Recent Securities and Exchange Commission regulations affecting small businesses
Page 11 of 14 • Last updated April 15, 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.
- Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change by the Options Clearing Corporation Concerning Amendments to OCC's STANS Methodology Description To Enable OCC To Accept Binary Options for Clearing and Appropriately Manage the Risk Created by Binary OptionsApril 15, 2026
Options Clearing Corporation proposes amending its STANS risk methodology to enable clearing of binary options and appropriately manage associated risks.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form ID-Application for EDGAR AccessApril 15, 2026
The SEC requests public comment on a proposed extension of its Form ID application for EDGAR access, which allows companies to file securities documents electronically.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified and Superseded by Amendment No. 3, To Amend Rules 4.13 and 5.1 To Permit Options on the Dow Jones Industrial Average Index To Be P.M.-SettledApril 15, 2026
Cboe Exchange amends rules to permit options on the Dow Jones Industrial Average Index to be settled in the afternoon instead of at market close.
- Self-Regulatory Organizations; NYSE American LLC; 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 American 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) with immediate effectiveness.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 3-Initial Statement of Beneficial Ownership of SecuritiesApril 15, 2026
Form 3-Initial Statement of Beneficial Ownership of Securities requires officers, directors, and 10% shareholders to disclose equity stakes within two days of taking positions; comments due 60 days from Federal Register publication.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended by Amendment Nos. 2 and 3, To Extend the Exchange's Trading Hours to 23 Hours a Day, Five Days a WeekApril 15, 2026
Nasdaq Stock Market amends trading hours to 23 hours daily, five days a week, effective immediately upon SEC approval.
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Partial Amendment No. 2 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment Nos. 1 and 2, To Amend and Restate the Second Amended and Restated Cross-Margining Agreement Between FICC and CME and Amend Related GSD RulesApril 14, 2026
Fixed Income Clearing Corporation amends its cross-margining agreement with CME and related rules to modify collateral and risk management procedures for cleared derivatives and fixed income securities.
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Twelve Price Levels per Side for the Cboe One Premium and Summary Depth Data FeedsApril 14, 2026
Cboe BYX Exchange expands its One Premium and Summary Depth data feeds from existing price levels to twelve price levels per side, effective immediately.
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Twelve Price Levels per Side for the Cboe One Premium and Summary Depth Data FeedsApril 14, 2026
Cboe EDGA Exchange updates its One Premium and Summary Depth data feeds to provide twelve price levels per side, effective immediately.
- Self-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Options on the Grayscale CoinDesk Crypto 5 ETFApril 14, 2026
NYSE American proposes to list and trade options on the Grayscale CoinDesk Crypto 5 ETF, subject to SEC approval through a rule change proceeding.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 4-Statement of Changes in Beneficial Ownership of SecuritiesApril 14, 2026
SEC requires officers, directors, and beneficial owners to file Form 4 documenting securities transactions within two business days, with 30 days for public comment on the information collection request.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt VIX Future-Option OrdersApril 14, 2026
The SEC institutes proceedings to evaluate Cboe Exchange's proposed rule change permitting VIX future-option orders, a derivative trading mechanism affecting options market participants.
- Notice Pursuant to Rule 15c3-3a, Note H(b)(3) Regarding Application of the Customer Protection Rule Reserve Computations With Respect to U.S. Treasury SecuritiesApril 14, 2026
SEC clarifies that broker-dealers may include debits in customer protection rule reserve computations when depositing cash and U.S. Treasury securities to meet CME Securities Clearing Inc. margin requirements.
- AMG BBH Asset-Backed Credit Fund, LLC and Brown Brothers Harriman Credit Partners, LLCApril 14, 2026
AMG BBH Asset-Backed Credit Fund, LLC and Brown Brothers Harriman Credit Partners, LLC are investment vehicles offering credit financing; eligible small businesses should review fund documentation for loan terms and application procedures.
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Twelve Price Levels per Side for the Cboe One Premium and Summary Depth Data FeedsApril 14, 2026
Cboe EDGX Exchange increases price levels from current to twelve per side in Cboe One Premium and Summary Depth data feeds effective immediately.