSCI World Index, MSCI ACWI Index, and MSCI USA Index Options Trading
The SEC published a notice that NYSE American LLC filed a proposed rule change (SR-NYSEAMER-2026-28) to permit the listing and trading of options overlaying the reduced value of the MSCI World Index (1/100), the full value of the MSCI ACWI Index, and the reduced value of the MSCI USA Index (1/100). The filing was made under Section 19(b)(3)(A) of the Securities Exchange Act of 1934 and became immediately effective upon filing. The SEC seeks public comment on the proposed rule change.
John Hancock GA Mortgage Trust - Investment Company Act Application Notice
The SEC published a notice regarding John Hancock GA Mortgage Trust's application under the Investment Company Act of 1940. The application was filed June 4, 2025, and subsequently amended on September 19, 2025, January 23, 2026, and March 19, 2026. The notice provides procedural information about the application and invites public comment.
Form 3 Beneficial Ownership Reporting Extension Request
The SEC published a notice in the Federal Register (91 FR 20238) seeking public comment on extending OMB Control No. 3235-0104, which covers the information collection for Form 3 - Initial Statement of Beneficial Ownership of Securities. The notice requests comments on the necessity of the collection, accuracy of the burden estimate, and ways to enhance the quality of information collected. Comments are requested by June 30, 2026.
Nasdaq PHLX Options Pricing Schedule - Customer Rebate Program Tier Changes
Nasdaq PHLX LLC filed a proposed rule change with the SEC to amend its Options Pricing Schedule at Options 7, Section 2 (Customer Rebate Program) and Options 7, Section 4 (Multiply Listed Options Fees). The Exchange proposes to modify the percentage thresholds to qualify for Tier 4 and Tier 5 of the Customer Rebate Program, and to discontinue the exemption from the Marketing Fee for the contra side of orders that execute against the originating order in an Exposure Complex Auction. The proposed changes were effective upon filing and became operative on April 1, 2026.
Form 144 PRA Collection Notice - Request for Comments on Burden Estimates
The SEC is soliciting comments on the Paperwork Reduction Act burden estimates for Form 144 (17 CFR 239.144), which reports securities sales exceeding 5,000 shares or $50,000. The agency estimates 11,500 respondents filing 32,276 responses annually with 32,276 total burden hours. Comments are due by June 15, 2026.
NYSE American Options Rule Change MSCI Indexes
NYSE American LLC filed a proposed rule change with the SEC on March 30, 2026, to amend multiple options rules (900C, 901C, 903C, 904C, 906G, and 901NY) to facilitate trading of options overlaying three MSCI equity indexes. The proposal covers reduced-value MSCI World Index (1/100), full-value MSCI ACWI Index, and reduced-value MSCI USA Index (1/100) options. Each proposed product would be European-style, cash-settled, P.M.-settled contracts. The SEC is soliciting public comments on the proposed rule change.
Nasdaq Proposes 23-Hour Daily Trading, Five Days Weekly
Nasdaq Proposes 23-Hour Daily Trading, Five Days Weekly
LTSE Proposes Extending Term-Limited Products and Services from Four to Five Years
The Long-Term Stock Exchange filed a proposed rule change with the SEC to amend LTSE Rule 14.602, extending from four years to five years the duration of certain term-limited complimentary products and services offered to listed companies through its affiliate LTSE Services. The Exchange states this extension is designed to provide companies additional time to realize the intended benefits of issuer engagement, shareholder development, and market intelligence initiatives.
SEC Seeks Comments on Form ID PRA Collection Burden
The Securities and Exchange Commission has issued a 60-Day Paperwork Reduction Act Collection Notice regarding Form ID, which must be completed by all individuals, companies, and organizations seeking electronic filing access to EDGAR. The notice invites public comments on the collection's necessity, accuracy of burden estimates, and ways to minimize burden. The SEC estimates 82,483 Form ID filings annually with 0.6 hours per response for a total annual burden of 49,490 hours.
John Hancock GA Mortgage Trust - Application for Co-Investment Order Under Investment Company Act
The SEC published notice of an application from John Hancock GA Mortgage Trust and affiliated entities requesting an order under sections 17(d) and 57(i) of the Investment Company Act of 1940 and rule 17d-1. The applicants seek relief to permit business development companies (BDCs) and closed-end management investment companies to co-invest in portfolio companies with each other and with affiliated investment entities. The application was filed June 4, 2025, and amended three times, most recently on March 19, 2026.
SEC Form 3 Beneficial Ownership - 60-Day Paperwork Reduction Act Collection Notice
The SEC published a 60-Day Collection Notice under the Paperwork Reduction Act seeking comments on the existing collection of information for Form 3 (17 CFR 249.103), OMB Control No. 3235-0104. Form 3 is required under Section 16 of the Securities Exchange Act of 1934 for insiders (directors, officers, and 10%+ beneficial owners) to disclose equity ownership. The SEC estimates approximately 15,371 respondents filing once annually with a burden of 0.5 hours per response, totaling 7,686 hours annually. No new compliance obligations are imposed.
