SEC regulations
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- Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend FINRA Rule 4210 (Margin Requirements) To Replace the Day Trading Margin Provisions With Intraday Margin StandardsApril 17, 2026
FINRA Rule 4210 amendments replace day trading margin provisions with intraday margin standards, effective upon SEC approval for broker-dealer compliance.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 3a-8 Under the Investment Company Act of 1940April 17, 2026
SEC seeks public comment on extending information collection requirements for investment company Rule 3a-8 compliance documentation and reporting.
- Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Regulation 14N and Schedule 14NApril 17, 2026
SEC extends Regulation 14N and Schedule 14N information collection requirements for proxy statements and corporate governance disclosures; comments due 60 days from Federal Register publication.
- Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Quarterly Review of Professional OrdersApril 17, 2026
Nasdaq MRX amends its quarterly professional order review procedures under self-regulatory organization rules, effective immediately upon filing.
- Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(H) of the Investment Advisers Act of 1940April 17, 2026
The SEC intends to cancel investment adviser registrations under Section 203(H) of the Investment Advisers Act of 1940 for advisers meeting specific criteria outlined in the notice.
- Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the CDSClear Risk FrameworkApril 17, 2026
LCH SA proposes updates to its CDSClear risk framework for credit derivatives clearing operations, subject to SEC regulatory review and public comment.
- Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Fee Schedule for All Liquidity Taker Event ReportsApril 17, 2026
MIAX Sapphire amends its fee schedule for liquidity taker event reports, effective immediately upon SEC filing.
- 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 the Fees for All Liquidity Taker Event ReportsApril 17, 2026
MIAX Emerald, LLC amends its options exchange fee schedule to adjust fees for all liquidity taker event reports, effective immediately.
- 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 the Fees for All Liquidity Taker Event ReportsApril 17, 2026
MIAX PEARL amends its options exchange fee schedule to adjust liquidity taker event report fees; the rule change is effective immediately.
- Self-Regulatory Organizations: Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend LTSE Fee Schedule To Modify Transaction FeesApril 17, 2026
Long-Term Stock Exchange amends transaction fees in its fee schedule effective immediately under self-regulatory organization rules.
- Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(c)(11) and Rule 11.13(a)(4)(C)-(D) To Describe the Behavior of Non-Displayed OrdersApril 17, 2026
Cboe BZX Exchange amends trading rules 11.9(c)(11) and 11.13(a)(4)(C)-(D) to clarify how non-displayed orders function in its system.
- Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.6(e)(2) and Rule 11.10(a)(4)(C)-(D) To Describe the Behavior of Orders Containing a Non-Displayed InstructionApril 17, 2026
Cboe EDGA Exchange amends trading rules 11.6(e)(2) and 11.10(a)(4)(C)-(D) to clarify how orders with non-displayed instructions behave on the exchange.
- Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.9(c)(11) and Rule 11.13(a)(4)(C)-(D) To Describe the Behavior of Non-Displayed OrdersApril 17, 2026
Cboe BYX Exchange amends trading rules to clarify how non-displayed orders function within its market structure, effective immediately upon SEC filing.
- Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Establish the CME Securities Clearing Inc. Enterprise Risk Management FrameworkApril 17, 2026
CME Securities Clearing Inc. proposes a new Enterprise Risk Management Framework rule to establish governance and risk oversight procedures for the securities clearing organization.
- Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Options Exchange Fee Schedule for All Liquidity Taker Event ReportsApril 17, 2026
Miami International Securities Exchange amends its options exchange fee schedule for liquidity taker event reports, effective immediately upon filing.