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Regulatory Actions

Regulatory Actions is an archive of newly published records and notices relevant to this topic area.
Each post is created from source material and is presented in a standardized format to support review and verification.
This site does not provide advice and does not interpret beyond what is stated in the original record.

REGULATORY ACTION 2026-03706: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Add Liquidity Orders

March 1, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

REGULATORY ACTION 2026-03453: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531 To Establish the New Purge Liquidity Taker Event Report

February 28, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

REGULATORY ACTION 2026-03460: Form N-PORT Reporting

February 25, 2026 by O Desk

The Securities and Exchange Commission (the “Commission”) is proposing amendments to reporting requirements on Form N-PORT that apply to certain registe…

Categories Regulatory Actions

REGULATORY ACTION 2026-03426: GreenFi Funds Trust and Mission Investment Advisors LLC

February 24, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

REGULATORY ACTION 2026-03133: 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 Non-Transaction Fees

February 21, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

REGULATORY ACTION 2026-03133: 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 Non-Transaction Fees

February 20, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

REGULATORY ACTION 2026-02864: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15b11-1 and Form BD-N

February 16, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

REGULATORY ACTION 2026-02535: Sunshine Act Meetings

February 13, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

REGULATORY ACTION 2026-02535: Sunshine Act Meetings

February 12, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

REGULATORY ACTION 2026-02228: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Remove the Activity Limit From the GSD Rules

February 8, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions
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  • REGULATORY ACTION 2026-03453: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 531 To Establish the New Purge Liquidity Taker Event Report
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