Cboe BZX Exchange Proposes Fee Schedule Revision for LMP Tiers 1 and 2
Cboe BZX Exchange filed a proposed rule change with the SEC to revise the criteria for LMP Tiers 1 and 2 in its Fee Schedule applicable to BZX Equities. The Exchange operates a Maker-Taker model offering standard rebates of $0.00160 per share for liquidity providers and $0.0030 per share fees for liquidity removers in securities priced at or above $1.00. The SEC is publishing this notice to solicit comments from interested persons.
Cboe Exchange Retail Broker Fee Schedule Amendment
Cboe Exchange, Inc. filed a proposed rule change with the SEC on April 7, 2026, to amend its fee schedule by establishing a new 'Retail Broker' definition and related pricing for the Complex Order Book data feed. The proposal introduces Exchange Enterprise Tiers for Non-Professional Users and a waiver program for Retail Brokers subscribing to the C1 COB Data Feed. The SEC is soliciting public comments on the proposed changes.
SEC Joint Plan: Consolidated Audit Trail Amendment
The SEC published a notice that CAT LLC filed an amendment to the Consolidated Audit Trail NMS Plan on April 1, 2026. The amendment makes technical revisions including replacing 'NASDAQ BX, Inc.' with 'Nasdaq Texas, LLC' following the exchange's conversion to a Texas limited liability company, updating 'NASDAQ' to 'Nasdaq' branding in Exhibit A, and revising business addresses for Nasdaq exchanges.
CBOE Options Dow Jones P.M. Settlement Rule Change Approved
The SEC approved CBOE Exchange's proposed rule change to permit options on the Dow Jones Industrial Average (DJX) to be P.M.-settled. The Exchange filed the proposal on January 8, 2026, and the SEC approved it on April 10, 2026, after considering Amendment No. 3 which superseded prior amendments. The rule change amends Exchange Rules 4.13 and 5.1.
Cboe EDGX Proposes 23-Hour Extended Trading Hours
Cboe EDGX Proposes 23-Hour Extended Trading Hours
OCC Proposes Rule Change to Enable Binary Options Clearing
The Securities and Exchange Commission published notice of a proposed rule change by the Options Clearing Corporation (OCC) to amend its STANS Methodology Description to enable OCC to accept binary options for clearing and manage associated risks. OCC, the sole clearing agency for standardized equity options, proposes to clear European-style binary options on equity indexes. The SEC is soliciting comments from interested persons.
NT 10-Q Late Filing Notification, Period Ended Feb 2026
Purebase Corporation filed Form 12b-25 with the SEC on [date] seeking relief from the prescribed filing deadline for its Quarterly Report on Form 10-Q covering the three months ended February 28, 2026. The company stated it is unable to file by the April 14, 2026 deadline without unreasonable effort or expense as additional time is needed to finalize disclosures. The filing indicates a significant change in results of operations is anticipated.
NT 10-Q Late Filing Notification Under Rule 12b-25
Pacific Sports Exchange Inc. filed Form 12b-25 with the SEC notifying inability to file its Form 10-Q Quarterly Report for the period ended February 28, 2026 within the prescribed time period. The company cites delay in obtaining and compiling required information that could not be eliminated without unreasonable effort or expense. Under Rule 12b-25 of the Securities Exchange Act of 1934, the company anticipates filing its Form 10-Q within five calendar days following the prescribed due date.
Form 12b-25 Notification of Late Filing for Period Ended February 28, 2026
Blue Chip Capital Group, Inc. filed Form 12b-25 with the SEC notifying that its Form 10-Q quarterly report for the period ended February 28, 2026 cannot be filed by the prescribed due date. The registrant states that its independent registered public accounting firm is still completing the review of the company's financial statements and related disclosures. The company expects to file within the five-day extension period permitted under Rule 12b-25.
Monroe Capital Corp MRCC 8-K Delisting Notice
Monroe Capital Corp (MRCC) filed an 8-K delisting notice with the SEC under Form 8-K Item 3.01. The filing discloses the company's delisting status and associated regulatory notification requirements. This is a routine SEC disclosure event for public companies undergoing delisting proceedings.
Horizon Thread Ltd - Deadlines Postponed Pending Dismissal Motion
The SEC Administrative Law Judge granted a joint motion to postpone all deadlines in Administrative Proceeding File No. 3-22554 pending the Commission's consideration of a dismissal motion filed by the Division of Enforcement with consent of Respondent Horizon Thread (PTY) Ltd. The parties must file a joint status update on June 15, 2026, if the proceeding is not resolved before then.
