Fintech Rule Tracker — 2026

2026-05-27

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Adopt Fees Applicable to Trading Options on MXWLD, MXACW, and MXUSA

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the NYSE American Options Fee Schedule To Adopt Fees Applicable to Trading Options on MXWLD, MXACW, and MXUSA
Record Date: 05/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 92.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Introducing a New RPI Add Tier and Amending Its Fee Code Table Applicable to Securities Priced Below $1.00

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Introducing a New RPI Add Tier and Amending Its Fee Code Table Applicable to Securities Priced Below $1.00
Record Date: 05/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 92.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Temporary Rule 7.34-E(T) To Provide for an Overnight Trading Session and To Amend the Hours for the Exchange's Early Trading Session and the Late Trading Session, and To Make Corresponding Changes to Other Rules

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Temporary Rule 7.34-E(T) To Provide for an Overnight Trading Session and To Amend the Hours for the Exchange's Early Trading Session and the Late Trading Session, and To Make Corresponding Changes to Other Rules
Record Date: 05/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 92.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
Record Date: 05/27/2026
Event Classification: award
Age Or Deadline Days: 92.07

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

Title: 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
Record Date: 05/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 92.07

Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change by the Options Clearing Corporation Concerning Amendments to OCC's STANS Methodology Description To Enable OCC To Accept Binary Options for Clearing and Appropriately Manage the Risk Created by Binary Options

Title: Self-Regulatory Organizations; the Options Clearing Corporation; Order Approving Proposed Rule Change by the Options Clearing Corporation Concerning Amendments to OCC's STANS Methodology Description To Enable OCC To Accept Binary Options for Clearing and Appropriately Manage the Risk Created by Binary Options
Record Date: 05/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 92.07

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail

Title: Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Establish Fees for Industry Members Related to Certain Historical Costs of the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 05/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 92.07

2026-05-20

Privacy Act of 1974; System of Records

Title: Privacy Act of 1974; System of Records
Record Date: 05/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 99.07

2026-06-24

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 11.25 To Introduce an Optional, Contingent Instruction Applicable to Periodic Auction Only Orders, Introduce a Time-in-Force of Auction or Cancel, and Make Conforming Changes to Its Periodic Auction Processing Behavior To Support the Proposed Contingent Instruction

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend Rule 11.25 To Introduce an Optional, Contingent Instruction Applicable to Periodic Auction Only Orders, Introduce a Time-in-Force of Auction or Cancel, and Make Conforming Changes to Its Periodic Auction Processing Behavior To Support the Proposed Contingent Instruction
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 64.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.8(c) 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

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.8(c) 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
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 64.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Two Newly Established Feeds, the Order Feed and the Trades Feed

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Two Newly Established Feeds, the Order Feed and the Trades Feed
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 64.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections To Its Rulebook at Equity 4

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Make Technical Corrections To Its Rulebook at Equity 4
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 64.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.8(c) 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

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rule 11.8(c) 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
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 64.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List Certain A.M.-Settled NDX Options

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To List Certain A.M.-Settled NDX Options
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 64.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 22.100 To Allow Market Makers To Submit Immediate-or-Cancel Bulk Message Quotes

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 22.100 To Allow Market Makers To Submit Immediate-or-Cancel Bulk Message Quotes
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 64.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Order Granting Approval of a Proposed Rule Change To Adopt Rules To Permit the Listing and Trading of Certain Exchange-Traded Products

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Order Granting Approval of a Proposed Rule Change To Adopt Rules To Permit the Listing and Trading of Certain Exchange-Traded Products
Record Date: 06/24/2026
Event Classification: award
Age Or Deadline Days: 64.07

Joint Request for Comment on Swap and Security-Based Swap Data Reporting

Title: Joint Request for Comment on Swap and Security-Based Swap Data Reporting
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 64.07

Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance

Title: Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 64.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 64.07

2026-06-17

Equal Credit Opportunity (Regulation B); Special Purpose Credit Programs; Rescission

Title: Equal Credit Opportunity (Regulation B); Special Purpose Credit Programs; Rescission
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 71.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Permit the Listing of A.M.-Settled Options on the S&P 500 Index That Expire on Any Monday, Tuesday, Wednesday, Thursday, or Friday (Other Than the Third Friday-of-the-Month or Days That Coincide With an End-of-Month Expiration) and Expire on the Last Trading Day of the Month

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change To Permit the Listing of A.M.-Settled Options on the S&P 500 Index That Expire on Any Monday, Tuesday, Wednesday, Thursday, or Friday (Other Than the Third Friday-of-the-Month or Days That Coincide With an End-of-Month Expiration) and Expire on the Last Trading Day of the Month
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 71.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Clarifying Language to the Description of Prospective Listing Rights Set Forth in Section 703.12(II)(A) of the NYSE Listed Company Manual

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Add Clarifying Language to the Description of Prospective Listing Rights Set Forth in Section 703.12(II)(A) of the NYSE Listed Company Manual
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 71.07

Joint Industry Plan; Notice of Filing of the Third Amendment to the Limited Liability Company Agreement of CT Plan LLC To Adopt Revenue Allocation Formula Revisions

Title: Joint Industry Plan; Notice of Filing of the Third Amendment to the Limited Liability Company Agreement of CT Plan LLC To Adopt Revenue Allocation Formula Revisions
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 71.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the T. Rowe Price Active Crypto ETF under NYSE Arca Rule 8.201-E (Generic) Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2 Thereto, To List and Trade Shares of the T. Rowe Price Active Crypto ETF under NYSE Arca Rule 8.201-E (Generic) Commodity-Based Trust Shares
Record Date: 06/17/2026
Event Classification: award
Age Or Deadline Days: 71.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 71.07

The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS

Title: The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 71.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-4

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-4
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 71.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation 14A (Commission Rules 14a-1 Through 14a-21 and Schedule 14A)

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation 14A (Commission Rules 14a-1 Through 14a-21 and Schedule 14A)
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 71.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation 14C (Commission Rules 14c-1 through 14c-7 and Schedule 14C)
Record Date: 06/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 71.07

2026-06-10

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Treasury Clearing Service Initial Margin Approach Model Description Document, Treasury Clearing Service Guaranty Fund and Stress Test Approach Model Description Document, and Treasury Clearing Service Risk Parameter Setting and Review Policy

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Treasury Clearing Service Initial Margin Approach Model Description Document, Treasury Clearing Service Guaranty Fund and Stress Test Approach Model Description Document, and Treasury Clearing Service Risk Parameter Setting and Review Policy
Record Date: 06/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 78.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Options Transaction Pricing

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Options Transaction Pricing
Record Date: 06/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 78.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Non-Conforming Ratios

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Non-Conforming Ratios
Record Date: 06/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 78.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Cboe 2 Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGX Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe BYX Exchange, Inc.; Declaration of Effectiveness of the Fingerprint Plan of Cboe Exchange, Inc.; Cboe 2 Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGX Exchange, Inc.; Cboe EDGA Exchange, Inc.; and Cboe BYX Exchange, Inc.

