Recent Securities and Exchange Commission regulations affecting small businesses
Page 6 of 14 • Last updated April 22, 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.
- 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.
- Consolidated Tape Association; Notice of Filing of Amendment No. 1, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Fortieth Substantive Amendment to the Second Restatement of the CTA Plan and Thirty-First Substantive Amendment to the Restated CQ Plan, as Modified by Amendment No. 1 Thereto, To Extend the Processor's Hours of OperationApril 22, 2026
Consolidated Tape Association proposes extending market data processor hours of operation under amendments to the CTA and CQ plans, with SEC review pending approval or disapproval.
- Joint Industry Plan; Notice of Filing of Amendment No. 1, and Order Instituting Proceedings To Determine Whether To Approve or Disapprove an Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, as Modified by Amendment No. 1 Thereto, To Extend the Processor's Hours of OperationApril 22, 2026
Nasdaq joint industry plan amendment extends market data processor operating hours for unlisted trading privileges securities and is subject to SEC approval proceedings.
- 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.
- 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.
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules To Enable the Trading of Securities on the Exchange in Tokenized FormApril 22, 2026
NYSE proposes rule amendments to enable trading of tokenized securities on its exchange, effective immediately upon SEC filing.
- 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.
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Auction MechanismsApril 22, 2026
Nasdaq MRX proposes rule amendments to its auction mechanisms, effective immediately upon filing with no specific deadline or financial threshold disclosed.
- 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; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 4.21 (Series of FLEX Options)April 22, 2026
Cboe Exchange proposes amending Rule 4.21 to modify FLEX Options series requirements and listing procedures for retail and institutional options traders.
- Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Concerning New Transaction Reporting Capability for Members That Maintain Clearing Relationships With Another MemberApril 22, 2026
National Securities Clearing Corporation proposes a new transaction reporting capability for members maintaining clearing relationships with other members.
- 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.
- Reopening of Comment Period; 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 reopens comment period on exemptive relief request regarding Rule 17ad-22(e)(18)(iv) compliance requirements for securities exchange act entities.
- 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; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of the BondBloxx Private Credit Trust Under BZX Rule 14.11(f), Trust Issued ReceiptsApril 22, 2026
Cboe BZX Exchange proposes to list and trade shares of the BondBloxx Private Credit Trust under its Trust Issued Receipts rule.