Rule 15c3-1 Paperwork Reduction Act Extension Comment Request

The SEC published a notice requesting public comments on extending OMB Control No. 3235-0200, which covers the information collection requirements of Rule 15c3-1 under the Securities Exchange Act of 1934. Rule 15c3-1 requires broker-dealers to maintain sufficient liquid assets to meet current liabilities and customer claims. The SEC estimates broker-dealer respondents incur approximately 67,773 hours of annual time burden and $133,867 in aggregate annual costs to comply. Comments are due by June 1, 2026.

Eaton Vance Income Opportunities ETF, SEC deregistration, Section 8(f)

Eaton Vance Income Opportunities ETF, SEC deregistration, Section 8(f)

NYSE Arca fee cap filing

NYSE Arca filed SR-NYSEARCA-2026-36 to amend its fee schedule, establishing or modifying fee caps for member transactions and market data fees. The filing, submitted as a Section 19(b)(1) rule change to the SEC, became effective April 1, 2026. Members and member organizations should review updated fee structures.

Amended Short Term Options Series Program

SEC published NYSE Arca's proposed rule change (SR-NYSEARCA-2026-34) to amend the Short Term Options Series Program. The Exchange proposes to permit listing of up to two Monday and Wednesday expirations for options on certain individual stocks or ETFs (Qualifying Securities), in addition to the existing Friday short-term expirations. This change aligns with a similar Nasdaq ISE proposal approved in January 2026.

NYSE Arca Options Fee Schedule Modification to Waive Fees

The SEC published NYSE Arca's filing to modify the NYSE Arca Options Fee Schedule to waive certain fees, with immediate effectiveness. Regan Capital Alternative Income Fund and Regan Capital, LLC also filed an application for exemptions under the Investment Company Act of 1940. The SEC may suspend the rule change within 60 days if necessary.

NYSE Arca Equities Proprietary Market Data Fee Amendments

NYSE Arca, Inc. filed with the SEC to amend its Equities Proprietary Market Data Fee Schedule, establishing a new NYSE Arca BBO Digital Media Enterprise Fee of $20,000 per month and extending digital media enterprise fees to existing BBO and Trades Enterprise Fee subscribers. The rule change was filed as immediately effective under SR-NYSEArca-2026-31.

ORF Fee Schedule Methodology Amendments

NYSE Arca filed proposed rule change SR-NYSEARCA-2026-30 to amend its Options Regulatory Fee (ORF) methodology. The Exchange proposes to limit ORF collection to options transactions occurring on NYSE Arca and cleared in the customer range at OCC, aligning with methodology proposed by other options exchanges. Implementation is targeted for July 1, 2026, contingent on other U.S. options exchanges adopting similar changes by April 1, 2026.

NYSE Arca proposes ORF fee assessment changes for non-customers

NYSE Arca proposes ORF fee assessment changes for non-customers

Regan Capital Alternative Income Fund Exemption Request

The SEC published a notice of application filed by Regan Capital Alternative Income Fund and Regan Capital, LLC under section 6(c) of the Investment Company Act of 1940. The applicants request exemptions from sections 18(a)(2), 18(c), and 18(i), rule 23c-3, and section 17(d) to permit registered closed-end investment companies to issue multiple classes of shares and impose asset-based distribution/service fees and early withdrawal charges. Hearing requests must be received by April 20, 2026.

Nasdaq MRX Extended Trading Hours for Equity and Index Options

The SEC published notice on March 26, 2026 that Nasdaq MRX filed a proposed rule change to adopt Extended Trading Hours (ETH) for certain eligible index options (NDX, NDPX, XND) and multi-listed equity options. The proposal would establish an Early ETH Session from 7:30 a.m. to 9:25 a.m. Eastern Time and an Extended Close trading session until 4:15 p.m. for eligible options. Comments are due by April 25, 2026.