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Cboe 2 Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGX Exchange, Inc.; Cboe EDGA Exchange, Inc.; Cboe BYX Exchange, Inc.; Declaration of Effectiveness of the Fingerprint Plan of Cboe Exchange, Inc.; Cboe 2 Exchange, Inc.; Cboe BZX Exchange, Inc.; Cboe EDGX Exchange, Inc.; Cboe EDGA Exchange, Inc.; and Cboe BYX Exchange, Inc.
Record Date: 06/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 78.07

Ascension Health Alliance; Analysis of Proposed Agreement Containing Consent Orders To Aid Public Comment

Title: Ascension Health Alliance; Analysis of Proposed Agreement Containing Consent Orders To Aid Public Comment
Record Date: 06/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 78.07

2026-06-03

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a)

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a)
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a)

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 13.4(a)
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Sapphire, LLC; Order Approving Proposed Rule Changes Regarding the Adoption of Listing Criteria for Options on Commodity-Based Trusts That Hold Multiple Crypto Assets

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC, MIAX PEARL, LLC, MIAX Sapphire, LLC; Order Approving Proposed Rule Changes Regarding the Adoption of Listing Criteria for Options on Commodity-Based Trusts That Hold Multiple Crypto Assets
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a)
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a)

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Rule 11.26(a)
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; Nasdaq Stock Market LLC; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the iShares Bitcoin Premium Income ETF Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)

Title: Self-Regulatory Organizations; Nasdaq Stock Market LLC; Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the iShares Bitcoin Premium Income ETF Under Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)
Record Date: 06/03/2026
Event Classification: award
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rules 2.220(a)(7) and 11.410(a) To Add Texas Stock Exchange

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rules 2.220(a)(7) and 11.410(a) To Add Texas Stock Exchange
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; Green Impact Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 11.180 and 14.003 To Conform With an Amendment to the Definition of a Round Lot Under Rule 600 of Regulation NMS

Title: Self-Regulatory Organizations; Green Impact Exchange, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rules 11.180 and 14.003 To Conform With an Amendment to the Definition of a Round Lot Under Rule 600 of Regulation NMS
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended by Amendment No. 1, To Extend the Exchange's Trading Hours to 23 Hours per Day, Five Days per Week

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Amended by Amendment No. 1, To Extend the Exchange's Trading Hours to 23 Hours per Day, Five Days per Week
Record Date: 06/03/2026
Event Classification: award
Age Or Deadline Days: 85.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Seventh Amended and Restated Certificate of Incorporation of Intercontinental Exchange, Inc.
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Rescission of Climate-Related Disclosure Rules

Title: Rescission of Climate-Related Disclosure Rules
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Privacy Act of 1974; System of Records

Title: Privacy Act of 1974; System of Records
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15g-2

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15g-2
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-1

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-1
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form S-6, for Registration Under the Securities Act of 1933 of Unit Investment Trusts Registered on Form N-8B-2

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form S-6, for Registration Under the Securities Act of 1933 of Unit Investment Trusts Registered on Form N-8B-2
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 0-2 Under the Investment Company Act of 1940, General Requirements of Papers and Applications

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 0-2 Under the Investment Company Act of 1940, General Requirements of Papers and Applications
Record Date: 06/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 85.07

2026-07-29

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend FINRA Rules 5110 (Corporate Financing Rule-Underwriting Terms and Arrangements) and 5123 (Private Placements of Securities)
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Parts of Its Opening and Closing Auctions

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Certain Parts of Its Opening and Closing Auctions
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Cohen & Steers Realty Shares, Inc., et al.

Title: Cohen & Steers Realty Shares, Inc., et al.
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.8(c) Regarding Intermarket Sweep Orders

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.8(c) Regarding Intermarket Sweep Orders
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Amend the Exchange's Fee Schedule
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 10b-17

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 10b-17
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Treasury Clearing Rules and Treasury Clearing Service Treasury Operations Policies and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Treasury Clearing Rules and Treasury Clearing Service Treasury Operations Policies and Liquidity Risk Management Framework
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.8(c) Regarding Intermarket Sweep Orders

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.8(c) Regarding Intermarket Sweep Orders
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) To Expand the Scope of the Non-Member Affiliate-Principal Transaction Indicator to Also Include Member Affiliates

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change To Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) To Expand the Scope of the Non-Member Affiliate-Principal Transaction Indicator to Also Include Member Affiliates
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c2-1

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c2-1
Record Date: 07/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 29.07

2026-07-22

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-10

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-10
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 613 of Regulation NMS

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 613 of Regulation NMS
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c6-2

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c6-2
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

Herzfeld Credit Income Fund, et al.

Title: Herzfeld Credit Income Fund, et al.
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

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 and Superseded by Amendment No. 1, To Amend Its Rules Related to Binary Options

Title: 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 and Superseded by Amendment No. 1, To Amend Its Rules Related to Binary Options
Record Date: 07/22/2026
Event Classification: award
Age Or Deadline Days: 36.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IEX Rule 16.160 Regarding Information Circular Requirements

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend IEX Rule 16.160 Regarding Information Circular Requirements
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 07/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 36.07

2026-07-15

Order Under Section 36 of the Securities Exchange Act of 1934 (the “Exchange Act”) and Rule 6h-1(d) Thereunder Granting Conditional Exemptive Relief to the Chicago Mercantile Exchange Inc. From the Opening Price Settlement Requirements of Rule 6h-1(b) Under the Exchange Act for Certain Cash-Settled Security Futures

Title: Order Under Section 36 of the Securities Exchange Act of 1934 (the “Exchange Act”) and Rule 6h-1(d) Thereunder Granting Conditional Exemptive Relief to the Chicago Mercantile Exchange Inc. From the Opening Price Settlement Requirements of Rule 6h-1(b) Under the Exchange Act for Certain Cash-Settled Security Futures
Record Date: 07/15/2026
Event Classification: award
Age Or Deadline Days: 43.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1, To Establish a Package of Complimentary Services

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1, To Establish a Package of Complimentary Services
Record Date: 07/15/2026
Event Classification: award
Age Or Deadline Days: 43.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility To Establish the ORF Rate Under the New Methodology for Assessment and Collection of the ORF

