SEC regulations
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- Agency Information Collection Activities; Proposed Collection; Comment Request; ICR Type Extension: Form 144-Notice of Proposed Sale of Securities Pursuant to Rule 144 Under the Securities Act of 1933April 15, 2026
SEC Form 144 (Notice of Proposed Sale of Securities) information collection extends data-gathering requirements for securities sales under Rule 144; public comment period details available.
- John Hancock GA Mortgage Trust, et al.April 15, 2026
I need more information to create a summary. Please provide the description or key details about what this document covers, including any deadlines, dollar amounts, affected industries, or regulatory scope relevant to small businesses.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 3-Initial Statement of Beneficial Ownership of SecuritiesApril 15, 2026
Form 3-Initial Statement of Beneficial Ownership of Securities requires officers, directors, and 10% shareholders to disclose equity stakes within two days of taking positions; comments due 60 days from Federal Register publication.
- Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Facilitate the Transfer and Trading of Options That Overlie a Reduced Value of the MSCI World Index (1/100), the Full Value of the MSCI ACWI Index and a Reduced Value of the MSCI USA Index (1/100)April 15, 2026
NYSE Arca proposes rule changes to facilitate trading of options on reduced-value MSCI World Index (1/100), full-value MSCI ACWI Index, and reduced-value MSCI USA Index (1/100) contracts.
- Self-Regulatory Organizations; the Options Clearing Corporation; Notice of Filing of Proposed Rule Change by the Options Clearing Corporation Concerning Amendments to OCC's STANS Methodology Description To Enable OCC To Accept Binary Options for Clearing and Appropriately Manage the Risk Created by Binary OptionsApril 15, 2026
Options Clearing Corporation proposes amending its STANS risk methodology to enable clearing of binary options and appropriately manage associated risks.
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Section 2, Customer Rebate Program, and at Options 7, Section 4, Multiply Listed Options FeesApril 15, 2026
Nasdaq PHLX amends its pricing schedule to modify customer rebate programs and multiply listed options fees effective immediately.
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Its Rules To Enable the Exchange To Offer Trading in Equity Securities and Exchange Traded Products 23 Hours per Day, Five Days per WeekApril 15, 2026
Cboe EDGX Exchange proposes extending equity securities and ETF trading hours to 23 hours daily, five days weekly on its exchange platform.
- Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 14.602, To Extend the Duration of Certain Term-Limited Complimentary Products and ServicesApril 15, 2026
Long-Term Stock Exchange amends Rule 14.602 to extend the duration of complimentary products and services for listed companies under its term-limited offering structure.
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Facilitate the Transfer and Trading of Options That Overlie a Reduced Value of the MSCI World Index (1/100), the Full Value of the MSCI ACWI Index and a Reduced Value of the MSCI USA Index (1/100)April 15, 2026
NYSE American proposes rule changes to facilitate trading of options on reduced-value MSCI World Index (1/100), full-value MSCI ACWI Index, and reduced-value MSCI USA Index (1/100) with immediate effectiveness.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified and Superseded by Amendment No. 3, To Amend Rules 4.13 and 5.1 To Permit Options on the Dow Jones Industrial Average Index To Be P.M.-SettledApril 15, 2026
Cboe Exchange amends rules to permit options on the Dow Jones Industrial Average Index to be settled in the afternoon instead of at market close.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Establish a New “Retail Broker” Definition and Related Pricing for the Exchange's Complex Order Book Data FeedApril 15, 2026
Cboe Exchange amends its fee schedule to create a new "Retail Broker" definition and adjust pricing for its Complex Order Book Data Feed.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment Nos. 2 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended by Amendment Nos. 2 and 3, To Extend the Exchange's Trading Hours to 23 Hours a Day, Five Days a WeekApril 15, 2026
Nasdaq Stock Market amends trading hours to 23 hours daily, five days a week, effective immediately upon SEC approval.
- Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Regarding Conversion and Name Change of Nasdaq BX, Inc. to Nasdaq Texas, LLCApril 15, 2026
Joint Industry Plan amends the National Market System Plan's Consolidated Audit Trail rules to reflect Nasdaq BX, Inc.'s conversion and name change to Nasdaq Texas, LLC.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt VIX Future-Option OrdersApril 14, 2026
The SEC institutes proceedings to evaluate Cboe Exchange's proposed rule change permitting VIX future-option orders, a derivative trading mechanism affecting options market participants.
- Self-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Options on the Grayscale CoinDesk Crypto 5 ETFApril 14, 2026
NYSE American proposes to list and trade options on the Grayscale CoinDesk Crypto 5 ETF, subject to SEC approval through a rule change proceeding.