Recent Securities and Exchange Commission regulations affecting small businesses
Page 12 of 14 • Last updated April 14, 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; Cboe BZX 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 BZX Exchange expands its Cboe One Premium and Summary Depth Data Feeds to provide twelve price levels per side, effective immediately.
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Equities Transaction PricingApril 13, 2026
MEMX LLC amends its equities transaction fee schedule to adjust pricing structure for member firms effective immediately upon SEC filing.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 203A-2(d)April 13, 2026
SEC requires brokers and dealers to maintain records of customer account information under Rule 203A-2(d); public comments due 60 days from Federal Register publication.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 12h-1(f)April 13, 2026
SEC extends Rule 12h-1(f) information collection requirements for small-business issuers seeking to deregister securities; public comment period open.
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Lists of Regulatory Halts and Operational HaltsApril 13, 2026
NYSE American amends its regulatory and operational halt procedures effective immediately to update classifications and handling protocols for trading disruptions.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.1 to Permit the Exchange to List Binary Options on Exclusively Listed Index Options Designated for Trading Under Chapter 4, Section B During Global Trading Hours (“GTH”) and Curb Trading Hours (“Curb”)April 13, 2026
Cboe Exchange proposes amending Rule 5.1 to permit listing binary options on exclusively listed index options during Global Trading Hours and Curb Trading Hours.
- 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 To Amend Non-Transaction FeesApril 13, 2026
MIAX Emerald, LLC amends its options exchange fee schedule to modify non-transaction fees effective immediately upon filing.
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Exchange Fee Schedule To Amend Non-Transaction FeesApril 13, 2026
Miami International Securities Exchange proposes amendments to its options exchange fee schedule for non-transaction fees, effective immediately upon filing.
- 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 Non-Transaction FeesApril 13, 2026
MIAX PEARL, LLC amends its options exchange fee schedule for non-transaction fees effective immediately.
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Average Daily Quote and Average Daily Order Fees To Be Effective April 1, 2026April 13, 2026
Cboe BZX Exchange amends average daily quote and order fees effective April 1, 2026.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the iShares Bitcoin Trust ETF and iShares Ethereum Trust ETFApril 13, 2026
Nasdaq amends trading rules for iShares Bitcoin Trust and Ethereum Trust ETFs to comply with updated regulatory standards for cryptocurrency-based exchange-traded funds.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Exchange Rules 4.3 (Criteria for Underlying Securities) and 4.4 (Withdrawal of Approval of Underlying Securities) To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto AssetsApril 13, 2026
Cboe Exchange updates listing criteria and withdrawal standards for options on commodity-based trusts holding multiple crypto assets under Exchange Rules 4.3 and 4.4.
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt New Rule 5.2(j)(9) To Permit the Generic Listing and Trading of Class Exchange-Traded Fund SharesApril 13, 2026
NYSE Texas, Inc. received accelerated approval to adopt new Rule 5.2(j)(9) permitting generic listing and trading of Class Exchange-Traded Fund shares.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17f-5April 13, 2026
SEC Rule 17f-5 extends an existing information collection requirement for investment advisers and funds regarding custody of client assets; public comment deadline is 30 days from Federal Register publication.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form ADV-HApril 13, 2026
SEC requests OMB approval to extend Form ADV-H information collection for investment adviser reporting; public comments due 30 days from Federal Register publication.