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule for Trading on the BOX Options Market LLC Facility To Establish the ORF Rate Under the New Methodology for Assessment and Collection of the ORF
Record Date: 07/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 43.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend its Rules To Permit the Listing of Binary Options Overlying Key Performance Indicators (“KPIs”) Reported by Certain Issuers of Stock (“Binary KPI Options”)

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend its Rules To Permit the Listing of Binary Options Overlying Key Performance Indicators (“KPIs”) Reported by Certain Issuers of Stock (“Binary KPI Options”)
Record Date: 07/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 43.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Review of Professional Orders

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Review of Professional Orders
Record Date: 07/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 43.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Professional To Require Monthly Reviews of Orders

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Professional To Require Monthly Reviews of Orders
Record Date: 07/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 43.07

Churchill Asset Management LLC

Title: Churchill Asset Management LLC
Record Date: 07/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 43.07

2026-07-01

Joint Industry Plan; Order Approving the Fifty-Fifth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, as Modified by Amendment No. 1 Thereto

Title: Joint Industry Plan; Order Approving the Fifty-Fifth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, as Modified by Amendment No. 1 Thereto
Record Date: 07/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 57.07

Joint Industry Plan; Order Approving the Second Amendment to the National Market System Plan Regarding Consolidated Equity Market Data, as Amended by Amendment No. 1 and Modified by the Commission, To Adopt a Fee Schedule

Title: Joint Industry Plan; Order Approving the Second Amendment to the National Market System Plan Regarding Consolidated Equity Market Data, as Amended by Amendment No. 1 and Modified by the Commission, To Adopt a Fee Schedule
Record Date: 07/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 57.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified and Superseded by Amendment No. 1, To Adopt Extended Trading Hours for Eligible Equity and Index Options

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified and Superseded by Amendment No. 1, To Adopt Extended Trading Hours for Eligible Equity and Index Options
Record Date: 07/01/2026
Event Classification: award
Age Or Deadline Days: 57.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Exchange Will Identify Priority Customer Interest on Its Order Book Through OPRA and Its Proprietary Market Data Feeds

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide That the Exchange Will Identify Priority Customer Interest on Its Order Book Through OPRA and Its Proprietary Market Data Feeds
Record Date: 07/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 57.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade Binary Options That Overlie the Mini-S&P 500 Index

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With the Exchange's Plans To List and Trade Binary Options That Overlie the Mini-S&P 500 Index
Record Date: 07/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 57.07

Consolidated Tape Association; Order Approving the Fortieth Substantive Amendment to the Second Restatement of the CTA Plan and Thirty-First Substantive Amendment to the Restated CQ Plan, as Modified by Amendment No. 1 Thereto

Title: Consolidated Tape Association; Order Approving the Fortieth Substantive Amendment to the Second Restatement of the CTA Plan and Thirty-First Substantive Amendment to the Restated CQ Plan, as Modified by Amendment No. 1 Thereto
Record Date: 07/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 57.07

2026-08-26

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various Phlx Rules
Record Date: 08/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 1.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18 Regarding Trading Halts
Record Date: 08/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 1.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18E Regarding Trading Halts

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 7.18E Regarding Trading Halts
Record Date: 08/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 1.07

Order Making Fiscal Year 2027 Annual Adjustments to Registration Fee Rates

Title: Order Making Fiscal Year 2027 Annual Adjustments to Registration Fee Rates
Record Date: 08/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 1.07

ARK Venture Fund and ARK Investment Management LLC

Title: ARK Venture Fund and ARK Investment Management LLC
Record Date: 08/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 1.07

Telemarketing Sales Rule Fees

Title: Telemarketing Sales Rule Fees
Record Date: 08/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 1.07

2026-08-19

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Record Date: 08/19/2026
Event Classification: regulatory-event
Age Or Deadline Days: 8.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of 3x Gold ETF, 3x Silver ETF, 3x Bitcoin ETF, 3x Ether ETF, 3x Crude Oil ETF, and 3x Natural Gas ETF, Each a Series of the VS Trust, Under BZX Rule 14.11(e)(4) (Commodity-Based Trust Shares)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of a Proposed Rule Change To List and Trade Shares of 3x Gold ETF, 3x Silver ETF, 3x Bitcoin ETF, 3x Ether ETF, 3x Crude Oil ETF, and 3x Natural Gas ETF, Each a Series of the VS Trust, Under BZX Rule 14.11(e)(4) (Commodity-Based Trust Shares)
Record Date: 08/19/2026
Event Classification: regulatory-event
Age Or Deadline Days: 8.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 3100 Regarding Trading Halts

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 3100 Regarding Trading Halts
Record Date: 08/19/2026
Event Classification: regulatory-event
Age Or Deadline Days: 8.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4120 Regarding Trading Halts

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Equity 4, Rule 4120 Regarding Trading Halts
Record Date: 08/19/2026
Event Classification: regulatory-event
Age Or Deadline Days: 8.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend a Continued Listing Standard Relating to Beneficial Holders Applicable to Exchange Traded Fund Shares Listed Under Rule 17.104(b)(2)(B)

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend a Continued Listing Standard Relating to Beneficial Holders Applicable to Exchange Traded Fund Shares Listed Under Rule 17.104(b)(2)(B)
Record Date: 08/19/2026
Event Classification: regulatory-event
Age Or Deadline Days: 8.07

2026-08-12

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Trading Permit Holder (“TPH”) Transaction Reporting Duties

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Rules Relating to Trading Permit Holder (“TPH”) Transaction Reporting Duties
Record Date: 08/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 15.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Amend the Exchange's Fee Schedule Applicable to Members To Modify IEX's Incremental Fee Tiers and To Make Organizational Changes to the Fee Schedule in Preparation for the Launch of IEX Options Later This Year

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Amend the Exchange's Fee Schedule Applicable to Members To Modify IEX's Incremental Fee Tiers and To Make Organizational Changes to the Fee Schedule in Preparation for the Launch of IEX Options Later This Year
Record Date: 08/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 15.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Discounted External Distribution Fee for the EDGX Top Feed Available Under the Exchange's Existing Small Retail Broker Distribution Program From $750 per Month to $1,250 per Month

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Discounted External Distribution Fee for the EDGX Top Feed Available Under the Exchange's Existing Small Retail Broker Distribution Program From $750 per Month to $1,250 per Month
Record Date: 08/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 15.07

Source Capital and First Pacific Advisors, LP

Title: Source Capital and First Pacific Advisors, LP
Record Date: 08/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 15.07

Regan Capital Alternative Income Fund, et al.

