The long-form archive

10 August 2026 5 documents

The Securities and Exchange Commission published five notices including approvals of a National Market System Plan amendment and information collection activities.

• Notice Sunshine Act Meetings↗ 2026-16233
• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 8b-1 to 8b-5; 8b-10 to 8b-22; and 8b-25 to 8b-31↗ 2026-16202
• Notice Joint Industry Plan; Order Granting Approval of the Twenty-Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Establish Temporary Price Band Protections in Overnight Trading↗ 2026-16201
• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-8B-2↗ 2026-16199
• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-17f-2↗ 2026-16198

11 August 2026 11 documents

• Notice Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 3, Note 18↗ 2026-16287
• Notice Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations↗ 2026-16286
• Notice Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A Related to PRIME and cPRIME Functionality↗ 2026-16285
• Notice Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations↗ 2026-16284
• Notice Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations↗ 2026-16283
• Notice Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division↗ 2026-16282
• Notice Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division↗ 2026-16281
• Notice Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the GSD Rules To Adopt a U.S. Treasury Clearing Trade Submission Requirement↗ 2026-16280
• Notice Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts on the Exchange) To Reflect That IEX Will Not Cancel Outstanding Orders During a Regulatory Halt or Operational Halt in Anticipation of the SIP Implementation of the New Regulatory Halt Rules↗ 2026-16279
• Notice Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Offer Additional Tickets Under the Exchange's Rodeo Program and Re-Open the Application Window for the Rodeo Program; and Permit Sponsored Participants To Participate in the Rodeo Program Together With a Sponsoring Member of the Exchange as Joint Participants↗ 2026-16278
• Notice Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations↗ 2026-16277

12 August 2026 5 documents

The Securities and Exchange Commission published five notices on August 12, 2026, regarding investment funds and exchange fee schedule modifications.

• Notice Regan Capital Alternative Income Fund, et al.↗ 2026-16387
• Notice Source Capital and First Pacific Advisors, LP↗ 2026-16385
• Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Discounted External Distribution Fee for the EDGX Top Feed Available Under the Exchange's Existing Small Retail Broker Distribution Program From $750 per Month to $1,250 per Month↗ 2026-16384
• Notice Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Amend the Exchange's Fee Schedule Applicable to Members To Modify IEX's Incremental Fee Tiers and To Make Organizational Changes to the Fee Schedule in Preparation for the Launch of IEX Options Later This Year↗ 2026-16383
• Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Trading Permit Holder (“TPH”) Transaction Reporting Duties↗ 2026-16382

13 August 2026 13 documents

The Securities and Exchange Commission published thirteen notices on August 13, 2026, concerning self-regulatory organization rule changes, exemptive relief requests, and agency information collection activities.

• Notice Sunshine Act Meetings↗ 2026-16519
• Notice Reopening of Comment Period; Notices of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, From Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Requests for Comment↗ 2026-16471
• Notice Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq Texas, LLC, Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, MIAX Sapphire, MEMX LLC, MX2 LLC, and Investors Exchange LLC Concerning Options-Related Market Surveillance↗ 2026-16470
• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30b1-7 and Form N-MFP↗ 2026-16467
• Notice AMG BBH Asset-Backed Credit Fund, LLC, et al.; August 10, 2026.↗ 2026-16466
• Notice Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Sections 2 (Customer Rebate Program) and 4 (Multiply Listed Options Fees)↗ 2026-16464
• Notice Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations↗ 2026-16463
• Notice Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA CaLM Minimum Cash Collateral Requirement and to LCH Liquidity Risk Policy↗ 2026-16462
• Notice Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements↗ 2026-16461
• Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend the Criteria for Underlying Securities↗ 2026-16460
• Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quotation Obligations↗ 2026-16459
• Notice Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations↗ 2026-16458
• Notice Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations↗ 2026-16457

14 August 2026 7 documents

The Securities and Exchange Commission published seven notices including its regulatory flexibility agenda, an exemptive order for overnight trading, and six self-regulatory organization rule filings.

