Recent Securities and Exchange Commission regulations affecting small businesses
Page 7 of 14 • Last updated April 21, 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; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4759 (Data Feeds Utilized) To Establish a Primary and Secondary Source of Quotation Data of a New Market CenterApril 21, 2026
Nasdaq amends Rule 4759 to establish primary and secondary sources for quotation data from new market centers, effective immediately.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-PXApril 21, 2026
The SEC proposes to extend information collection for Form N-PX, requiring investment companies to report proxy votes; submit comments by the specified deadline.
- Man ETF Series Trust and Man Solutions LLCApril 21, 2026
I need the description of this document to create an accurate summary. Please provide the description field that includes details about what this document covers, any deadlines, dollar amounts, or relevant facts for small businesses.
- Alger Next Gen Growth Fund, et al.April 21, 2026
I need the description or details about this fund to write an accurate summary. Please provide the input description that includes information about what this fund offers, dollar amounts, deadlines, or other SMB-relevant facts.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-QApril 21, 2026
The SEC requests public comment on extending the information collection requirement for Form N-Q, which registered investment companies must file semiannually to disclose portfolio holdings and performance data.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rule IM-5101-4April 21, 2026
Nasdaq extends the SEC's review period for a proposed listing rule change regarding IM-5101-4, delaying final Commission action on the rule modification.
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Certain Connectivity ServicesApril 20, 2026
Nasdaq Texas updates fees for certain connectivity services under self-regulatory organization rules with immediate effectiveness.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of “Exercise Settlement Amount” Applicable to Binary OptionsApril 20, 2026
Cboe Exchange amends the definition of "Exercise Settlement Amount" for binary options to clarify calculation methodology for options traders.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Review of Professional OrdersApril 20, 2026
Nasdaq amends its professional order review rules to update oversight procedures for member firms; the rule change is effective immediately.
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Review of Professional OrdersApril 20, 2026
Nasdaq PHLX amends its rule for professional order review procedures effective immediately upon SEC filing.
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Review of Professional OrdersApril 20, 2026
Nasdaq Texas updates its professional order review rules under self-regulatory organization authority with immediate effectiveness upon filing.
- Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Regarding Complimentary Products and Services Offered by the ExchangeApril 20, 2026
Long-Term Stock Exchange amends its rule to permit complimentary products and services offerings to exchange members, with accelerated approval granted by the SEC.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Connectivity ServicesApril 20, 2026
Nasdaq amends fees for connectivity services under self-regulatory organization rules with immediate effectiveness upon filing.
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Certain Connectivity ServicesApril 20, 2026
Nasdaq PHLX LLC amends fees for certain connectivity services under self-regulatory organization rules, effective immediately upon SEC filing.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules Related to Binary OptionsApril 20, 2026
Cboe Exchange proposes amendments to its rules governing binary options trading on its platform.