Title: Regan Capital Alternative Income Fund, et al.
Record Date: 08/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 15.07

2026-08-05

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning the Payment of Interest on Margin Cash

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning the Payment of Interest on Margin Cash
Record Date: 08/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 22.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Cboe Bitcoin U.S. ETF Index Options (“CBTX”) and Cboe Mini Bitcoin U.S. ETF Index Options (“MBTX”) Standard Transaction Fees

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Cboe Bitcoin U.S. ETF Index Options (“CBTX”) and Cboe Mini Bitcoin U.S. ETF Index Options (“MBTX”) Standard Transaction Fees
Record Date: 08/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 22.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Record Date: 08/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 22.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Market-Maker Tier Appointment Fees

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Market-Maker Tier Appointment Fees
Record Date: 08/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 22.07

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA CDS Clear Trade Registration Fund

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA CDS Clear Trade Registration Fund
Record Date: 08/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 22.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options; Correction

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options; Correction
Record Date: 08/05/2026
Event Classification: award
Age Or Deadline Days: 22.07

Macquarie Infrastructure Income Opportunities Fund, et al.

Title: Macquarie Infrastructure Income Opportunities Fund, et al.
Record Date: 08/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 22.07

Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 08/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 22.07

Caremark and Zinc Health Services; Analysis of Proposed Agreement Containing Consent Order To Aid Public Comment

Title: Caremark and Zinc Health Services; Analysis of Proposed Agreement Containing Consent Order To Aid Public Comment
Record Date: 08/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 22.07

2026-05-26

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee
Record Date: 05/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 93.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions
Record Date: 05/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 93.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee
Record Date: 05/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 93.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public)
Record Date: 05/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 93.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee
Record Date: 05/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 93.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Delete the Cabinet Upgrade Fee

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Delete the Cabinet Upgrade Fee
Record Date: 05/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 93.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Treasury Clearing Rules and Treasury Clearing Service Treasury Operations Policies and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Treasury Clearing Rules and Treasury Clearing Service Treasury Operations Policies and Liquidity Risk Management Framework
Record Date: 05/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 93.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Delete the Cabinet Upgrade Fee
Record Date: 05/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 93.07

Registered Offering Reform

Title: Registered Offering Reform
Record Date: 05/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 93.07

2026-06-30

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-28, on Transactions With Employees and Partners of Other Municipal Securities Professionals, To Harmonize and Better Align With FINRA Rule 3210, on Accounts at Other Broker-Dealers and Financial Institutions

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule G-28, on Transactions With Employees and Partners of Other Municipal Securities Professionals, To Harmonize and Better Align With FINRA Rule 3210, on Accounts at Other Broker-Dealers and Financial Institutions
Record Date: 06/30/2026
Event Classification: regulatory-event
Age Or Deadline Days: 58.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 22.3, Market Maker Class Appointments

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 22.3, Market Maker Class Appointments
Record Date: 06/30/2026
Event Classification: regulatory-event
Age Or Deadline Days: 58.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Order Declaring Effective a Minor Rule Violation Plan

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Order Declaring Effective a Minor Rule Violation Plan
Record Date: 06/30/2026
Event Classification: regulatory-event
Age Or Deadline Days: 58.07

Joint Request for Comment on Further Implementation of Portfolio Margining and Cross-Margining of Securities and Derivatives

Title: Joint Request for Comment on Further Implementation of Portfolio Margining and Cross-Margining of Securities and Derivatives
Record Date: 06/30/2026
Event Classification: regulatory-event
Age Or Deadline Days: 58.07

Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 06/30/2026
Event Classification: regulatory-event
Age Or Deadline Days: 58.07

2026-06-23

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

Title: 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
Record Date: 06/23/2026
Event Classification: deadline
Age Or Deadline Days: 65.07

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

Title: 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
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

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)

Title: 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)
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

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

Title: 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
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

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

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Settlement Service Guide
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

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

Title: 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
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

Self-Regulatory Organizations; Cboe BZX 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

Title: Self-Regulatory Organizations; Cboe BZX 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
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation To Amend Its System for Theoretical Analysis and Numerical Simulation Methodology Description To Incorporate Options Implied Interest Rates as an Additional Source of Interest Rates Inputs for Constructing the Interest Rate Discount Curve Used in Options Pricing.

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation To Amend Its System for Theoretical Analysis and Numerical Simulation Methodology Description To Incorporate Options Implied Interest Rates as an Additional Source of Interest Rates Inputs for Constructing the Interest Rate Discount Curve Used in Options Pricing.
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend MSRB Rule G-12(c) To Codify and Retire or Revise Certain Existing Interpretive Guidance on Confirmation Requirements for Those Inter-Dealer Municipal Securities Transactions That are Ineligible for Automated Comparison

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Order Granting Approval of a Proposed Rule Change To Amend MSRB Rule G-12(c) To Codify and Retire or Revise Certain Existing Interpretive Guidance on Confirmation Requirements for Those Inter-Dealer Municipal Securities Transactions That are Ineligible for Automated Comparison
Record Date: 06/23/2026
Event Classification: award
Age Or Deadline Days: 65.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules 2627 And 2628 To Integrate Several Definitions and Concepts From the Amended CTA/CQ Plan, Reorganize Rule 2622, and Make Conforming Changes to Related Rules

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Rules 2627 And 2628 To Integrate Several Definitions and Concepts From the Amended CTA/CQ Plan, Reorganize Rule 2622, and Make Conforming Changes to Related Rules
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

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

Title: 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
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

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

Title: 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
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

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

Title: 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
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

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

Title: 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
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 19b-7 and Form 19b-7

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 19b-7 and Form 19b-7
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

The RBB Fund Trust and Seven Post Investment Office LP

Title: The RBB Fund Trust and Seven Post Investment Office LP
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

Alpha Summit Strategic Alternatives Fund and SteelPeak Wealth, LLC

Title: Alpha Summit Strategic Alternatives Fund and SteelPeak Wealth, LLC
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

Aurobindo and Lannett; Analysis of Proposed Agreement Containing Consent Orders To Aid Public Comment

Title: Aurobindo and Lannett; Analysis of Proposed Agreement Containing Consent Orders To Aid Public Comment
Record Date: 06/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 65.07

Order Granting Conditional Exemptive Relief, Pursuant to Sections 17A and 36(a) of the Securities Exchange Act of 1934, From the Definition of an “Eligible Secondary Market Transaction” in Rule 17ad-22(a)

Title: Order Granting Conditional Exemptive Relief, Pursuant to Sections 17A and 36(a) of the Securities Exchange Act of 1934, From the Definition of an “Eligible Secondary Market Transaction” in Rule 17ad-22(a)
Record Date: 06/23/2026
Event Classification: award
Age Or Deadline Days: 65.07

2026-06-16

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Partial Cabinet Solution Bundles

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Partial Cabinet Solution Bundles
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Partial Cabinet Solution Bundles