• Notice Regulatory Flexibility Agenda↗ 2026-16619
• Notice Order Granting Temporary Conditional Exemptive Relief to 24X National Exchange LLC From Certain Requirements of Rule 602 of Regulation NMS, Certain Requirements of Certain Equity Data Plans, and Section 19(g)(1) of the Securities Exchange Act of 1934, Pursuant to Section 36 of the Securities Exchange Act of 1934 and Rules 602 and 608 of Regulation NMS, To Permit Certain Overnight Trading, Subject to Certain Conditions, and Effective As of January 24, 2027 and Until the Earlier of (1) the date the Extended Hours Amendments Are Implemented or (2) July 2, 2027↗ 2026-16572
• Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program for the BZX Top Data Feed↗ 2026-16563
• Notice Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce the New One-Minute Interval Intra-Day Report↗ 2026-16562
• Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Introduce the New One-Minute Interval Intra-Day Report↗ 2026-16561
• Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 2↗ 2026-16560
• Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 11.25 To Introduce an Optional, Contingent Instruction Applicable to Periodic Auction Only Orders, Introduce a Time-in-Force of Auction or Cancel, and Make Conforming Changes to Its Periodic Auction Processing Behavior To Support the Proposed Contingent Instruction↗ 2026-16559

17 August 2026 17 documents

The Securities and Exchange Commission published 17 notices on August 17, 2026, concerning fund filings, exchange fee schedules, and information collection activities.

• Notice Parvin Decentralized Fund and Parvin Fund Management, LLC↗ 2026-16768
• Notice Sunshine Act Meetings↗ 2026-16767
• Notice Northern Lights Fund Trust and Ocean Park Asset Management, LLC↗ 2026-16765
• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-2↗ 2026-16704
• Notice Elevation Series Trust and Norris Perné and French LLP↗ 2026-16702
• Notice Stone Point Credit Income Fund and Stone Point Credit Income Adviser LLC↗ 2026-16700
• Notice Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule Regarding the Routing Fee Table↗ 2026-16699
• Notice Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Options Exchange Fee Schedule Regarding the Routing Fee Table↗ 2026-16698
• Notice Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule Regarding the Routing Fee Table↗ 2026-16697
• Notice Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Regarding the Routing Fee Table↗ 2026-16696
• Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Amend the Short Term Option Series Program Related to Qualifying Securities↗ 2026-16695
• Notice Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Amend Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes for Certain Origins↗ 2026-16694
• Notice Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Amend Fees and Rebates for Professional Customer Orders for QCC and cQCC Transactions, and Establish a Tiered Fee Structure for Away Market Maker Facilitation of Customer QFOs or cQFOs↗ 2026-16693
• Notice Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify Certain Volume Thresholds for the Priority Customer Rebate Program↗ 2026-16692
• Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule↗ 2026-16691
• Notice Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules To Establish a Procedures-Based Approach for Determining Product Eligibility During Overnight or Extended Trading Sessions Utilizing Its Current ETH Risk Management Framework↗ 2026-16690
• Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule↗ 2026-16689

18 August 2026 16 documents

The Securities and Exchange Commission published 16 notices on August 18, 2026, covering self-regulatory organization rule changes and agency information collection activities.

• Notice Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Section 802.01C of the NYSE Listed Company Manual↗ 2026-16831
• Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To Amend Section 1003 of the NYSE American Company Guide↗ 2026-16830
• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-1 and Form NRSRO↗ 2026-16824
• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-2↗ 2026-16823
• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-1↗ 2026-16822
• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-3(b)↗ 2026-16821
• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form SF-3↗ 2026-16820
• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form SF-1↗ 2026-16819
• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-16↗ 2026-16818
• Notice Sunshine Act Meetings↗ 2026-16802
• Notice Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Enhance the Supplemental Liquidity Deposit Rules, Methodology and Processes↗ 2026-16786
• Notice Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Amendments to the CMESC Stress Testing & Guaranty Fund Sizing Policy (or the “Policy”) and Proposed Amendments to Rule 402(b)↗ 2026-16785
• Notice Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Amend the Redemptions Service Guide and the Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services)↗ 2026-16784
• Notice Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rules 7.31, 7.35, and 7.35B↗ 2026-16783
• Notice Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Relating to The Options Clearing Corporation's Proposal To Amend the Evergreen Provisions Relating to Its Revolving Credit Facility↗ 2026-16782
• Notice Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Sections 303A.00 and 303A.07 of the NYSE Listed Company Manual↗ 2026-16781

19 August 2026 5 documents

The Securities and Exchange Commission published five notices regarding self-regulatory organizations' proposed rule changes on August 19, 2026.

