SZZL 8-K Filing Disclosing Material Corporate Event
SZZL filed a Form 8-K with the SEC announcing a material corporate event. The filing was submitted via EDGAR from Washington, DC. Form 8-K is used by publicly traded companies to report specific material events to shareholders and the SEC.
Sow Good Inc. Announces 15-to-1 Reverse Stock Split
Sow Good Inc. (NASDAQ: SOWG) announced a 15-to-1 reverse stock split effective April 23, 2026 at 5:00 PM ET. The reverse split is being implemented to regain compliance with Nasdaq Listing Rule 5550(a)(2) minimum bid price requirement. Following the split, outstanding shares will decrease from 300,801,347 to approximately 20,053,424. Trading on a split-adjusted basis will begin April 24, 2026 under existing ticker SOWG with new CUSIP 84612H 304.
NT 10-Q Late Filing Notice - Calor Del Sol Inc.
Calor Del Sol Inc. filed Form 12b-25 with the SEC on April 17, 2026, invoking Rule 12b-25 to obtain an automatic extension for its delayed Form 10-Q for the fiscal quarter ended January 31, 2026. The company cited delays in completing its financial statements as the reason for the late filing. The extension permits the company to file its 10-Q within five calendar days following the prescribed due date.
FINRA Rule 4210 Amendment Replaces Day Trading Margin Provisions With Intraday Margin Standards
The SEC granted accelerated approval of FINRA Amendment No. 1 to Rule 4210, replacing existing day trading margin provisions with new intraday margin standards. The rule change, filed under SR-FINRA-2025-017, was approved effective April 17, 2026. Broker-dealers will be subject to updated margin requirements that differ from the previous day trading framework.
Cboe EDGA Amends Non-Displayed Order Rule 11.6(e)(2)
The SEC published a notice of filing from Cboe EDGA Exchange describing proposed amendments to Rule 11.6(e)(2) and Rule 11.10(a)(4)(C)-(D) concerning the behavior of orders containing a Non-Displayed instruction. The Exchange filed the proposal under the non-controversial expedited procedure pursuant to Section 19(b)(3)(A)(iii) and Rule 19b-4(f)(6), making it immediately effective. The SEC is soliciting comments from interested persons on the proposed rule change.
Cboe BZX Proposes Rule Change Describing Non-Displayed Orders
Cboe BZX Exchange filed a proposed rule change with the SEC to amend Rule 11.9(c)(11) and Rule 11.13(a)(4)(C)-(D) to describe the behavior of Non-Displayed Orders. The SEC published this notice on April 17, 2026, to solicit comments on the proposed rule change from interested persons. The Exchange filed the proposal as a non-controversial proposed rule change under SEC Rule 19b-4(f)(6).
Long-Term Stock Exchange Proposes Rule Change Modifying Transaction Fees for Securities Below $1.00
The SEC published a notice that the Long-Term Stock Exchange filed proposed rule change SR-LTSE-2026-08 to amend its fee schedule, modifying transaction fees applicable to securities priced below $1.00. The Exchange filed the proposal on March 31, 2026, with a proposed implementation date of April 1, 2026. The notice solicits public comments on the proposed rule change.
Cboe BYX Exchange Rule Change To Describe Non-Displayed Order Behavior
The SEC published notice of Cboe BYX Exchange's filing to amend Rules 11.9(c)(11) and 11.13(a)(4)(C)-(D) to describe the behavior of non-displayed orders. The Exchange filed the proposal as a non-controversial rule change under Section 19(b)(3)(A)(iii) and Rule 19b-4(f)(6). The SEC is soliciting comments on the proposed rule change.
Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act
The SEC issued a notice of intention to cancel registrations of certain investment advisers under Section 203(h) of the Investment Advisers Act of 1940. The affected registrants are internet investment advisers registered pursuant to rule 203A-2(e) who appear ineligible for the internet adviser exemption following an amendment with a compliance date of March 31, 2025. Interested persons may request a hearing by May 11, 2026.
SEC PRA Notice Invites Comments on Schedule TO Tender Offer Information Collection Burden Estimates
The SEC is soliciting public comments on its proposed extension of the information collection requirements for Schedule TO (17 CFR 240.14d-100), the disclosure form used by persons conducting tender offers. The agency estimates the collection is filed 2.28 times annually by 259 respondents (591 total responses), with a burden of 22.38 hours and $8,949.93 cost per response, totaling approximately 13,227 annual burden hours and $5.3 million in annual cost burden. Comments are due by June 15, 2026.