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Partial Cabinet Solution Bundles
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Partial Cabinet Solution Bundles

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Partial Cabinet Solution Bundles
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Partial Cabinet Solution Bundles

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Partial Cabinet Solution Bundles
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Partial Cabinet Solution Bundles

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Partial Cabinet Solution Bundles
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Cboe Bitcoin U.S. ETF Index Options (“CBTX”) and Cboe Mini Bitcoin U.S. ETF Index Options (“MBTX”) Standard Transaction Fees

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Cboe Bitcoin U.S. ETF Index Options (“CBTX”) and Cboe Mini Bitcoin U.S. ETF Index Options (“MBTX”) Standard Transaction Fees
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Market-Maker Tier Appointment Fees

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Market-Maker Tier Appointment Fees
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; NYSE Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Section 802.01C of the NYSE Listed Company Manual

Title: Self-Regulatory Organizations; NYSE Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Section 802.01C of the NYSE Listed Company Manual
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, To Amend Section 1003 of the NYSE American Company Guide

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, To Amend Section 1003 of the NYSE American Company Guide
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related To Lead Market Maker Rebates

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule Related To Lead Market Maker Rebates
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Removing the Note Appended to the Member Quoting Tier and MPID Quoting Tier

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Removing the Note Appended to the Member Quoting Tier and MPID Quoting Tier
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To amend Rule 7.35-E

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To amend Rule 7.35-E
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rename “Outcome-Related Options” as “Nasdaq Event Options”

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Rename “Outcome-Related Options” as “Nasdaq Event Options”
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 5711(d) To Modify the Generic Listing Standards for Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Amendment No. 1 and Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 5711(d) To Modify the Generic Listing Standards for Commodity-Based Trust Shares
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Transaction Rebates Applicable to Members of the Exchange

Title: Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Transaction Rebates Applicable to Members of the Exchange
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 8.201-E (Generic) To Modify the Generic Listing Standards for Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 8.201-E (Generic) To Modify the Generic Listing Standards for Commodity-Based Trust Shares
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 72.07

2026-06-09

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 06/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 79.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 06/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 79.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 06/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 79.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 06/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 79.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 06/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 79.07

Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Extension of Eligible Collateral to U.S. Treasury Securities and Related Changes

Title: Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the Extension of Eligible Collateral to U.S. Treasury Securities and Related Changes
Record Date: 06/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 79.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change To Amend Rules 19.3 and 19.4 To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts That Hold Multiple Crypto Assets

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing of a Proposed Rule Change To Amend Rules 19.3 and 19.4 To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts That Hold Multiple Crypto Assets
Record Date: 06/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 79.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Regarding Intrafirm Cabinet Connectivity
Record Date: 06/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 79.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 79.07

2026-06-02

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Allow for Extended Trading of Multi-Listed Equity Options

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Allow for Extended Trading of Multi-Listed Equity Options
Record Date: 06/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 86.07

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 and PRIME Solicitation Mechanism

Title: 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 and PRIME Solicitation Mechanism
Record Date: 06/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 86.07

LibreMax Asset-Backed Income Fund, et al.

Title: LibreMax Asset-Backed Income Fund, et al.
Record Date: 06/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 86.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c1-7

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c1-7
Record Date: 06/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 86.07

Deregistration Under Section 8(f) of the Investment Company Act of 1940

Title: Deregistration Under Section 8(f) of the Investment Company Act of 1940
Record Date: 06/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 86.07

2026-07-28

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Treasury Clearing Service Initial Margin Approach Model Description Document, Treasury Clearing Service Guaranty Fund and Stress Test Approach Model Description Document, and Treasury Clearing Service Risk Parameter Setting and Review Policy

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Treasury Clearing Service Initial Margin Approach Model Description Document, Treasury Clearing Service Guaranty Fund and Stress Test Approach Model Description Document, and Treasury Clearing Service Risk Parameter Setting and Review Policy
Record Date: 07/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 30.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Establish a Rebate for the External Distribution of Real-Time IEX Market Data Products

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Pursuant to IEX Rule 15.110(a) and (c) To Establish a Rebate for the External Distribution of Real-Time IEX Market Data Products
Record Date: 07/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 30.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Data Vendor Program
Record Date: 07/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 30.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail
Record Date: 07/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 30.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.9(d) Regarding Intermarket Sweep Orders

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.9(d) Regarding Intermarket Sweep Orders
Record Date: 07/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 30.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.9(d) Regarding Intermarket Sweep Orders

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Rule 11.9(d) Regarding Intermarket Sweep Orders
Record Date: 07/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 30.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B) To Delay the Opening Auction Under Certain Market Conditions

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, To Amend the Opening Auction Process Provided Under Rule 11.23(b)(2)(B) To Delay the Opening Auction Under Certain Market Conditions
Record Date: 07/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 30.07

Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by the Options Clearing Corporation To Establish a Commercial Paper Program

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by the Options Clearing Corporation To Establish a Commercial Paper Program
Record Date: 07/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 30.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c1-5

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c1-5
Record Date: 07/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 30.07

Petition for Rulemaking of the National Consumers League, Campaign for Fairer Gambling, the National Council for Problem Gambling, the Public Health Advocacy Institute, and Truth in Advertising, Inc.

Title: Petition for Rulemaking of the National Consumers League, Campaign for Fairer Gambling, the National Council for Problem Gambling, the Public Health Advocacy Institute, and Truth in Advertising, Inc.
Record Date: 07/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 30.07

2026-07-21

360 Funds and M3Sixty Capital, LLC

Title: 360 Funds and M3Sixty Capital, LLC
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Initial Schedule of Fees and Rebates Applicable to Members of the Exchange and Adopt a Monthly Membership Fee

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt the Initial Schedule of Fees and Rebates Applicable to Members of the Exchange and Adopt a Monthly Membership Fee
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 4515.01 (Allocations of Orders Made by Investment Advisers)
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Limited Liability Agreement for 24X Bermuda Holdings LLC To Provide for Board Observer Roles

Title: Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Limited Liability Agreement for 24X Bermuda Holdings LLC To Provide for Board Observer Roles
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning the Synthetic Futures Model

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing and Immediate Effectiveness of Proposed Rule Change by The Options Clearing Corporation Concerning the Synthetic Futures Model
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Providing Clearing Services for Fee Grid for the Triparty Collateral Mechanism

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating To Providing Clearing Services for Fee Grid for the Triparty Collateral Mechanism
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified and Superseded by Amendment No. 1, To Amend Rule 4.21 (Series of FLEX Options)

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Approving a Proposed Rule Change, as Modified and Superseded by Amendment No. 1, To Amend Rule 4.21 (Series of FLEX Options)
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change to the Risk Management Model Description for the CDS Clearing Service

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Proposed Rule Change to the Risk Management Model Description for the CDS Clearing Service
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17f-2(e)

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17f-2(e)
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ac3-1 and Form TA-W

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ac3-1 and Form TA-W
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-2

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 31a-2
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

Granting of Requests for Early Termination of the Waiting Period Under the Premerger Notification Rules

Title: Granting of Requests for Early Termination of the Waiting Period Under the Premerger Notification Rules
Record Date: 07/21/2026
Event Classification: award
Age Or Deadline Days: 37.07

Electronic Delivery of Information Under the Federal Securities Laws

Title: Electronic Delivery of Information Under the Federal Securities Laws
Record Date: 07/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 37.07

2026-07-14

VALIC Company I and The Variable Annuity Life Insurance Company

Title: VALIC Company I and The Variable Annuity Life Insurance Company
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

Elevation Series Trust and CresAlta Investment Management, Inc.