• Notice Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend a Continued Listing Standard Relating to Beneficial Holders Applicable to Exchange Traded Fund Shares Listed Under Rule 17.104(b)(2)(B)↗ 2026-16857
• Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4120 Regarding Trading Halts↗ 2026-16856
• Notice Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 3100 Regarding Trading Halts↗ 2026-16855
• Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of 3x Gold ETF, 3x Silver ETF, 3x Bitcoin ETF, 3x Ether ETF, 3x Crude Oil ETF, and 3x Natural Gas ETF, Each a Series of the VS Trust, Under BZX Rule 14.11(e)(4) (Commodity-Based Trust Shares)↗ 2026-16854
• Notice Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List↗ 2026-16853

20 August 2026 10 documents

The Securities and Exchange Commission published ten notices on August 20, 2026, including proposed rule changes from Cboe and Nasdaq exchanges regarding fees and connectivity schedules.

• Notice Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials↗ 2026-16951
• Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials↗ 2026-16950
• Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials↗ 2026-16949
• Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials↗ 2026-16948
• Notice Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering↗ 2026-16947
• Notice Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering↗ 2026-16946
• Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering↗ 2026-16945
• Notice Eagle Point Credit Management LLC and Eagle Point Trinity Senior Secured Lending Company↗ 2026-16936
• Notice Clearlake Private Markets Fund and Clearlake Capital RIC Management, LLC↗ 2026-16935
• Notice Valued Advisers Trust and Alaia Capital, LLC↗ 2026-16934

21 August 2026 9 documents

The Securities and Exchange Commission proposed Regulation Crypto Assets establishing exemptions from registration requirements for certain crypto asset offerings.

• Proposed Rule Regulation Crypto Assets↗ 2026-17183
• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form ADV↗ 2026-17067
• Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Section 4 (Complex Order Fees and Rebates) and Section 6 (Other Options Fees and Rebates)↗ 2026-17064
• Notice Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Rule 20.6 (Nullification and Adjustment of Options Transactions Including Obvious Errors) Regarding the Roster Requirements for the Obvious Error Panel↗ 2026-17063
• Notice Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.4(a) To Reflect the Operation of TXSE Exchange↗ 2026-17062
• Notice Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the LCH SA Liquidity Plan↗ 2026-17061
• Notice Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering↗ 2026-17060
• Notice Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering↗ 2026-17059
• Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering↗ 2026-17058

24 August 2026 12 documents

The Securities and Exchange Commission published twelve notices on August 24, 2026, regarding information collection activities, self-regulatory organization rule changes, and related matters.

• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-54A↗ 2026-17226
• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17f-1↗ 2026-17225
• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 163↗ 2026-17224
• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 433↗ 2026-17223
• Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 903G and 906G↗ 2026-17206
• Notice Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 5.32-O and 5.35-O↗ 2026-17205
• Notice Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule To Eliminate Customer and Professional Customer Fees and Introduce a Floor Broker Incentive for Trading in Certain MSCI Related Index Options↗ 2026-17204
• Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With Binary Options That Overlie the Mini-S&P 500 Index↗ 2026-17203
• Notice Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule↗ 2026-17202
• Notice Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Internal Cross-Reference Error in Rule 23.150↗ 2026-17201
• Notice Pender Real Estate Credit Fund, et al.↗ 2026-17191
• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 31a-4↗ 2026-17189

25 August 2026 3 documents

• Notice Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the CDS Instrument On-Boarding Policies and Procedures↗ 2026-17283
• Notice Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance Certain Aspects of the Activity-Based Risk Controls Applicable to IEX Options Members Set Forth in IEX Rule 22.250, and To Make Conforming and Typo Clean-Up Changes to IEX Rules 22.250 and 22.260↗ 2026-17281
• Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 4759 Regarding Sources of Data Used↗ 2026-17279

26 August 2026 5 documents

The Securities and Exchange Commission published five notices on August 26, 2026, regarding investment funds, registration fees, and self-regulatory organization rule changes.

