SEC regulations
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- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 4.21 (Series of FLEX Options)April 22, 2026
Cboe Exchange proposes amending Rule 4.21 to modify FLEX Options series requirements and listing procedures for retail and institutional options traders.
- Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 21.19 and 21.21 To Permit Orders for the Accounts of Market-Makers With an Appointment in the Applicable Class To Be Solicited for the Initiating Order for a Simple AIM or Simple SAM AuctionApril 22, 2026
Cboe EDGX Exchange amends trading rules 21.19 and 21.21 to allow market-maker orders to be solicited as initiating orders in Simple AIM and Simple SAM auctions for their appointed classes.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Class ETF Shares to the Definition of Exchange-Traded ProductApril 21, 2026
Nasdaq Stock Market amends its rules to include Class ETF Shares within the definition of Exchange-Traded Products, effective immediately upon filing.
- Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule With Respect to Certain Standard Transaction Fees, Floor Broker Permit Fees, the SPX and VIX Floor Broker Trading Surcharges, the Floor Broker ADV Discount, Market-Maker Tier Appointment Fees, Floor Jacket Stipends, and SPXW Excessive Complex Instrument Creation ChargesApril 21, 2026
Cboe Exchange amends its fees schedule effective immediately, adjusting standard transaction fees, floor broker permits, SPX and VIX surcharges, market-maker tier appointments, floor jacket stipends, and complex instrument creation charges.
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 3304 (Data Feeds Utilized) To Establish a Primary and Secondary Source of Quotation Data of a New Market CenterApril 21, 2026
Nasdaq PHLX amends equity market data feed rules to establish primary and secondary quotation data sources for new market centers, effective immediately.
- Man ETF Series Trust and Man Solutions LLCApril 21, 2026
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- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-PXApril 21, 2026
The SEC proposes to extend information collection for Form N-PX, requiring investment companies to report proxy votes; submit comments by the specified deadline.
- Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4759 (Data Feeds Utilized) To Establish a Primary and Secondary Source of Quotation Data of a New Market CenterApril 21, 2026
Nasdaq Texas amends Rule 4759 to establish primary and secondary sources for quotation data from new market centers.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4759 (Data Feeds Utilized) To Establish a Primary and Secondary Source of Quotation Data of a New Market CenterApril 21, 2026
Nasdaq amends Rule 4759 to establish primary and secondary sources for quotation data from new market centers, effective immediately.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt Listing Rule IM-5101-4April 21, 2026
Nasdaq extends the SEC's review period for a proposed listing rule change regarding IM-5101-4, delaying final Commission action on the rule modification.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-QApril 21, 2026
The SEC requests public comment on extending the information collection requirement for Form N-Q, which registered investment companies must file semiannually to disclose portfolio holdings and performance data.
- Alger Next Gen Growth Fund, et al.April 21, 2026
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- Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 11.240 (Trade Execution, Reporting, and Dissemination of Quotations) To Conform With Amendments to Rules 600 and 603 of Regulation NMS Recently Approved by the Commission That Concern the Reporting and Dissemination of Odd-Lot InformationApril 21, 2026
Investors Exchange amends Rule 11.240 to conform with SEC Regulation NMS changes regarding reporting and dissemination of odd-lot quotation information, effective immediately.
- Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Connectivity ServicesApril 20, 2026
Nasdaq amends fees for connectivity services under self-regulatory organization rules with immediate effectiveness upon filing.
- Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Fees for Certain Connectivity ServicesApril 20, 2026
Nasdaq PHLX LLC amends fees for certain connectivity services under self-regulatory organization rules, effective immediately upon SEC filing.