Recent Securities and Exchange Commission regulations affecting small businesses
Page 10 of 14 • Last updated April 16, 2026
199 Securities and Exchange Commission regulations have been published in the past 30 days, covering rule changes, notices, and final actions affecting small businesses.
- Adoption of Updated EDGAR Filer ManualApril 16, 2026 • Impact: medium
SEC updates EDGAR Filer Manual Volumes I and II with Release 26.1 deployed March 16, 2026, affecting all entities filing electronic disclosures.
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Clarifying Changes to the Rule Text Related to the Trading FloorApril 16, 2026
MIAX Sapphire proposes clarifying edits to trading floor rules with immediate effectiveness upon SEC filing.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 5-Annual Statement of Beneficial OwnershipApril 16, 2026
The SEC seeks public comment on extending Form 5 reporting requirements for beneficial ownership disclosures by corporate insiders; comments due 30 days from publication.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Schedule TOApril 16, 2026
The SEC proposes to extend the Schedule TO information collection requirements for tender offer disclosure forms; public comments close 60 days from Federal Register publication.
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Review of Professional OrdersApril 16, 2026
Nasdaq ISE amends its professional order review rules to update procedures for evaluating orders placed by exchange members and their agents.
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Review of Professional OrdersApril 16, 2026
Nasdaq GEMX proposes amending its professional order review procedures under self-regulatory authority, effective immediately upon filing.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Establish a New “Retail Broker” Definition and Related Pricing for the Exchange's Complex Order Book Data FeedApril 15, 2026
Cboe Exchange amends its fee schedule to create a new "Retail Broker" definition and adjust pricing for its Complex Order Book Data Feed.
- Agency Information Collection Activities; Proposed Collection; Comment Request; ICR Type Extension: Form 144-Notice of Proposed Sale of Securities Pursuant to Rule 144 Under the Securities Act of 1933April 15, 2026
SEC Form 144 (Notice of Proposed Sale of Securities) information collection extends data-gathering requirements for securities sales under Rule 144; public comment period details available.
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Facilitate the Transfer and Trading of Options That Overlie a Reduced Value of the MSCI World Index (1/100), the Full Value of the MSCI ACWI Index and a Reduced Value of the MSCI USA Index (1/100)April 15, 2026
NYSE Arca proposes rule changes to facilitate trading of options on reduced-value MSCI World Index (1/100), full-value MSCI ACWI Index, and reduced-value MSCI USA Index (1/100) contracts.
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule To Revise the Criteria of LMP Tiers 1 and 2April 15, 2026
Cboe BZX Exchange amends fee schedule criteria for LMP Tiers 1 and 2, effective immediately upon filing.
- Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 14.602, To Extend the Duration of Certain Term-Limited Complimentary Products and ServicesApril 15, 2026
Long-Term Stock Exchange amends Rule 14.602 to extend the duration of complimentary products and services for listed companies under its term-limited offering structure.
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules To Enable the Exchange To Offer Trading in Equity Securities and Exchange Traded Products 23 Hours per Day, Five Days per WeekApril 15, 2026
Cboe EDGX Exchange proposes extending equity securities and ETF trading hours to 23 hours daily, five days weekly on its exchange platform.
- John Hancock GA Mortgage Trust, et al.April 15, 2026
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- Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Regarding Conversion and Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLCApril 15, 2026
Joint Industry Plan amends the National Market System Plan's Consolidated Audit Trail rules to reflect Nasdaq BX, Inc.'s conversion and name change to Nasdaq Texas, LLC.
- 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, Section 2, Customer Rebate Program, and at Options 7, Section 4, Multiply Listed Options FeesApril 15, 2026
Nasdaq PHLX amends its pricing schedule to modify customer rebate programs and multiply listed options fees effective immediately.