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NYSE Arca Proposes Options Fee Schedule Modifications for Security-Based Swap Submission

NYSE Arca, Inc. filed a proposed rule change (SR-NYSEARCA-2026-39) with the SEC on April 15, 2026, to modify its Options Fee Schedule regarding Security-Based Swap Submission. The filing was submitted pursuant to the Securities Exchange Act of 1934 and the Payment, Clearing, and Settlement Act of 2010. Market participants engaged in options trading on NYSE Arca should monitor for further developments and comment opportunities.

NYSE Arca Rule 7.31-E Security-Based Swap Submission Amendment

NYSE Arca filed SR-NYSEARCA-2026-38 proposing amendments to Rule 7.31-E governing Security-Based Swap Submission. The proposed changes address routable limit order handling as inside limit orders and related order routing provisions. The filing was submitted on April 15, 2026, pursuant to Section 19(b) of the Securities Exchange Act of 1934.

NYSE Arca Rule Change for MSCI World (1/100), MSCI ACWI, and MSCI USA (1/100) Options

NYSE Arca filed a proposed rule change with the SEC to amend Rules 5.12-O, 5.15-O, 5.19-O, 5.20-O, 5.22-O, 5.35-O, and 6.4-O to facilitate listing and trading of options on the MSCI World Index (1/100), MSCI ACWI Index, and MSCI USA Index (1/100). The options would be P.M.-settled, cash-settled contracts with European-style exercise. The SEC published this notice on April 10, 2026 to solicit comments from interested persons.

NYSE American Rule 7.31E Security-Based Swap Submission Amendment

NYSE American LLC filed proposed rule change SR-NYSEAMER-2026-30 on April 15, 2026, to amend Rule 7.31E governing security-based swap submissions. The filing also references changes to order routing provisions including 'Routable Limit as Inside Limit' and elimination of 'D Order Routing.' The proposed amendments are filed pursuant to Section 19(b) of the Securities Exchange Act of 1934 and require SEC approval before taking effect.

Rule 7.31 Amendment Proposes Routable Limit as Inside Limit and Eliminate D Order Routing

The New York Stock Exchange filed a proposed rule change (SR-NYSE-2026-18) with the SEC on April 15, 2026, pursuant to Section 19(b) of the Securities Exchange Act of 1934. The proposal would amend Rule 7.31 (Security-Based Swap Submission) to modify order routing provisions, specifically changing Routable Limit orders to function as Inside Limit orders and eliminating D Order Routing. The filing is made pursuant to the Payment, Clearing, and Settlement Act of 2010 and is subject to public comment and SEC review.

Spartan Trading Company et al. - Multi-Million Dollar Securities Fraud Final Judgments

The SEC obtained final judgments exceeding $2 million against Spartan Trading Company and the estates of its founders for an alleged offering fraud. From 2019 to 2023, defendants raised over $3.7 million from Twin Cities investors under false pretenses of pooled investing while providing fictitious positive return statements and diverting over $1.9 million for personal withdrawals.

Final Judgment Against Peter Quartararo for $249,000 Offering Fraud

On March 31, 2026, the U.S. District Court for the Eastern District of New York entered a final judgment by default against defendant Peter Quartararo for an offering fraud scheme. Quartararo was permanently enjoined from violating Section 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5. In a parallel criminal action, Quartararo pleaded guilty and was sentenced to two and a half to seven and a half years in prison with $249,000 in restitution ordered.

Stop Order Issued Against Gravity Bear LLC

Oklahoma Securities Commissioner issued a Stop Order against Gravity Bear LLC (case 26-196) on April 15, 2026, ordering the entity to cease all securities-related activities. This is a formal enforcement action indicating potential violations of state securities laws. The order is binding and requires immediate compliance by the named entity.

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.