Recent Securities and Exchange Commission regulations affecting small businesses
Page 14 of 14 • Last updated April 10, 2026
206 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; Order Approving Proposed Rule Change by the Options Clearing Corporation Concerning a Change in Types of Acceptable Collateral and an Update To Mitigate Wrong-Way RiskApril 10, 2026
Options Clearing Corporation expands acceptable collateral types and updates wrong-way risk mitigation procedures for options clearing members.
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)April 10, 2026
FINRA proposes amendments to rules governing initial public offering allocations and restrictions on purchases and sales of IPO shares to update allocation procedures and eligibility requirements for member firms.
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Corrections, Clarifications and Certain Other Changes to the DTC Rules and ProceduresApril 10, 2026
The Depository Trust Company proposes corrections and clarifications to DTC Rules and Procedures affecting securities settlement and custody operations for financial institutions.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 22e-4April 10, 2026
The SEC requests OMB approval to extend Rule 22e-4 information collection requirements for money market funds regarding liquidity and pricing disclosures.
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rule 8000 and Rule 9000April 10, 2026
New York Stock Exchange proposes amendments to Rule 8000 and Rule 9000 regarding self-regulatory organization procedures; effective immediately upon filing.
- 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 Adopt New Rule 5.2(j)(9) To Permit the Generic Listing and Trading of Class Exchange-Traded Fund SharesApril 10, 2026
NYSE amends rules to permit generic listing and trading of Class Exchange-Traded Fund shares under new Rule 5.2(j)(9), effective upon SEC approval.
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Limited Liability Agreement of 24X US Holdings LLC Related to a TransactionApril 10, 2026
24X National Exchange LLC amends its limited liability agreement to facilitate a transaction, effective immediately upon filing.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Allow for Extended Trading of Multi-Listed Equity OptionsApril 9, 2026
Cboe Exchange proposes to extend trading hours for multi-listed equity options, with the amendment filing establishing new operational parameters for after-hours options trading.
- Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 11.220, Priority of Orders, To Conform With Amendments to Rules 600 and 603 of Regulation NMSApril 8, 2026
Long-Term Stock Exchange amends Rule 11.220 on order priority to conform with Regulation NMS amendments to Rules 600 and 603, effective immediately upon SEC filing.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Transaction Fees at Nasdaq Equity 7, Section 118, To Update and Extend a Tier of Credit for Non-Displayed Orders (Other Than Supplemental Orders) That Provide LiquidityApril 8, 2026
Nasdaq updates transaction fee credits for non-displayed liquidity-providing orders in its equity market tier structure under Section 118.
- 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 Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLCApril 7, 2026
MEMX LLC amends Rule 13.4(a) to reflect Nasdaq BX, Inc.'s name change to Nasdaq Texas, LLC, effective immediately upon SEC filing.