Recent Securities and Exchange Commission regulations affecting small businesses
Page 5 of 14 • Last updated April 27, 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.
- Sunshine Act MeetingsApril 27, 2026
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- Form PF; Reporting Requirements for All FilersApril 24, 2026
CFTC and SEC propose streamlined reporting requirements for Form PF filed by SEC-registered investment advisers managing private funds.
- Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.34 To Adopt a Wide Market Protection Mechanism Designed To Reduce the Risk of Orders Executing at Extreme or Adverse Prices When the National Best Bid and Offer (“NBBO”) Is Determined To Be WideApril 24, 2026
Cboe C2 Exchange adopts a wide market protection mechanism under Rule 5.34 to prevent orders from executing at extreme prices when the national best bid and offer spreads are abnormally wide.
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 To Adopt a Wide Market Protection Mechanism Designed To Reduce the Risk of Orders Executing at Extreme or Adverse Prices When the National Best Bid and Offer (“NBBO”) Is Determined To Be WideApril 24, 2026
Cboe EDGX Exchange amends Rule 21.17 to adopt a wide market protection mechanism that prevents orders from executing at extreme prices when the National Best Bid and Offer spread is wide.
- AGL Private Credit Income Fund, et al.April 24, 2026
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- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.17 To Adopt a Wide Market Protection Mechanism Designed To Reduce the Risk of Orders Executing at Extreme or Adverse Prices When the National Best Bid and Offer (“NBBO”) Is Determined To Be WideApril 24, 2026
Cboe BZX Exchange adopts a wide market protection mechanism under Rule 21.17 to prevent orders from executing at extreme prices when the national best bid-offer spread widens.
- CION Grosvenor Infrastructure Master Fund, LLC, et al.April 24, 2026
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- Aristotle Pacific Enhanced CLO Income Fund, et al.April 23, 2026
I need actual regulatory or grant document information to create a summary. The title "Aristotle Pacific Enhanced CLO Income Fund" appears to be a financial product, not a US small-business regulation or grant program. Please provide a title and de…
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Auction MechanismsApril 22, 2026
Nasdaq GEMX amends auction mechanism rules for self-regulatory compliance with immediate effectiveness.
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NTX Options Price Improvement AuctionApril 22, 2026
Nasdaq Texas amendments to NTX Options Price Improvement Auction rules take effect immediately upon SEC filing to clarify trading procedures for options market participants.
- Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Auction MechanismsApril 22, 2026
Nasdaq ISE proposes rule amendments to its auction mechanisms for options trading, effective immediately upon SEC filing.
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Auction MechanismsApril 22, 2026
Nasdaq PHLX LLC amends auction mechanisms for options trading on its exchange under self-regulatory organization rules with immediate effectiveness.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30e-1April 22, 2026
The Securities and Exchange Commission seeks public comment on extending its information collection under Rule 30e-1, which requires fund reports and shareholder communications; comments due within 60 days of Federal Register publication.
- Saba Capital Income & Opportunities Fund II, et al.April 22, 2026
Saba Capital Income & Opportunities Fund II is a closed-end investment fund offering equity and debt securities to accredited investors seeking diversified income and growth opportunities.
- Notice of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, From Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Request for CommentApril 22, 2026
SEC seeks exemptive relief from Rule 17ad-22(e)(18)(iv) requirements for transfer agents under the Securities Exchange Act of 1934.