Nasdaq GEMX proposes rule change reviewing professional orders
Nasdaq GEMX proposes rule change reviewing professional orders
MIAX Sapphire Proposes Options Exchange Fee Schedule Amendment
MIAX Sapphire, LLC filed a proposed rule change with the SEC to amend its Options Exchange Fee Schedule. The proposal would establish a $0.20 per contract surcharge on Floor Market Maker orders when counterparty to Priority Customer complex qualified floor order (cQFO) transactions executed by a Floor Broker on the Trading Floor. The Exchange would pay Floor Brokers a corresponding $0.20 per contract rebate (Floor Broker Enhanced Complex Rebate) for such trades. The changes would be effective April 1, 2026.
MIAX Sapphire Proposes Clarifying Changes to Trading Floor Rules
MIAX Sapphire, LLC filed a proposed rule change with the SEC on March 31, 2026, to make clarifying changes to Exchange Rules 2030, 2040, and 2055 governing trading floor operations. The changes clarify language around the submission of two-sided executed orders to the Exchange's System for post-trade workflows and align broker-dealer notification language to the order execution lifecycle. No changes to Exchange functionality, operation, or policy are proposed.
SEC Form 5 Beneficial Ownership Annual Statement PRA Renewal
The SEC is soliciting comments on the renewal of Form 5 (OMB Control No. 3235-0362), the beneficial ownership statement required under Section 16(a) of the Securities Exchange Act of 1934. The collection applies to persons owning more than 10% of a class of equity security registered under Section 12, as well as directors and officers of such issuers. Respondents must file Form 5 on or before the 45th day after the issuer's fiscal year end. The SEC estimates 2,724 responses annually with an estimated annual burden of 2,724 hours. Comments are due June 15, 2026.
SEC Approves CME Securities Clearing Governance Charter Changes
The SEC approved CME Securities Clearing Inc.'s proposed modifications to its governance framework, including By-Laws, Board Charter, Risk Management Committee Charter, and other committee charters. The approved changes modify board structure from a staggered to a unitary board elected annually, provide flexibility in initial director composition, and add Enterprise Risk Management Framework oversight to the Risk Management Committee. The changes facilitate CMESC's governance implementation as a newly registered clearing agency.
NSCC Extends U.S. Equity Trading Hours Proposal
The SEC published a proposed rule change by NSCC to extend its Universal Trade Capture operating hours to support 24-hour U.S. equity trading. NSCC's UTC currently operates from 1:30 a.m. to 11:30 p.m. ET, accepting trades from exchanges, QSRs, and ATS operators. The proposal responds to industry initiatives from exchanges including 24X, NYSE Arca, Cboe, and Nasdaq planning extended trading hours.
Cboe BZX Exchange Proposes Clock Service for Time Synchronization
Cboe BZX Exchange filed a proposed rule change with the SEC on April 7, 2026, to amend Rule 21.15(b) and introduce the Clock Service—an optional time synchronization service allowing Members and non-Members to synchronize their primary clock devices to the Exchange's primary clock via White Rabbit time signals over a 1 Gbps Physical Port. The service aims to improve latency measurement accuracy between participants' systems and the Exchange by providing more granular time signals than the standard GPS network. The SEC is soliciting public comments on the proposed rule change.
Proposes Criteria for Commodity-Based Trust Options With Multiple Crypto Assets
MIAX PEARL, LLC proposes to amend Exchange Rule 402(i)(6) and Rule 403 to permit the listing and trading of options on Commodity-Based Trusts that hold multiple crypto assets, expanding on the current framework that only allows single crypto asset trusts. Each underlying crypto asset must have an average daily market value of at least $700 million over the last 12 months and must underlie a derivatives contract on a market with a comprehensive surveillance sharing agreement. The SEC is soliciting comments on the proposed rule change.
Proposed Rule Change - Multi-Crypto Asset Commodity Trust Options Listing Criteria
MIAX Sapphire LLC filed a proposed rule change with the SEC on March 30, 2026, to amend Exchange Rule 402(i)(6) and Exchange Rule 403 to permit listing and trading of options on Commodity-Based Trusts holding multiple crypto assets. The proposal requires each underlying crypto asset to have a total global supply average daily market value of at least $700 million over the last 12 months and to underlie a derivatives contract on a market with a comprehensive surveillance sharing agreement. The Exchange characterizes this as a competitive filing substantively identical to a Nasdaq ISE proposal approved in September 2025.
Third Point Private Capital Income Fund No-Action Letter on Investment Company Act Section 18 and Section 61(a)
The SEC Division of Investment Management issued a no-action letter to Third Point Private Capital Income Fund providing assurance that it would not recommend enforcement action under Sections 18(a)(2)(A), (B), and (E) of the Investment Company Act of 1940, as modified by Section 61(a), if the Fund issues preferred shares (Seed Shares) to affiliated Seed Investors and subsequently repurchases them pursuant to stated terms. The Fund is a closed-end management investment company electing to be regulated as a business development company subject to the 150% asset coverage requirement.
