Nasdaq GEMX extends GPS antenna service removal date

The SEC published Nasdaq GEMX's filing to extend the designated date for removal of dedicated GPS antenna service under Rule General 8, Section 1(d). The exchange's co-location customers in the Carteret, NJ data center who use GPS antenna services for time synchronization must remove equipment by the new extended date. The rule change was granted immediate effectiveness.

NYSE Rights Offering Listing Standards - SEC Review Period Extended

The SEC issued a notice extending the review period for NYSE's proposed rule change to amend Section 703.12(II) of the NYSE Listed Company Manual, which would expand circumstances under which rights may be listed. The original 45-day review period expiring April 3, 2026, has been extended to May 18, 2026. This is a standard administrative action under Section 19(b)(2) of the Securities Exchange Act of 1934.

Fifty-Sixth Amendment to Nasdaq UTP Plan - Nasdaq Texas Name Change and TSE Admission

The SEC published notice of the 56th Amendment to the Nasdaq UTP Plan, effective March 12, 2026 upon filing. The amendment reflects the name change of Nasdaq BX, Inc. to Nasdaq Texas, Inc. and admits Texas Stock Exchange LLC as a new Participant to the UTP Plan. The amendment was filed as a "Ministerial Amendment" under Section XVI of the UTP Plan.

Rule 15c2-11 Information Collection Extension Comment Request

The SEC published a 60-day notice under the Paperwork Reduction Act seeking public comments on the information collection requirements of Rule 15c2-11, which governs broker-dealer publication of OTC securities quotations. The notice extends the comment request and invites feedback on the estimated annual burden of 1,771,343 hours affecting approximately 196 broker-dealers, one QIDQS, and one RNSA.

Extension of Schedule 13E-4F Information Collection Requirements

The SEC has submitted to OMB a request to extend the information collection requirements for Schedule 13E-4F (17 CFR 240.13e-102). This schedule may be used by Canadian foreign private issuers to make cash tender or exchange offers when less than 40 percent of securities are held by U.S. holders. The collection takes approximately 3.33 hours per response with 1 response annually, resulting in 3 hours total annual burden. The public may comment on this extension request through May 4, 2026.

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.