Recent Securities and Exchange Commission regulations affecting small businesses
Page 3 of 14 • Last updated May 1, 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; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Introducing New Fee Code ZP and Amending the Fee Associated With Fee Code DXMay 1, 2026
Cboe EDGX Exchange amends its fee schedule by introducing new fee code ZP and revising the fee for code DX, effective immediately upon filing.
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531May 1, 2026
MIAX Emerald proposes to amend Exchange Rule 531, effective immediately upon filing, to modify trading rules for options market participants.
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the One-Minute Intraday Open-Close Data Report and To Adopt Fees for Such ProductMay 1, 2026
BOX Exchange LLC introduces a One-Minute Intraday Open-Close Data Report product with associated fees, effective immediately upon filing.
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531May 1, 2026
MIAX PEARL proposes amending Exchange Rule 531 regarding self-regulatory organization operations with immediate effectiveness upon filing.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings to Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt a New Continued Listing RequirementMay 1, 2026 • Impact: low
Nasdaq proposes a new continued listing requirement for publicly traded companies, pending SEC approval determination.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing of A.M.-Settled Options on the S&P 500 Index that Expire on Any Monday, Tuesday, Wednesday, Thursday, or Friday (other than the Third Friday-of-the-Month or Days that Coincide With an End-of-Month Expiration) and Expire on the Last Trading Day of the MonthMay 1, 2026
Cboe Exchange proposes listing A.M.-settled S&P 500 Index options expiring on any weekday except third Fridays and month-end expiration days, expanding current Monday-Wednesday-Friday-only rules.
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rules 353 and 931NYMay 1, 2026
NYSE American amends Rules 353 and 931NY regarding broker-dealer conduct and compliance standards, effective upon filing with the Securities and Exchange Commission.
- Wasatch Funds Trust and Wasatch Advisors LPApril 30, 2026
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- AAM/Wilshire Infrastructure Fund and Advisors Asset Management, Inc.April 30, 2026
AAM/Wilshire Infrastructure Fund provides equity capital for small businesses in infrastructure sectors; specific investment amounts and application deadlines not specified in available documentation.
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Short Term Options Series ProgramApril 30, 2026
Nasdaq ISE amends its Short Term Options Series Program through a self-regulatory rule change that takes effect immediately upon filing.
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Amend Rule 8.201-E (Generic) To Modify the Generic Listing Standards for Commodity-Based Trust SharesApril 30, 2026
NYSE Arca proposes amending Rule 8.201-E to modify generic listing standards for commodity-based trust shares, affecting ETF issuers and commodity investment products.
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B) to Delay the Opening Auction Under Certain Market ConditionsApril 30, 2026
Cboe BZX Exchange seeks SEC approval to amend Rule 11.23(b)(2)(B) to delay opening auctions under specified market conditions.
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 5, To Amend the Position and Exercise Limits for IBIT OptionsApril 30, 2026
Nasdaq ISE amends position and exercise limits for IBIT options under a self-regulatory organization rule change approved by the SEC.
- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books)April 30, 2026
FINRA amends Rule 8210 to modify procedures for information provision, testimony, and document inspection in regulatory examinations, effective immediately.
- Self-Regulatory Organizations; The Fixed Income Clearing Corporation; Notice of No Objection To Advance Notice To Raise Prefunded Default Liquidity Through the Commercial Paper ProgramApril 30, 2026
The Fixed Income Clearing Corporation seeks to raise prefunded default liquidity through its commercial paper program under a self-regulatory advance notice filing with SEC approval.