ESCO Technologies Acquires Megger Group from TBG AG (Share Purchase Agreement)
ESCO Technologies Inc. filed an exhibit to an SEC registration statement disclosing a share purchase agreement dated April 15, 2026, for the acquisition of Megger Group Limited from TBG AG (Swiss seller). The agreement contains standard M&A provisions including representations, warranties, covenants, and conditions to closing. Certain portions are redacted as confidential. No new regulatory obligations are created by this filing.
Concept Release on Consolidated Audit Trail and Other Audit Trails
The Securities and Exchange Commission issued a concept release seeking public comments on the Consolidated Audit Trail (CAT) and other audit trails and data sources used in regulating U.S. securities markets. The release asks for input on potential changes to rules governing audit trails, including funding mechanisms, market conditions, privacy and confidentiality concerns, cost-efficient technology solutions, and cybersecurity considerations. Comments are due 60 days after Federal Register publication.
MIAX Pearl Options Exchange Proposes Fee Amendments for Liquidity Taker Event Reports
The SEC published notice that MIAX Pearl Options Exchange filed a proposed rule change to amend its fee schedule for Liquidity Taker Event Reports. The Exchange proposes to increase the annual fee for the Simple Order Report from $24,000 to $30,000 and for the Resting Simple Order Report from $12,000 to $15,000. Additionally, the Exchange proposes to establish annual and monthly fees for the new Purge Report, create a multi-subscription discount program, and sunset monthly subscription options for all reports.
Nasdaq MRX Proposes Monthly Review of Professional Orders in Place of Quarterly
The SEC published notice that Nasdaq MRX, LLC filed a proposed rule change (SR-MRX-2026-15) to amend its quarterly review of Professional Orders. The Exchange proposes to change the review frequency from quarterly to monthly, requiring that orders from any customer averaging more than 390 orders per day during a calendar month be represented as Professional orders for the next calendar month. Members would have five days after each calendar month (instead of quarter) to make designation changes.
SEC Extends Comment Period for Regulation 14N Information Collection
The Securities and Exchange Commission has extended the comment period for its information collection request regarding Regulation 14N and Schedule 14N under the Paperwork Reduction Act. Regulation 14N requires shareholders submitting director nominees to file certain information with the Commission. The SEC estimates one response annually with approximately 30 burden hours and $6,000 cost burden per response. Comments are due by June 16, 2026.
SEC Requests Comment on Extending Rule 3a-8 Requirements
The SEC published a 60-Day Paperwork Reduction Act Collection Notice requesting comments on extending OMB approval for information collection requirements under Rule 3a-8 under the Investment Company Act of 1940. Rule 3a-8 provides a nonexclusive safe harbor from investment company status for certain research and development companies (R&D companies), requiring board resolutions and written investment policies. The SEC estimates approximately 721,792 R&D companies may take advantage of the rule.
LCH SA Proposes CDSClear Risk Framework Rule Change Relating to Spread Margin and Stress Scenarios
LCH SA has filed with the SEC a proposed rule change to modify its CDSClear Risk Framework, amending the Margin Reference Guide and Default Fund Stress Guide. The proposal addresses dilution risk by fixing the lookback period size in Spread Margin calculations, changes the risk measure for the spread margin floor to VaR, and modifies stress scenario definitions to ensure plausibility. The changes are expected to significantly decrease the Default Fund while maintaining the 99.7% coverage target and two-largest-member default resilience.
MIAX Options Amends Fee Schedule for Liquidity Taker Event Reports
Miami International Securities Exchange, LLC filed a proposed rule change with the SEC to amend its Options Exchange Fee Schedule. The Exchange proposes to increase annual fees for the Simple Order Report, Complex Order Report, and Resting Simple Order Report; establish annual and monthly fees for a new Purge Liquidity Taker Report; create a discount program for subscribers with multiple annual subscriptions; and establish a sunset period for monthly subscriptions to all Liquidity Taker Event Reports. The SEC is publishing this notice to solicit comments from interested persons.
CME Securities Clearing proposes Enterprise Risk Management Framework
CME Securities Clearing proposes Enterprise Risk Management Framework
MIAX Sapphire Amends Liquidity Taker Report Fee Schedule
The SEC published notice of MIAX Sapphire, LLC's proposed rule change to amend its Options Exchange Fee Schedule regarding Liquidity Taker Event Reports. The filing establishes fees for the newly introduced Purge Liquidity Taker Report, increases annual subscription fees for existing reports, introduces multi-subscription discounts, and establishes a sunset period for monthly subscriptions.
