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  1. Home
  2. Regulations
  3. Federal
  4. Page 9

Federal regulations

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  • Recency
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    SECRemove filter: SECClear all
    • Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Eliminate Obsolete References to the Discontinued QIX Proprietary Protocol From The Exchange's Rulebook
      June 23, 2026

      Nasdaq Stock Market eliminates obsolete references to the discontinued QIX Proprietary Protocol from its rulebook in a rule change effective immediately.

    • Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 900.2NY To Require ATP Holders To Review Customer Activity on a Monthly Basis
      June 23, 2026

      NYSE American requires Authorized Trading Permit holders to conduct monthly reviews of customer account activity under amended Rule 900.2NY.

    • Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 1 To Require OTP Holders and OTP Firms To Review Customer Activity on a Monthly Basis
      June 23, 2026

      NYSE Arca amends Rule 1 to require OTP Holders and OTP Firms to conduct monthly reviews of customer activity for compliance monitoring purposes.

    • Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Rule Text Regarding the Now-Completed Tick Size Pilot
      June 23, 2026

      Nasdaq PHLX proposes deleting obsolete rule text from its tick size pilot program, which has concluded.

    • Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.9(d) To Permit an Intermarket Sweep Order (“ISO”) To Be Entered as a Non-Displayed Order and To Establish the Price Level at Which the System Will Consider an ISO Available for Other Orders To Be Entered
      June 23, 2026

      Cboe BYX Exchange proposes amending Rule 11.9(d) to permit intermarket sweep orders as non-displayed orders and establish price-level availability for order entry.

    • Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Settlement Service Guide
      June 23, 2026

      Depository Trust Company amends its Settlement Service Guide to update operational procedures for member institutions and settlement processes.

    • Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.11 Regarding Information Circular Requirements
      June 23, 2026

      Cboe BZX Exchange amends Rule 14.11 to modify information circular requirements for listed securities offerings and related disclosure standards.

    • Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delete Obsolete Rule Text Regarding The Now-Completed Tick Size Pilot
      June 23, 2026

      Nasdaq Texas, LLC deletes obsolete rule text related to the completed tick size pilot program in an immediately effective rule change.

    • Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule To Adopt Rules Related to the Listing and Trading of Closed-End Funds on the Exchange
      June 23, 2026

      Texas Stock Exchange extends its regulatory review period for proposed rules governing closed-end fund listing and trading on the exchange.

    • Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the VanEck JitoSOL ETF Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)
      June 23, 2026

      Nasdaq proposes listing the VanEck JitoSOL ETF as a commodity-based trust share under Rule 5711(d), subject to SEC approval proceedings.

    PreviousPage 9 of 23 (229 total)Next

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