SEC regulations
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- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Equity Public Offerings) and 5131 (New Issue Allocations and Distributions)April 10, 2026
FINRA proposes amendments to rules governing initial public offering allocations and restrictions on purchases and sales of IPO shares to update allocation procedures and eligibility requirements for member firms.
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To: Amend and Restate the Seventh Amended and Restated Stockholders' Agreement of TXSE Group Inc. as the Eighth Amended and Restated Stockholders' Agreement; Adopt the Texas Certificate of Formation of TXSE Group Inc. To Replace the Sixth Amended and Restated Certification of Incorporation of TXSE Group Inc.; Adopt the Bylaws of TXSE Group Inc. To Replace the Second Amended and Restated Bylaws of TXSE Group Inc.; Adopt the Texas Certificate of Formation of the Texas Stock Exchange LLC To Replace the Delaware Certificate of Formation of the Texas Stock Exchange LLC; and Adopt the Company Agreement of the Texas Stock Exchange LLC To Replace the Third Amended and Restated Limited Liability Company Agreement of the Texas Stock Exchange LLCApril 10, 2026
Texas Stock Exchange LLC restructures its governing documents by transitioning from Delaware to Texas incorporation and updating its stockholders' agreement, bylaws, and company agreement.
- Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Limited Liability Agreement of 24X US Holdings LLC Related to a TransactionApril 10, 2026
24X National Exchange LLC amends its limited liability agreement to facilitate a transaction, effective immediately upon filing.
- Self-Regulatory Organizations; New York Stock Exchange LLC; 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 10, 2026
NYSE amends rules to permit generic listing and trading of Class Exchange-Traded Fund shares under new Rule 5.2(j)(9), effective upon SEC approval.
- Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rule 8000 and Rule 9000April 10, 2026
New York Stock Exchange proposes amendments to Rule 8000 and Rule 9000 regarding self-regulatory organization procedures; effective immediately upon filing.
- Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 22e-4April 10, 2026
The SEC requests OMB approval to extend Rule 22e-4 information collection requirements for money market funds regarding liquidity and pricing disclosures.
- Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change by the Options Clearing Corporation Concerning a Change in Types of Acceptable Collateral and an Update To Mitigate Wrong-Way RiskApril 10, 2026
Options Clearing Corporation expands acceptable collateral types and updates wrong-way risk mitigation procedures for options clearing members.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Allow for Extended Trading of Multi-Listed Equity OptionsApril 9, 2026
Cboe Exchange proposes to extend trading hours for multi-listed equity options, with the amendment filing establishing new operational parameters for after-hours options trading.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Transaction Fees at Nasdaq Equity 7, Section 118, To Update and Extend a Tier of Credit for Non-Displayed Orders (Other Than Supplemental Orders) That Provide LiquidityApril 8, 2026
Nasdaq updates transaction fee credits for non-displayed liquidity-providing orders in its equity market tier structure under Section 118.
- Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 11.220, Priority of Orders, To Conform With Amendments to Rules 600 and 603 of Regulation NMSApril 8, 2026
Long-Term Stock Exchange amends Rule 11.220 on order priority to conform with Regulation NMS amendments to Rules 600 and 603, effective immediately upon SEC filing.