| Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-17f-2 |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Stellus Capital Investment Corporation, et al. |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-3 |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-22 |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-7 and Form N-MFP |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Cboe Exchange, 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 Permit the Listing of Binary Options Overlying Key Performance Indicators Reported by Certain Issuers of Stock |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 4, Rule 4120 To Set Forth Specific Requirements for Halting and Opening Trading in Exchange-Traded Products During 23/5 Trading |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Amend Rule 410, Rule 101, the Capped Liquidity Facility Procedure, and the Liquidity Risk Management Policy |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A, MIAX Price Improvement Mechanism (“PRIME”) and PRIME Solicitation Mechanism |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule To Modify the Priority Customer Rebate Program Table for Certain Transactions in Complex Orders |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the LTSE Fee Schedule To Add an Incentive Program for Market Makers |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Market-Wide Speed Bump and the Kill Switch |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market-Wide Speed Bump and Kill Switch |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.270 (Clearly Erroneous Executions) in Light of the Commission's Approval of Overnight Protected Bands for 23/5 Trading |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 19.3 and Rule 19.4 To Establish Generic Listing Criteria and Continued Listing Standards for Options on Commodity-Based Trusts Holding Multiple Crypto Assets and To Permit the Listing of Options on Exchange-Traded Funds |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements |
Notice |
2026-10-16 |
Securities and Exchange Commission |
| Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-8B-2 |
Notice |
2026-10-15 |
Securities and Exchange Commission |
| Investment Company Cross Trading |
Proposed Rule |
2026-10-15 |
Securities and Exchange Commission |
| Clearlake Private Markets Fund, et al. |
Notice |
2026-10-15 |
Securities and Exchange Commission |
| RTW Biotech Growth Fund and RTW Investments, LP |
Notice |
2026-10-14 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule by Introducing Step-Up Tier 1 |
Notice |
2026-10-14 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the TXSE Fee Schedule To Modify the Transaction Fee Applicable to Securities Priced at or Above $1.00 That Remove Displayed Liquidity From the TXSE Book |
Notice |
2026-10-14 |
Securities and Exchange Commission |
| Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt a Shared Listings Program on the Exchange |
Notice |
2026-10-14 |
Securities and Exchange Commission |