Title: Elevation Series Trust and CresAlta Investment Management, Inc.
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

Coatue Innovative Strategies Fund and Coatue Management, L.L.C.

Title: Coatue Innovative Strategies Fund and Coatue Management, L.L.C.
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Quarterly Review of Priority Customer Orders

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Quarterly Review of Priority Customer Orders
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Certain Rule Language Regarding its Handling of Orders and Other Miscellaneous Provisions

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Certain Rule Language Regarding its Handling of Orders and Other Miscellaneous Provisions
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the Treasury Clearing Rules and Treasury Clearing Service Treasury Operations Policies and Liquidity Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the Treasury Clearing Rules and Treasury Clearing Service Treasury Operations Policies and Liquidity Risk Management Framework
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Silexx Logical Port Fee Waiver in the Fee Schedule in Accordance With SEC Exemptive Relief Issued

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Remove the Silexx Logical Port Fee Waiver in the Fee Schedule in Accordance With SEC Exemptive Relief Issued
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Exempt Specified Collective Trust Funds From FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Public Offerings) and 5131(b) (New Issue Allocations and Distributions)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Partial Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, to Exempt Specified Collective Trust Funds From FINRA Rules 5130 (Restrictions on the Purchase and Sale of Initial Public Offerings) and 5131(b) (New Issue Allocations and Distributions)
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Its Complex Order Book Data Feed

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule for Its Complex Order Book Data Feed
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

Self-Regulatory Organizations; The Depository Trust Company; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend the DTC Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services)

Title: Self-Regulatory Organizations; The Depository Trust Company; Suspension of and Order Instituting Proceedings To Determine Whether To Approve or Disapprove the Proposed Rule Change To Amend the DTC Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services)
Record Date: 07/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 44.07

2026-07-07

Policy Statement Concerning the Suppression of Accuracy in Artificial Intelligence Systems

Title: Policy Statement Concerning the Suppression of Accuracy in Artificial Intelligence Systems
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

No Adjustment to Civil Monetary Penalty Amounts

Title: No Adjustment to Civil Monetary Penalty Amounts
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

Goehring & Rozencwajg Investment Funds and Goehring & Rozencwajg Associates, LLC

Title: Goehring & Rozencwajg Investment Funds and Goehring & Rozencwajg Associates, LLC
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Except Accounts Pursuant to Section 530A of the Internal Revenue Code From the Requirements of FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Except Accounts Pursuant to Section 530A of the Internal Revenue Code From the Requirements of FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of a Proposed Rule Change To Amend Rule 903G and 906G

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of a Proposed Rule Change To Amend Rule 903G and 906G
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rules 5.32-O and 5.35-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of a Proposed Rule Change To Amend Rules 5.32-O and 5.35-O
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2900 Regarding Information Circular Requirements

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2900 Regarding Information Circular Requirements
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend Certain Parts of Its Opening and Closing Auctions

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of Amendment No. 1 to a Proposed Rule Change To Amend Certain Parts of Its Opening and Closing Auctions
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

Self-Regulatory Organizations; NYSE American LLC and NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes Concerning the Single Component Concentration Limit of the MSCI Emerging Markets Index

Title: Self-Regulatory Organizations; NYSE American LLC and NYSE Arca, Inc.; Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Changes Concerning the Single Component Concentration Limit of the MSCI Emerging Markets Index
Record Date: 07/07/2026
Event Classification: award
Age Or Deadline Days: 51.07

Granting of Requests for Early Termination of the Waiting Period Under the Premerger Notification Rules

Title: Granting of Requests for Early Termination of the Waiting Period Under the Premerger Notification Rules
Record Date: 07/07/2026
Event Classification: award
Age Or Deadline Days: 51.07

Muzinich Aviation Income Fund (mAIR) and Muzinich & Co., Inc.

Title: Muzinich Aviation Income Fund (mAIR) and Muzinich & Co., Inc.
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adoption of Chicago Mercantile Exchange's Rules Governing Security Futures Product Listing Standards, Adoption of Chicago Mercantile Exchange Inc.'s Rules Governing Security Futures Adjustments, and Adoption of Chicago Mercantile Exchange Inc.'s Rules Governing Cash-Settled Single Stock Security Futures

Title: Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating To Adoption of Chicago Mercantile Exchange's Rules Governing Security Futures Product Listing Standards, Adoption of Chicago Mercantile Exchange Inc.'s Rules Governing Security Futures Adjustments, and Adoption of Chicago Mercantile Exchange Inc.'s Rules Governing Cash-Settled Single Stock Security Futures
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Partial Amendment No. 1 to Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Partial Amendment No. 1 to Proposed Rule Change To Amend FINRA Rule 2210 (Communications With the Public)
Record Date: 07/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 51.07

2026-08-25

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 4759 Regarding Sources of Data Used

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rule 4759 Regarding Sources of Data Used
Record Date: 08/25/2026
Event Classification: regulatory-event
Age Or Deadline Days: 2.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance Certain Aspects of the Activity-Based Risk Controls Applicable to IEX Options Members Set Forth in IEX Rule 22.250, and To Make Conforming and Typo Clean-Up Changes to IEX Rules 22.250 and 22.260

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Enhance Certain Aspects of the Activity-Based Risk Controls Applicable to IEX Options Members Set Forth in IEX Rule 22.250, and To Make Conforming and Typo Clean-Up Changes to IEX Rules 22.250 and 22.260
Record Date: 08/25/2026
Event Classification: regulatory-event
Age Or Deadline Days: 2.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the CDS Instrument On-Boarding Policies and Procedures

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the CDS Instrument On-Boarding Policies and Procedures
Record Date: 08/25/2026
Event Classification: regulatory-event
Age Or Deadline Days: 2.07