• Notice ARK Venture Fund and ARK Investment Management LLC↗ 2026-17422
• Notice Order Making Fiscal Year 2027 Annual Adjustments to Registration Fee Rates↗ 2026-17421
• Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18E Regarding Trading Halts↗ 2026-17363
• Notice Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts↗ 2026-17362
• Notice Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules↗ 2026-17361

27 August 2026 8 documents

The Securities and Exchange Commission published eight notices on August 27, 2026, regarding self-regulatory organizations and agency information collection activities.

• Notice Fenimore Asset Management, Inc. and Fenimore Asset Management Trust↗ 2026-17520
• Notice Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposal To Adopt Rules for the Listing and Trading of Securities Event Contracts on the Exchange↗ 2026-17465
• Notice Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Warrant Performance Incentive Program To Add ETPs to the Definition of Liquidity Improvement Symbols and High-Volume Symbols↗ 2026-17464
• Notice Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Intra-Day Snapshots to NTX Options Trade Outline↗ 2026-17463
• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 19b-7 and Form 19b-7↗ 2026-17461
• Notice Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 404, Series of Option Contracts Open for Trading, To Amend the Short Term Option Series Program With Respect to Qualifying Securities↗ 2026-17460
• Notice Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading, To Amend the Short Term Option Series Program With Respect to Qualifying Securities↗ 2026-17458
• Notice Self-Regulatory Organizations: Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 404, Series of Option Contracts Open for Trading, To Amend the Short Term Option Series Program With Respect to Qualifying Securities↗ 2026-17457

28 August 2026 7 documents

The Securities and Exchange Commission published seven notices on August 28, 2026, including rule filings from self-regulatory organizations and an information collection request.

• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 2a-5↗ 2026-17604
• Notice Sunshine Act Meetings↗ 2026-17591
• Notice Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of SR-GEMX-2026-15↗ 2026-17554
• Notice Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain of Its Rules Regarding Statutory Disqualifications↗ 2026-17550
• Notice Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend the Codes of Arbitration Procedure To Make Changes to Certain Provisions Relating to Arbitrator List Selection↗ 2026-17549
• Notice Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., BOX Exchange, LLC, Cboe Exchange, Inc., Cboe C2 Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, NYSE American LLC, NYSE Arca, Inc., The Nasdaq Stock Market LLC, Nasdaq Texas LLC, Nasdaq PHLX LLC, Nasdaq GEMX, LLC, Cboe EDGX Exchange, Inc., Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, MIAX Sapphire, LLC, MEMX LLC, MX2 LLC and Investors Exchange LLC Concerning Options-Related Sales Practice Matters↗ 2026-17548
• Notice Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delay the Implementation of SR-ISE-2026-18↗ 2026-17547

31 August 2026 14 documents

The Securities and Exchange Commission published fourteen notices on August 31, 2026, concerning clearing agency exemptions, self-regulatory organization rule changes, and information collection activities.

• Notice Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 489 and Form F-N↗ 2026-17679
• Notice DTCC ITP LLC; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934↗ 2026-17674
• Notice TriOptima AB; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934↗ 2026-17673
• Notice OSTTRA Limited; OSTTRA Services, LLC; Notice of Filing of Applications for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934↗ 2026-17672
• Notice LSEG Post Trade Services Limited; Notice of Filing of Application for Exemption From Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934↗ 2026-17671
• Notice Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of a Change to Rule 515A, MIAX Emerald Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism↗ 2026-17670
• Notice Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay Implementation of a Change to Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism↗ 2026-17669
• Notice Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Rule 20.6 (Nullification and Adjustment of Options Transactions Including Obvious Errors) Regarding the Roster Requirements for the Obvious Error Panel↗ 2026-17668
• Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Its Rules To Permit the Listing of Binary Options Overlying Key Performance Indicators Reported by Certain Issuers of Stock↗ 2026-17667
• Notice Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Adopt Standards for Establishing Cross-Margin Arrangements and Adopt a Cross-Margin Arrangement With Chicago Mercantile Exchange Inc.↗ 2026-17666
• Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)↗ 2026-17665
• Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)↗ 2026-17664
• Notice Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)↗ 2026-17663
• Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)↗ 2026-17662

1 September 2026 9 documents

The Securities and Exchange Commission published nine notices on September 1, 2026, regarding investment company deregistration, exchange listing rules, and standardized options procedures.

