SEC regulations
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- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Twelve Price Levels per Side for the Cboe One Premium and Summary Depth Data FeedsApril 14, 2026
Cboe EDGA Exchange updates its One Premium and Summary Depth data feeds to provide twelve price levels per side, effective immediately.
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Twelve Price Levels per Side for the Cboe One Premium and Summary Depth Data FeedsApril 14, 2026
Cboe BYX Exchange expands its One Premium and Summary Depth data feeds from existing price levels to twelve price levels per side, effective immediately.
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Twelve Price Levels per Side for the Cboe One Premium and Summary Depth Data FeedsApril 14, 2026
Cboe BZX Exchange expands its Cboe One Premium and Summary Depth Data Feeds to provide twelve price levels per side, effective immediately.
- AMG BBH Asset-Backed Credit Fund, LLC and Brown Brothers Harriman Credit Partners, LLCApril 14, 2026
AMG BBH Asset-Backed Credit Fund, LLC and Brown Brothers Harriman Credit Partners, LLC are investment vehicles offering credit financing; eligible small businesses should review fund documentation for loan terms and application procedures.
- Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Partial Amendment No. 2 and Notice of No Objection to Advance Notice, 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 14, 2026
Fixed Income Clearing Corporation amends its cross-margining agreement with CME and related rules to modify collateral and risk management procedures for cleared derivatives and fixed income securities.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 4-Statement of Changes in Beneficial Ownership of SecuritiesApril 14, 2026
SEC requires officers, directors, and beneficial owners to file Form 4 documenting securities transactions within two business days, with 30 days for public comment on the information collection request.
- Notice Pursuant to Rule 15c3-3a, Note H(b)(3) Regarding Application of the Customer Protection Rule Reserve Computations With Respect to U.S. Treasury SecuritiesApril 14, 2026
SEC clarifies that broker-dealers may include debits in customer protection rule reserve computations when depositing cash and U.S. Treasury securities to meet CME Securities Clearing Inc. margin requirements.
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide Twelve Price Levels per Side for the Cboe One Premium and Summary Depth Data FeedsApril 14, 2026
Cboe EDGX Exchange increases price levels from current to twelve per side in Cboe One Premium and Summary Depth data feeds effective immediately.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the iShares Bitcoin Trust ETF and iShares Ethereum Trust ETFApril 13, 2026
Nasdaq amends trading rules for iShares Bitcoin Trust and Ethereum Trust ETFs to comply with updated regulatory standards for cryptocurrency-based exchange-traded funds.
- Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Adopt New Rule 5.2(j)(9) To Permit the Generic Listing and Trading of Class Exchange-Traded Fund SharesApril 13, 2026
NYSE Texas, Inc. received accelerated approval to adopt new Rule 5.2(j)(9) permitting generic listing and trading of Class Exchange-Traded Fund shares.
- Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend the Lists of Regulatory Halts and Operational HaltsApril 13, 2026
NYSE American amends its regulatory and operational halt procedures effective immediately to update classifications and handling protocols for trading disruptions.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 12h-1(f)April 13, 2026
SEC extends Rule 12h-1(f) information collection requirements for small-business issuers seeking to deregister securities; public comment period open.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 203A-2(d)April 13, 2026
SEC requires brokers and dealers to maintain records of customer account information under Rule 203A-2(d); public comments due 60 days from Federal Register publication.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 22d-1April 13, 2026
SEC proposes to extend Rule 22d-1 information collection requirements for open-end management companies regarding distribution agreements and sales literature; public comment period open.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Customer Account Statements (17 CFR 242.607)April 13, 2026
The SEC's Customer Account Statements rule requires broker-dealers to deliver account statements to customers at least quarterly, with a comment period open for regulatory feedback on this existing information collection requirement.