Interagency Rescission of the Interagency Statement on Special Purpose Credit Programs Under the Equal Credit Opportunity Act and Regulation B

Title: Interagency Rescission of the Interagency Statement on Special Purpose Credit Programs Under the Equal Credit Opportunity Act and Regulation B
Record Date: 08/25/2026
Event Classification: regulatory-event
Age Or Deadline Days: 2.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 08/25/2026
Event Classification: regulatory-event
Age Or Deadline Days: 2.07

2026-08-18

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Sections 303A.00 and 303A.07 of the NYSE Listed Company Manual

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Sections 303A.00 and 303A.07 of the NYSE Listed Company Manual
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Relating to The Options Clearing Corporation's Proposal To Amend the Evergreen Provisions Relating to Its Revolving Credit Facility

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice Relating to The Options Clearing Corporation's Proposal To Amend the Evergreen Provisions Relating to Its Revolving Credit Facility
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rules 7.31, 7.35, and 7.35B

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rules 7.31, 7.35, and 7.35B
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Amend the Redemptions Service Guide and the Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services)

Title: Self-Regulatory Organizations; The Depository Trust Company; Order Approving Proposed Rule Change To Amend the Redemptions Service Guide and the Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services)
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Amendments to the CMESC Stress Testing & Guaranty Fund Sizing Policy (or the “Policy”) and Proposed Amendments to Rule 402(b)

Title: Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Amendments to the CMESC Stress Testing & Guaranty Fund Sizing Policy (or the “Policy”) and Proposed Amendments to Rule 402(b)
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Enhance the Supplemental Liquidity Deposit Rules, Methodology and Processes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving of Proposed Rule Change To Enhance the Supplemental Liquidity Deposit Rules, Methodology and Processes
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-16

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-16
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form SF-1

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form SF-1
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form SF-3

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form SF-3
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-3(b)

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ad-3(b)
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-1

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-1
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-2

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-2
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-1 and Form NRSRO

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17g-1 and Form NRSRO
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 08/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 9.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To Amend Section 1003 of the NYSE American Company Guide

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Amendment No. 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 4, To Amend Section 1003 of the NYSE American Company Guide
Record Date: 08/18/2026
Event Classification: award
Age Or Deadline Days: 9.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Section 802.01C of the NYSE Listed Company Manual

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, To Amend Section 802.01C of the NYSE Listed Company Manual
Record Date: 08/18/2026
Event Classification: award
Age Or Deadline Days: 9.07

2026-08-11

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations

Title: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Offer Additional Tickets Under the Exchange's Rodeo Program and Re-Open the Application Window for the Rodeo Program; and Permit Sponsored Participants To Participate in the Rodeo Program Together With a Sponsoring Member of the Exchange as Joint Participants

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Offer Additional Tickets Under the Exchange's Rodeo Program and Re-Open the Application Window for the Rodeo Program; and Permit Sponsored Participants To Participate in the Rodeo Program Together With a Sponsoring Member of the Exchange as Joint Participants
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts on the Exchange) To Reflect That IEX Will Not Cancel Outstanding Orders During a Regulatory Halt or Operational Halt in Anticipation of the SIP Implementation of the New Regulatory Halt Rules

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.280 (Limit Up-Limit Down Plan and Trading Halts on the Exchange) To Reflect That IEX Will Not Cancel Outstanding Orders During a Regulatory Halt or Operational Halt in Anticipation of the SIP Implementation of the New Regulatory Halt Rules
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the GSD Rules To Adopt a U.S. Treasury Clearing Trade Submission Requirement

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Modify the GSD Rules To Adopt a U.S. Treasury Clearing Trade Submission Requirement
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 1900, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A Related to PRIME and cPRIME Functionality

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 515A Related to PRIME and cPRIME Functionality
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 3100, Interpretation and Policy .06, To Reduce the Waiting Periods for Retaking FINRA Qualification Examinations
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 3, Note 18

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 3, Note 18
Record Date: 08/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 16.07

2026-08-04

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30b1-8 and Form N-CR

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30b1-8 and Form N-CR
Record Date: 08/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 23.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 2a-7

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 2a-7
Record Date: 08/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 23.07

Yorkville America Investment Trust and Yorkville America Equities, LLC

Title: Yorkville America Investment Trust and Yorkville America Equities, LLC
Record Date: 08/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 23.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FLEX Electronic Options Listing Rules

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FLEX Electronic Options Listing Rules
Record Date: 08/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 23.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Rule 8.23

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Adopt Rule 8.23
Record Date: 08/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 23.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Change To Amend Its Rules To Extend Trading Hours for Certain Eligible Equity Options

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Change To Amend Its Rules To Extend Trading Hours for Certain Eligible Equity Options
Record Date: 08/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 23.07

Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-27 To Exclude Certain Public Finance Activities From Term “Structuring of Public Offerings or Private Placements,” Extend the Length of the Exclusion for Non-Primary Residences From Municipal Branch Office Designation, and Make a Technical Update to the Rule's Title

Title: Self-Regulatory Organizations; Municipal Securities Rulemaking Board; Notice of Filing of a Proposed Rule Change To Amend MSRB Rule G-27 To Exclude Certain Public Finance Activities From Term “Structuring of Public Offerings or Private Placements,” Extend the Length of the Exclusion for Non-Primary Residences From Municipal Branch Office Designation, and Make a Technical Update to the Rule's Title
Record Date: 08/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 23.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FLEX Options Listing Rules

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend FLEX Options Listing Rules
Record Date: 08/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 23.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-19 and Form X-17A-19

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-19 and Form X-17A-19
Record Date: 08/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 23.07

Petition for Rulemaking of Matheus Garcia Pereira

Title: Petition for Rulemaking of Matheus Garcia Pereira
Record Date: 08/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 23.07

2026-05-28

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.40P-O
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 91.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options
Record Date: 05/28/2026
Event Classification: award
Age Or Deadline Days: 91.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 928NYP

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 928NYP
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 91.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 91.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Chapter 8 of the Exchange's Rulebook Relating To Investigative and Disciplinary Matters
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 91.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Options Opening Process

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Update the Options Opening Process
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 91.07

MindSift LLC; Analysis of Proposed Consent Order To Aid Public Comment

Title: MindSift LLC; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 91.07

1010 Digital Works LLC; Analysis of Proposed Consent Order To Aid Public Comment

Title: 1010 Digital Works LLC; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 91.07

CMG Media Corporation; Analysis of Proposed Consent Order To Aid Public Comment

Title: CMG Media Corporation; Analysis of Proposed Consent Order To Aid Public Comment
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 91.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-22

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-22
Record Date: 05/28/2026
Event Classification: regulatory-event
Age Or Deadline Days: 91.07

2026-05-21

The Goldman Sachs Group, Inc.