• Notice Deregistration Under Section 8(f) of the Investment Company Act of 1940↗ 2026-17892
• Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Listing Fees for Exchange-Traded Products and Add a New Quality Liquidity Provider Program↗ 2026-17808
• Notice Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add MX2 LLC as a Plan Sponsor↗ 2026-17807
• Notice Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed To Facilitate the Listing and Trading of Standardized Options To Add Investors Exchange LLC as a Plan Sponsor↗ 2026-17806
• Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5.52 (Market-Maker Quotes) To Adopt Two-Sided Quote Bid/Ask Differentials↗ 2026-17805
• Notice Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 5.52 (Market-Maker Quotes) To Adopt Two-Sided Quote Bid/Ask Differentials↗ 2026-17804
• Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 22.6 (Market Maker Quotations) To Adopt Two-Sided Quote Bid/Ask Differentials↗ 2026-17803
• Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 22.6 (Market Maker Quotations) To Adopt Two-Sided Quote Bid/Ask Differentials↗ 2026-17802
• Notice Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing of Proposed Rule Change To Adopt New Rule 24 Under Article 22 of the NYSE Texas Rule Book↗ 2026-17801

2 September 2026 14 documents

The SEC published a proposed rule to exempt European Union debt obligations from securities registration for futures trading and approved or filed 13 self-regulatory organization rule changes.

• Proposed Rule Exemption of Debt Obligations Issued by the European Union Under the Securities Exchange Act of 1934 for Purposes of Trading Futures Contracts on Those Securities↗ 2026-17939
• Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders↗ 2026-17920
• Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Program↗ 2026-17919
• Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders↗ 2026-17918
• Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders↗ 2026-17917
• Notice Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program↗ 2026-17916
• Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Order Granting Approval of Proposed Rule Change To Amend Rules Regarding Intermarket Sweep Orders↗ 2026-17915
• Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 2, and Order Granting Accelerated Approval of a Proposed Change, as Modified by Amendment No. 2, To Amend Its Rules To Extend Trading Hours for Certain Eligible Equity Options↗ 2026-17914
• Notice Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a New Rule Governing the Operation of a Proposed Step Up Mechanism (“SUM”) on the Exchange and To Make Conforming Changes in Other Rules↗ 2026-17913
• Notice Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce the Exchange's Order Entry Protocol Migration Program↗ 2026-17912
• Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule Equity 7 Regarding Pricing of Ports for the Night Session↗ 2026-17911
• Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program↗ 2026-17910
• Notice Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees and Rebates for Professional Customer Orders for QCC and cQCC Transactions and Establish a Tiered Fee Structure for Away Market Maker Facilitation of Customer QFOs or cQFOs↗ 2026-17909
• Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, To Adopt VIX Future-Option Orders↗ 2026-17908

3 September 2026 7 documents

The SEC and CFTC published a rule extending the Form PF compliance date for private fund advisers from October 1, 2026, to July 1, 2027.

• Rule Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers; Further Extension of Compliance Date↗ 2026-18104
• Notice Notice of a Request for Exemption From Certain Provisions of the National Market System Plan Governing the Consolidated Audit Trail Related to the Recovery of Costs Incurred During Period 4 of the Financial Accountability Milestones Pursuant to Section 36 of the Securities Exchange Act of 1934 and/or Rule 608(e) of Regulation NMS Thereunder, and Request for Comment↗ 2026-18071
• Notice Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15g-9↗ 2026-18006
• Notice Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions↗ 2026-18004
• Notice Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions↗ 2026-18003
• Notice Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 410, Rule 101, the Capped Liquidity Facility Procedure, and the Liquidity Risk Management Policy↗ 2026-18002
• Notice Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts↗ 2026-18001

4 September 2026 7 documents

The Securities and Exchange Commission published a proposed rule to modernize transfer agent regulations and six notices regarding self-regulatory organization filings.

• Proposed Rule Transfer Agent Rules↗ 2026-18190
• Notice Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 9558 of Nasdaq's Disciplinary Code↗ 2026-18113
• Notice Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program↗ 2026-18112
• Notice Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program↗ 2026-18111
• Notice Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program↗ 2026-18110
• Notice Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule To Implement an Exchange Order Entry Protocol Migration Program↗ 2026-18109
• Notice Eldridge Dynamic Income Fund and Eldridge Structured Credit Advisers, LLC↗ 2026-18108