Recent Securities and Exchange Commission regulations affecting small businesses
Page 8 of 14 • Last updated April 20, 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; 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; 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 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.
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Franklin Ethereum ETFApril 20, 2026
Cboe BZX Exchange proposes to amend rules governing the Franklin Ethereum ETF, with the filing effective immediately upon submission.
- Flat Rock Global, LLC, et al.April 20, 2026
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- The RBB Fund Trust and Opal Capital LLCApril 20, 2026
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- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-27April 20, 2026
The SEC requests comments on extending the information collection requirements under Rule 17Ad-27 regarding broker-dealer record retention and reporting obligations.
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Partial Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment Nos. 1 and 2, To Amend and Restate the Second Amended and Restated Cross-Margining Agreement Between FICC and CME and Amend Related GSD RulesApril 20, 2026
Fixed Income Clearing Corporation amends cross-margining agreement with CME and updates related rules under accelerated approval by the SEC.
- Order Under Section 36 of the Securities Exchange Act of 1934 (the “Exchange Act”) Granting Conditional Exemptive Relief from Section 15(c)(3) of and Rule 15c3-3 Under the Exchange Act for Cross-Margining of Cleared U.S. Treasury Securities and Related FuturesApril 20, 2026
SEC grants conditional exemptive relief allowing cross-margining of cleared U.S. Treasury securities and related futures contracts under Exchange Act Section 15(c)(3) and Rule 15c3-3.
- Concept Release on Consolidated Audit Trail and Other Audit Trails and Data SourcesApril 20, 2026
SEC seeks public comment on potential updates to the Consolidated Audit Trail and related market surveillance data sources to address current market conditions, regulatory needs, privacy concerns, and cybersecurity considerations.
- Sunshine Act MeetingsApril 20, 2026
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- 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.