SEC regulations
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- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Schedule TOApril 16, 2026
The SEC proposes to extend the Schedule TO information collection requirements for tender offer disclosure forms; public comments close 60 days from Federal Register publication.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 5-Annual Statement of Beneficial OwnershipApril 16, 2026
The SEC seeks public comment on extending Form 5 reporting requirements for beneficial ownership disclosures by corporate insiders; comments due 30 days from publication.
- Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Review of Professional OrdersApril 16, 2026
Nasdaq GEMX proposes amending its professional order review procedures under self-regulatory authority, 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; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Clarifying Changes to the Rule Text Related to the Trading FloorApril 16, 2026
MIAX Sapphire proposes clarifying edits to trading floor rules with immediate effectiveness upon SEC filing.
- Adoption of Updated EDGAR Filer ManualApril 16, 2026
SEC updates EDGAR Filer Manual Volumes I and II with Release 26.1 deployed March 16, 2026, affecting all entities filing electronic disclosures.
- 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; 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; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Review of Professional OrdersApril 16, 2026
Nasdaq ISE amends its professional order review rules to update procedures for evaluating orders placed by exchange members and their agents.
- 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.
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule To Revise the Criteria of LMP Tiers 1 and 2April 15, 2026
Cboe BZX Exchange amends fee schedule criteria for LMP Tiers 1 and 2, effective immediately upon filing.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form ID-Application for EDGAR AccessApril 15, 2026
The SEC requests public comment on a proposed extension of its Form ID application for EDGAR access, which allows companies to file securities documents electronically.