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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.

NYSE Arca Rule Filing: Elimination of Outdated Publication Obligations

NYSE Arca has filed a rule proposal to eliminate outdated publication obligations related to its listing standards.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 Options Fee Schedule Modification Proposal

NYSE Arca has proposed modifications to its Options Fee Schedule, specifically concerning the introduction of new fees for certain order types and the adjustment of existing ones. The proposal outlines specific fee amounts and the conditions under which they will apply, aiming to align with market practices and operational costs.

NYSE Arca Rule Change for Fees and Charges

NYSE Arca has filed a proposed rule change with the SEC to amend its Equities Fees and Charges. The change involves adopting a cap to the credit payable under Step Up Tier 3 of its pricing table, effective March 2, 2026. This aims to adjust fees in a competitive market environment.

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.

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 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.

DOJ: Former Commercial Roofing Executive Pleads Guilty to Bid Rigging

The Department of Justice announced that Gregg Wallick, former executive of a commercial roofing company, pleaded guilty to a conspiracy to rig bids on roofing projects in Florida. The scheme illegally obtained over $3.5 million and violated the Sherman Act.

DOJ and USPTO Statement of Interest on Innovation Incentives

The Department of Justice and the U.S. Patent and Trademark Office filed a statement of interest in a patent infringement case, reaffirming the importance of preserving incentives to innovate. The filing supports the patent owner's ability to seek injunctive relief to prevent infringement, which is crucial for economic growth and competition.