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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 2026-04235: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 204-2

March 8, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

REGULATORY ACTION 2026-04081: Notice of an Application of the 24X National Exchange LLC for a Temporary, Conditional Exemption From Certain Requirements of Rule 602 of Regulation NMS, Certain Requirements of Certain Equity Data Plans, and Section 19(g)(1) of the Securities Exchange Act of 1934, Purs

March 5, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

REGULATORY ACTION 2026-04081: Notice of an Application of the 24X National Exchange LLC for a Temporary, Conditional Exemption From Certain Requirements of Rule 602 of Regulation NMS, Certain Requirements of Certain Equity Data Plans, and Section 19(g)(1) of the Securities Exchange Act of 1934, Purs

March 4, 2026 by O Desk

Source: Federal Register (SEC)

Categories Regulatory Actions

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
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