Securities & Markets

NYSE Arca Rule Filing: Elimination of Outdated Publication Obligations

NYSE Arca has filed a rule proposal to eliminate outdated publication obligations related to its listing standards. This change aims to streamline reporting requirements and remove redundant provisions from its rulebook. The filing was submitted to the SEC for review.

NYSE Arca Rule Filing SR-NYSEARCA-2026-23: Fee Increase for Tape B Securities

NYSE Arca has filed a proposed rule change to amend its Equities Fees and Charges schedule. The filing increases fees for executions of orders that remove liquidity from the Exchange in Tape B securities priced at or above $1.00 per share. The proposed change is effective March 2, 2026.

NYSE Arca Proposes Options Rule Changes for Bitcoin/Ethereum ETFs

NYSE Arca has filed proposed rule changes with the SEC concerning options trading on Bitcoin and Ethereum ETFs. These changes aim to align with existing ETF listing standards and provide a framework for options on physically-backed crypto ETFs.

Nasdaq Disciplinary Actions by Firm

Nasdaq has published a list of disciplinary actions taken against various firms, including IMC Chicago, Instinet, LLC, and Virtu Americas LLC, with dates ranging from late 2025 to early 2026. These actions are part of Nasdaq's ongoing market regulation and enforcement activities.

Nasdaq Issues Pending Suspension or Delisting

Nasdaq publishes daily lists of companies pending suspension or delisting due to failure to meet listing requirements or voluntary delisting intentions. This information helps brokers and dealers comply with SEC Penny Stock Rules.

Nasdaq Noncompliant Company List and SEC Rules

Nasdaq publishes a daily list of companies that are noncompliant with continued listing standards or pending delisting. This list aids brokers and dealers in complying with SEC Penny Stock Rules, specifically SEC Rule 3a51-1(g). Companies are added or removed daily based on compliance status and trading data.

Nasdaq Rulebook Availability and Search

Nasdaq has announced the availability of its Rulebook through an advanced search function on its listing center website. This update provides listed companies and interested parties with enhanced access to Nasdaq's regulatory rules and guidance.

SFC Obtains Compensation and Disqualification Orders

The Securities and Futures Commission (SFC) has successfully obtained compensation and disqualification orders against individuals involved in misconduct. These orders aim to protect investors and maintain market integrity by holding wrongdoers accountable.

SFC Enforcement: Retail Trader Sentenced for False Trading

The Securities and Futures Commission (SFC) announced that a retail trader has been sentenced in a false trading case. This action highlights the SFC's commitment to maintaining market integrity and deterring manipulative trading practices.

SFC Bans Andy Lau Ka Ho for Life

The Securities and Futures Commission (SFC) has banned Andy Lau Ka Ho from the industry for life following findings of misconduct. This action stems from his involvement in the IPO of a company where he acted as a sponsor.