Commerce.com Adopts Limited Duration Stockholder Rights Plan
Commerce.com, Inc. announced its Board of Directors has adopted a limited duration stockholder rights plan effective April 14, 2026, scheduled to expire April 12, 2027. The rights plan was adopted in response to an unsolicited acquisition proposal from Rezolve Ai PLC proposing to acquire all outstanding common shares at a 47% discount to Commerce.com's share price. Under the plan, one preferred stock purchase right will be distributed for each share of common stock held by stockholders of record on April 27, 2026, with an exercise price of $13.00.
Form 144 PRA Information Collection Extension Request for Comments
The SEC is soliciting comments on extending OMB Control No. 3235-0101 for Form 144 filings under Rule 144 of the Securities Act of 1933. Form 144 reports securities sales exceeding 5,000 shares or $50,000 aggregate price. The SEC estimates 32,276 annual responses with 32,276 total burden hours. Comments are due June 15, 2026.
OCC Binary Options Clearing - STANS Methodology Amendment
SEC published OCC's proposed rule change to amend the STANS Methodology Description to enable OCC to accept binary options for clearing and manage associated risks. The proposal would allow OCC to clear binary call and put options on equity indexes, where binary call options pay $1 when the underlying asset is at or above the strike at maturity and binary put options pay $1 when below the strike. SEC is soliciting public comments on the proposed rule change.
Nasdaq PHLX Proposes Customer Rebate Tier Threshold and Marketing Fee Changes
Nasdaq PHLX LLC filed a proposed rule change with the SEC to amend its PHLX Pricing Schedule at Options 7, Section 2 (Customer Rebate Program) and Options 7, Section 4 (Multiply Listed Options Fees). The Exchange proposes to modify percentage thresholds to qualify for Tier 4 and Tier 5 customer rebate tiers, and to discontinue an exemption from the Marketing Fee for the contra side of orders that execute against originating orders in an Exposure Complex Auction. The amendment was designated effective upon filing and became operative on April 1, 2026.
Cboe EDGX Proposes 23-Hour Equity and ETF Trading Five Days Per Week
The SEC published a notice of filing from Cboe EDGX Exchange, Inc. proposing to amend its rules to enable 23-hour equity and ETF trading five days per week (23x5 Trading). The proposal responds to growth in early trading session volume and demand from retail investors in the Asia Pacific region for extended access to U.S. markets. The Commission seeks public comments on the proposed rule change.
Long-Term Stock Exchange Extends Complimentary Products Duration
The SEC published a notice that Long-Term Stock Exchange, Inc. filed a proposed rule change to amend LTSE Rule 14.602, extending the duration of certain term-limited complimentary products and services offered to listed companies from four years to five years. The Exchange states the extension is designed to provide companies additional time to realize the intended benefits of these offerings. Comments are invited from interested persons.
Cboe BZX Exchange Amends LMP Tier 1 and 2 Criteria
Cboe BZX Exchange filed a proposed rule change to amend its Fee Schedule, revising the criteria for Liquidity Maker Provider (LMP) Tiers 1 and 2 on its equities trading platform BZX Equities. The Exchange implemented the changes with immediate effectiveness on April 1, 2026. The SEC published this notice to solicit comments on the proposed rule change from interested persons.
Nasdaq BX Converts to Nasdaq Texas LLC - CAT NMS Plan Amendment
The SEC published notice that Consolidated Audit Trail LLC filed an amendment to the CAT NMS Plan to reflect Nasdaq BX Inc.'s conversion from a Delaware corporation to a Texas limited liability company and name change to Nasdaq Texas LLC. The amendment makes purely technical revisions: replacing entity name references, updating a branding change from "NASDAQ" to "Nasdaq," and revising business addresses for Nasdaq exchanges. The amendment became effective immediately as it involves solely technical or ministerial matters.
Nasdaq Extended Trading Hours to 23 Hours Daily, Five Days Weekly
The Securities and Exchange Commission issued Release No. 34-105199 granting accelerated approval of Nasdaq's proposed rule change to extend trading hours for NMS stocks to 23 hours per day, five days per week. The amendments (Nos. 2 and 3) superseded the original filing, and the Commission approved the extended trading hours proposal on an accelerated basis after receiving public comments.
Cboe Exchange Proposes Retail Broker Definition, Complex Order Book Fees
The SEC published notice that Cboe Exchange, Inc. filed a proposed rule change (SR-CBOE-2026-033) to amend its fee schedule. The exchange seeks to establish a new "Retail Broker" definition and introduce Exchange Enterprise Tiers for Non-Professional Users of the C1 Complex Order Book Data Feed. The filing was made pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4. The SEC is soliciting comments on the proposed rule change.
