SEC regulations
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- Multi-Class ETF Fund Exemptive Relief Under the Investment Company Act of 1940May 4, 2026
SEC exemptive relief permits multi-class ETF fund structures under the Investment Company Act of 1940, allowing managers to offer multiple share classes with different fee and service arrangements within a single fund.
- Acknowledgement of Receipt of Notice of Registration as a National Securities Exchange Pursuant to Section 6(g) of the Securities Exchange Act of 1934 by Chicago Mercantile Exchange Inc.May 4, 2026
Chicago Mercantile Exchange Inc. received SEC acknowledgement of its registration as a national securities exchange under Section 6(g) of the Securities Exchange Act of 1934.
- Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of Proposed Minor Rule Violation PlanMay 4, 2026
Texas Stock Exchange LLC proposes a minor rule violation plan to establish procedures for addressing technical or non-substantive regulatory breaches by member firms and associated persons.
- Franklin Lexington Private Markets Fund, et al.May 4, 2026
Franklin Lexington Private Markets Fund is a closed-end investment fund offering exposure to private equity and credit markets for qualified investors with minimum investment requirements.
- Staff Report on the Definitions of “Security-Based Swap Dealer” and “Major Security-Based Swap Participant”May 4, 2026
The SEC staff report examines definitions and thresholds for security-based swap dealers and major participants, with current phase-in thresholds of $8 billion and $400 million continuing until May 8, 2028, and public comments invited on potential r…
- VegaShares ETF Trust and Vega Capital Partners LLCMay 4, 2026
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- Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Section 1003 of the NYSE American Company GuideMay 4, 2026
NYSE American proposes amendments to its Company Guide Section 1003 and the SEC has designated a longer review period to evaluate the rule change.
- Third Point Private Capital Partners, et al.May 4, 2026
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- Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531May 1, 2026
MIAX PEARL proposes amending Exchange Rule 531 regarding self-regulatory organization operations with immediate effectiveness upon filing.
- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fee Schedule To Introduce a New Displayed Liquidity Adding Rebate for Tape B SecuritiesMay 1, 2026
Investors Exchange LLC proposes amending its fee schedule to introduce a new displayed liquidity adding rebate for Tape B securities, effective immediately upon filing.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Replace the Existing Flat Monthly Fee for the Silexx Application Programming Interface (“API”) With a Usage-Based Tiered Pricing StructureMay 1, 2026
Cboe Exchange replaces its flat monthly Silexx API fee with usage-based tiered pricing, effective immediately upon filing.
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a New Data Product To Be Known as the One-Minute Intraday Open-Close Data Report and To Adopt Fees for Such ProductMay 1, 2026
BOX Exchange LLC introduces a One-Minute Intraday Open-Close Data Report product with associated fees, effective immediately upon filing.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Permit the Listing of A.M.-Settled Options on the S&P 500 Index that Expire on Any Monday, Tuesday, Wednesday, Thursday, or Friday (other than the Third Friday-of-the-Month or Days that Coincide With an End-of-Month Expiration) and Expire on the Last Trading Day of the MonthMay 1, 2026
Cboe Exchange proposes listing A.M.-settled S&P 500 Index options expiring on any weekday except third Fridays and month-end expiration days, expanding current Monday-Wednesday-Friday-only rules.
- Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility To Modify Certain Rebate Tiers for Qualified Contingent Cross TransactionsMay 1, 2026
BOX Exchange LLC amends its options trading fee schedule to modify rebate tiers for qualified contingent cross transactions on the BOX Options Market facility.
- Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Investors Exchange LLCMay 1, 2026
The Financial Industry Regulatory Authority and Investors Exchange LLC amended their regulatory allocation plan under SEC Rule 17d-2 to define respective oversight responsibilities for member firms and listed securities.