MIAX Emerald Options Exchange Fee Schedule Amendment - Liquidity Taker Event Reports and Purge Report
The SEC published notice that MIAX Emerald, LLC filed a proposed rule change to amend its Options Exchange Fee Schedule. The Exchange proposes to increase the annual fee for all Liquidity Taker Event Reports, establish annual and monthly fees for the Purge Liquidity Taker Report, establish a discount program for market participants with multiple annual subscriptions, and establish a sunset period for monthly subscriptions. The Commission is soliciting comments on the proposed rule change (Release No. 34-105236; File No. SR-EMERALD-2026-09).
Cattywampus: Peirce Statement on CAT Concept Release
SEC Commissioner Hester M. Peirce issued a statement expressing significant privacy and civil liberty concerns regarding the Consolidated Audit Trail (CAT) concept release. The Commissioner questions whether comprehensive government surveillance of all equity and options transactions is compatible with civil liberties principles. The concept release seeks public comment on CAT governance, technology infrastructure, data security, and funding models.
Opening Remarks at Options Market Structure Roundtable
SEC Division of Trading and Markets Director Jamie Selway delivered opening remarks at an April 16, 2026 Options Market Structure Roundtable. The event featured staff analytics presentations on recent options market trends and three panel discussions covering liquidity provider competition, customer experience, and market growth. Selway noted the last major SEC review of options markets occurred in 2004 and highlighted ongoing issues including concentrated liquidity and retail flow consolidation. The remarks referenced a successful industry-led reform of the Options Regulatory Fee, effective July 1, 2026.
Statement on Options Market Structure Roundtable
SEC Commissioner Mark T. Uyeda delivered remarks at an agency roundtable on options market structure, noting that data released by the Commission shows concerns long debated in equities exist to a greater degree in options markets. The Commissioner highlighted growth in retail participation, increasing fragmentation across 15 exchanges with over 1% market share, and institutional market maker dynamics as areas warranting reconsideration of existing regulations.
SEC Commissioner Peirce Options Market Roundtable Remarks
SEC Commissioner Hester M. Peirce delivered remarks at an Options Market Roundtable on April 16, 2026, identifying six areas worthy of consideration in the options market: exchange proliferation, reduction in clearing firms, market maker concentration, strike proliferation, market maker allocation formulas, and transparency in execution data. The Commissioner emphasized industry-led solutions and praised recent changes to the Options Regulatory Fee methodology as a successful example of industry self-correction, noting the SEC's role is to ensure market infrastructure soundness and competitive openness rather than prescriptive regulation.
Chairman Atkins Remarks at Options Market Structure Roundtable
SEC Chairman Paul S. Atkins delivered remarks at the Options Market Structure Roundtable on April 16, 2026. The Chairman noted that U.S. options markets have grown remarkably, with OPRA disseminating over 3,200 times more messages today than in 2000, and a broad cohort of retail investors now participating at greater scale. The Chairman clarified that this roundtable is not a prelude to immediate options rulemakings, but rather an opportunity to examine what is working and consider future challenges and opportunities.
SEC Seeks Public Comment on Consolidated Audit Trail
The SEC issued a concept release seeking public comment on the Consolidated Audit Trail and other audit trails used in U.S. securities market regulation. The 60-day comment period covers CAT funding and cost management, regulatory purpose, structure and governance, design and scope, and cybersecurity and data privacy. The SEC aims to balance privacy, civil liberties, and confidentiality considerations against regulatory needs.
Small Business Advisory Committee to Explore Ways to Encourage More IPOs
The SEC's Small Business Capital Formation Advisory Committee announced a public meeting on April 28, 2026 to explore ways to encourage more companies to go public. The meeting will feature discussions on the state of the IPO market, existing regulatory framework, and how decreased IPO activity impacts small cap companies' desires to go public. Speakers include Edwin O'Connor of Goodwin Procter LLP and Beau Bohm of Cantor Fitzgerald.
Chairman Atkins Launches Material Matters SEC Podcast with Commissioners Uyeda, Peirce
The SEC announced the launch of 'Material Matters With SEC Chairman Paul Atkins,' a new podcast providing stakeholders and the investing public with exclusive interviews and insights around the agency's policy and rulemaking agenda. The inaugural episode features Commissioners Mark T. Uyeda and Hester M. Peirce discussing their careers and 2026 priorities. The podcast will be available on SEC.gov, YouTube, Spotify, and Apple Podcasts.