Recent Securities and Exchange Commission regulations affecting small businesses
Page 9 of 14 • Last updated April 17, 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; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend FINRA Rule 4210 (Margin Requirements) To Replace the Day Trading Margin Provisions With Intraday Margin StandardsApril 17, 2026
FINRA Rule 4210 amendments replace day trading margin provisions with intraday margin standards, effective upon SEC approval for broker-dealer compliance.
- Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend LTSE Fee Schedule To Modify Transaction FeesApril 17, 2026
Long-Term Stock Exchange amends transaction fees in its fee schedule effective immediately under self-regulatory organization rules.
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(c)(11) and Rule 11.13(a)(4)(C)-(D) To Describe the Behavior of Non-Displayed OrdersApril 17, 2026
Cboe BZX Exchange amends trading rules 11.9(c)(11) and 11.13(a)(4)(C)-(D) to clarify how non-displayed orders function in its system.
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.6(e)(2) and Rule 11.10(a)(4)(C)-(D) To Describe the Behavior of Orders Containing a Non-Displayed InstructionApril 17, 2026
Cboe EDGA Exchange amends trading rules 11.6(e)(2) and 11.10(a)(4)(C)-(D) to clarify how orders with non-displayed instructions behave on the exchange.
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(c)(11) and Rule 11.13(a)(4)(C)-(D) To Describe the Behavior of Non-Displayed OrdersApril 17, 2026
Cboe BYX Exchange amends trading rules to clarify how non-displayed orders function within its market structure, effective immediately upon SEC filing.
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Establish the CME Securities Clearing Inc. Enterprise Risk Management FrameworkApril 17, 2026
CME Securities Clearing Inc. proposes a new Enterprise Risk Management Framework rule to establish governance and risk oversight procedures for the securities clearing organization.
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Exchange Fee Schedule for All Liquidity Taker Event ReportsApril 17, 2026
Miami International Securities Exchange amends its options exchange fee schedule for liquidity taker event reports, effective immediately upon filing.
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Pearl Options Exchange Fee Schedule To Amend the Fees for All Liquidity Taker Event ReportsApril 17, 2026
MIAX PEARL amends its options exchange fee schedule to adjust liquidity taker event report fees; the rule change is effective immediately.
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 21.15(b) To Introduce the Exchange's Clock ServiceApril 16, 2026
Cboe BZX Exchange amends Rule 21.15(b) to introduce a clock service for exchange operations, with the rule change effective immediately upon filing.
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities, and Exchange Rule 403, Withdrawal of Approval of Underlying Securities, To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto AssetsApril 16, 2026
Miami International Securities Exchange proposes amending listing rules to establish criteria for options on commodity-based trusts holding multiple crypto assets, with approval pending SEC review.
- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities, and Exchange Rule 403, Withdrawal of Approval of Underlying Securities, To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto AssetsApril 16, 2026
MIAX PEARL proposes amending exchange rules 402 and 403 to establish listing criteria and withdrawal standards for options on multi-asset cryptocurrency trusts.
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing of a Proposed Rule Change To Amend Exchange Rule 402, Criteria for Underlying Securities, and Exchange Rule 403, Withdrawal of Approval of Underlying Securities, To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto AssetsApril 16, 2026
MIAX Sapphire proposes rule amendments to establish listing criteria and withdrawal standards for options on multi-asset cryptocurrency trusts under Exchange Rules 402 and 403.
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Modify the CME Securities Clearing Inc. Amended and Restated By-Laws, Board of Directors Charter, Risk Management Committee Charter, Nominating Committee Charter, and Audit Committee CharterApril 16, 2026
CME Securities Clearing Inc. receives SEC approval to modify its bylaws and four committee charters governing board structure, risk management, nominations, and audits.
- Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change Concerning NSCC's Ability To Support Industry Efforts To Extend Trading Hours for the U.S. Equity MarketsApril 16, 2026
National Securities Clearing Corporation proposes rule changes to support extended trading hours for U.S. equity markets, allowing the clearing infrastructure to accommodate industry efforts beyond standard market hours.
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee ScheduleApril 16, 2026
MIAX Sapphire, LLC amends its options exchange fee schedule effective immediately to adjust trading fees and rebates for market participants.