Cboe Exchange Proposes P.M.-Settled Options on DJIA
Cboe Exchange Proposes P.M.-Settled Options on DJIA
FICC-CME Third Amended Cross-Margining Agreement - No Objection Notice
The SEC has provided notice of no objection to Fixed Income Clearing Corporation's advance notice to enter into a Third Amended and Restated Cross-Margining Agreement with Chicago Mercantile Exchange. The amendment extends cross-margining availability to positions cleared and carried for customers by dually registered broker-dealer and futures commission merchant members common to both clearing organizations. FICC filed Partial Amendment No. 2 on March 4, 2026, modifying the original December 2025 advance notice.
Notice Permitting Broker-Dealer Reserve Computation Debits for U.S. Treasury CCA Margin
The SEC published a notice confirming that broker-dealers may include a debit in customer protection rule reserve computations under Rule 15c3-3a when depositing cash, U.S. Treasury securities, or qualified customer securities to meet margin requirements of CME Securities Clearing Inc. (CMESC) resulting from customer positions in U.S. Treasury securities. The notice satisfies paragraph (b)(3) of Note H to Item 15 of the reserve formulas, confirming that CMESC's approved rules meet the required conditions. Broker-dealers wishing to claim this debit must ensure all conditions in Note H to Item 15 are satisfied, including steps regarding custody of customer and PAB account holder margin.
Cboe BYX Twelve Price Levels Data Feeds
Cboe BYX Exchange filed a proposed rule change with the SEC to amend Rule 11.22 to increase aggregated depth-of-book price levels from five to twelve levels per side in the BYX Summary Depth Data Feed and Cboe One Premium Data Feed. The Exchange proposes to offer both five and twelve level feeds temporarily until the five level feed sunsets on December 31, 2026. The proposal also defines Cboe One Summary Data Feed and Cboe One Premium Data Feed within the rule text for transparency.
Cboe EDGX Proposes Twelve Price Levels for Summary Depth Data Feeds
The SEC has published a proposed rule change by Cboe EDGX Exchange, Inc. on April 9, 2026, seeking comments on amendments to Exchange Rule 13.8. The proposal would increase aggregated depth-of-book price levels in the Summary Depth data feed from five (5) to twelve (12) price levels per side, and provide up to twelve (12) price levels for Cboe One Premium. The Exchange also proposes to formally define Cboe One Summary Data Feed and Cboe One Premium Data Feed within its rule text for transparency. Comments are being solicited from interested persons.
Cboe EDGA Proposes Twelve Price Levels for Data Feeds, Sunsets Five-Level Feed by End of 2026
The Securities and Exchange Commission published notice of a proposed rule change by Cboe EDGA Exchange, Inc. to amend Rule 13.8. The Exchange proposes to increase aggregated depth-of-book price levels in Summary Depth data feeds from five to twelve price levels per side, and to offer up to twelve price levels for Cboe One Premium in addition to existing five levels. The five-level Cboe One Premium feed shall be sunset by December 31, 2026.
SEC Institutes Proceedings on NYSE American Grayscale Crypto ETF Options
The SEC has instituted proceedings under Section 19(b)(2)(B) of the Securities Exchange Act to determine whether to approve or disapprove NYSE American LLC's proposed rule change to list and trade options on the Grayscale CoinDesk Crypto 5 ETF (GDLC). The Commission is seeking public comments on whether the proposal is consistent with Section 6(b)(5) of the Act, which requires exchange rules to prevent fraudulent and manipulative acts and to protect investors and the public interest. GDLC options would be physically settled with American-style exercise, subject to existing position and exercise limits.
AMG BBH Asset-Backed Credit Fund LLC Section 6(c) Exemption Application
The SEC published notice of an application by AMG BBH Asset-Backed Credit Fund, LLC and Brown Brothers Harriman Credit Partners, LLC seeking exemptions under sections 6(c), 17(d), and 23(c) of the Investment Company Act of 1940 and related rules. The applicants request authorization to issue multiple classes of shares and impose asset-based distribution and/or service fees and early withdrawal charges. Hearing requests must be received by 5:30 p.m. Eastern time on May 5, 2026.
SEC Initiates Proceedings on Cboe VIX Future-Option Orders
SEC Initiates Proceedings on Cboe VIX Future-Option Orders
Form 4 Beneficial Ownership Disclosure PRA Collection Notice
The SEC published a 60-Day Paperwork Reduction Act Notice soliciting comments on Form 4 Beneficial Ownership Disclosure (OMB Control No. 3235-0287). The notice estimates 62,243 respondents filing approximately 212,003 Form 4 responses annually with a burden of 0.5 hours per response (106,002 total hours). The SEC also requests OMB approval to designate this collection as a 'common form' given Federal Reserve System use under OMB Control No. 7100-0091.