SEC regulations
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- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form ADV-HApril 13, 2026
SEC requests OMB approval to extend Form ADV-H information collection for investment adviser reporting; public comments due 30 days from Federal Register publication.
- Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Equities Transaction PricingApril 13, 2026
MEMX LLC amends its equities transaction fee schedule to adjust pricing structure for member firms effective immediately upon SEC filing.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)April 13, 2026
SEC Regulation 14C requires companies to file proxy statements and related materials for shareholder meetings, with the agency seeking public comment on information collection burden through [date not specified in input].
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation 14A (Commission Rules 14a-1 Through 14a-21 and Schedule 14A)April 13, 2026
SEC Regulation 14A requires public companies to file proxy statements on Schedule 14A before shareholder meetings; the agency seeks comment on this information collection extension.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Securities Act Rule 477April 13, 2026
SEC seeks OMB approval to extend information collection requirements under Securities Act Rule 477, which governs post-effective amendments to registration statements; public comments due 30 days from Federal Register publication.
- Sunshine Act MeetingsApril 13, 2026
I'm ready to write a one-sentence summary of the Sunshine Act Meetings document, but I need the description or details about what this regulation covers, any deadlines, dollar amounts, affected industries, or scope. Please provide the input descript…
- Sunshine Act MeetingsApril 13, 2026
I'm ready to write a single-sentence summary of the Sunshine Act Meetings document, but I need the description or details from the input. Please provide the description that contains the key facts (deadline, dollar amount, affected industry, scope, …
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17f-5April 13, 2026
SEC Rule 17f-5 extends an existing information collection requirement for investment advisers and funds regarding custody of client assets; public comment deadline is 30 days from Federal Register publication.
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend MIAX Options Exchange Fee Schedule To Amend Non-Transaction FeesApril 13, 2026
Miami International Securities Exchange proposes amendments to its options exchange fee schedule for non-transaction fees, 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 Non-Transaction FeesApril 13, 2026
MIAX PEARL, LLC amends its options exchange fee schedule for non-transaction fees effective immediately.
- Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Emerald Options Exchange Fee Schedule To Amend Non-Transaction FeesApril 13, 2026
MIAX Emerald, LLC amends its options exchange fee schedule to modify non-transaction fees effective immediately upon filing.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.1 to Permit the Exchange to List Binary Options on Exclusively Listed Index Options Designated for Trading Under Chapter 4, Section B During Global Trading Hours (“GTH”) and Curb Trading Hours (“Curb”)April 13, 2026
Cboe Exchange proposes amending Rule 5.1 to permit listing binary options on exclusively listed index options during Global Trading Hours and Curb Trading Hours.
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Average Daily Quote and Average Daily Order Fees To Be Effective April 1, 2026April 13, 2026
Cboe BZX Exchange amends average daily quote and order fees effective April 1, 2026.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Exchange Rules 4.3 (Criteria for Underlying Securities) and 4.4 (Withdrawal of Approval of Underlying Securities) To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts Holding Multiple Crypto AssetsApril 13, 2026
Cboe Exchange updates listing criteria and withdrawal standards for options on commodity-based trusts holding multiple crypto assets under Exchange Rules 4.3 and 4.4.
- Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Make Corrections, Clarifications and Certain Other Changes to the DTC Rules and ProceduresApril 10, 2026
The Depository Trust Company proposes corrections and clarifications to DTC Rules and Procedures affecting securities settlement and custody operations for financial institutions.