Title: The Goldman Sachs Group, Inc.
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Rescission of Policy Regarding Denials in Settlements of Enforcement Actions

Title: Rescission of Policy Regarding Denials in Settlements of Enforcement Actions
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Position and Exercise Limits for Options on iShares Bitcoin Trust ETF

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Increase the Position and Exercise Limits for Options on iShares Bitcoin Trust ETF
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.37-E
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Short Term Option Series Program

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Short Term Option Series Program
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Self-Regulatory Organizations; MIAX SAPPHIRE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report

Title: Self-Regulatory Organizations; MIAX SAPPHIRE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Trade-by-Trade Report
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits, and Exchange Rule 309, Exercise Limits, To Increase the Position and Exercise Limits for iShares Bitcoin Trust ETF

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 307, Position Limits, and Exchange Rule 309, Exercise Limits, To Increase the Position and Exercise Limits for iShares Bitcoin Trust ETF
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM's Rules in Connection With a Technology Migration

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend NOM's Rules in Connection With a Technology Migration
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending Section 703.12(II) of the NYSE Listed Company Manual To Expand the Circumstances Under Which Rights May Be Listed on the NYSE

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Order Granting Approval of Proposed Rule Change Amending Section 703.12(II) of the NYSE Listed Company Manual To Expand the Circumstances Under Which Rights May Be Listed on the NYSE
Record Date: 05/21/2026
Event Classification: award
Age Or Deadline Days: 98.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-2

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-2
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies

Title: Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies
Record Date: 05/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 98.07

2026-06-25

Diameter Credit Company, et al.

Title: Diameter Credit Company, et al.
Record Date: 06/25/2026
Event Classification: regulatory-event
Age Or Deadline Days: 63.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Continued Listing Requirement

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Continued Listing Requirement
Record Date: 06/25/2026
Event Classification: regulatory-event
Age Or Deadline Days: 63.07

Technical Amendments to Form X-17A-5 Part IIA

Title: Technical Amendments to Form X-17A-5 Part IIA
Record Date: 06/25/2026
Event Classification: regulatory-event
Age Or Deadline Days: 63.07

Financial Data Transparency Act Joint Data Standards

Title: Financial Data Transparency Act Joint Data Standards
Record Date: 06/25/2026
Event Classification: regulatory-event
Age Or Deadline Days: 63.07

2026-06-18

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 Establish Fees for the Trade-by-Trade Report

Title: 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 Establish Fees for the Trade-by-Trade Report
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

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 Establish Fees for the Trade-by-Trade Report

Title: 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 Establish Fees for the Trade-by-Trade Report
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

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 Establish Fees for the Trade-by-Trade Report

Title: 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 Establish Fees for the Trade-by-Trade Report
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide the Exchange With Explicit Authority To Adjust the Issue Price of a ETP IPO Security for Purposes of Applying the Collar Price Range to an ETP IPO Auction

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Provide the Exchange With Explicit Authority To Adjust the Issue Price of a ETP IPO Security for Purposes of Applying the Collar Price Range to an ETP IPO Auction
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend its Rules Related to Market Makers

Title: Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing of a Proposed Rule Change To Amend its Rules Related to Market Makers
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Amend the Manual Billable Rebate Program and Firm Monthly Fee Cap

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Amend the Manual Billable Rebate Program and Firm Monthly Fee Cap
Record Date: 06/18/2026
Event Classification: regulatory-event
Age Or Deadline Days: 70.07

2026-06-11

Franklin Resources, Inc.

Title: Franklin Resources, Inc.
Record Date: 06/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 77.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Rule 13.003 Related to Proxy Voting

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Rule 13.003 Related to Proxy Voting
Record Date: 06/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 77.07

Self-Regulatory Organizations; Nasdaq Phlx, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Non-Conforming Ratios

Title: Self-Regulatory Organizations; Nasdaq Phlx, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Non-Conforming Ratios
Record Date: 06/11/2026
Event Classification: regulatory-event
Age Or Deadline Days: 77.07

2026-06-04

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide for a Momentary Handoff, Upon the Exchange Commencing Trading of NMS Stocks and Exchange Traded Products

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Provide for a Momentary Handoff, Upon the Exchange Commencing Trading of NMS Stocks and Exchange Traded Products
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the BondBloxx Private Credit Trust Under BZX Rule 14.11(f), Trust Issued Receipts

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To List and Trade Shares of the BondBloxx Private Credit Trust Under BZX Rule 14.11(f), Trust Issued Receipts
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance NSCC's Clearing Fund Methodology

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance NSCC's Clearing Fund Methodology
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 519C, Mass Cancellation of Trading Interest
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Limited Liability Agreement of 24X US Holdings LLC in Connection With a Transaction

Title: Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Limited Liability Agreement of 24X US Holdings LLC in Connection With a Transaction
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Joint Industry Plan; Notice of Filing of the Twenty-Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Establish Temporary Price Band Protections in Overnight Trading

Title: Joint Industry Plan; Notice of Filing of the Twenty-Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Establish Temporary Price Band Protections in Overnight Trading
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 103

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 103
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 203-2 & Form ADV-W

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 203-2 & Form ADV-W
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c3-1

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c3-1
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c2-11

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c2-11
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 8c-1

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 8c-1
Record Date: 06/04/2026
Event Classification: regulatory-event
Age Or Deadline Days: 84.07

2026-07-30

Notice of an Application of the Securities Industry and Financial Markets Association for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 From Certain Conditions of Note H to Exchange Act Rule 15c3-3a

Title: Notice of an Application of the Securities Industry and Financial Markets Association for an Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 From Certain Conditions of Note H to Exchange Act Rule 15c3-3a
Record Date: 07/30/2026
Event Classification: regulatory-event
Age Or Deadline Days: 28.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Nasdaq Rule 5711(d) (Commodity-Based Trust Shares)
Record Date: 07/30/2026
Event Classification: award
Age Or Deadline Days: 28.07

2026-07-23

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend BOX Rule 3060 (Gratuities) To Conform With FINRA Rule 3220

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend BOX Rule 3060 (Gratuities) To Conform With FINRA Rule 3220
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Support Members' Risk Management of and Enhance Their Ability To Authorize Persons as Users

Title: Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change To Support Members' Risk Management of and Enhance Their Ability To Authorize Persons as Users
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Options Regulatory Fee (ORF) Under the New Methodology for Transactions That Occur on the Exchange

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish the Options Regulatory Fee (ORF) Under the New Methodology for Transactions That Occur on the Exchange
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 608

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 608
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c3-3

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c3-3
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 611

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 611
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 206(4)-6

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 206(4)-6
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

Apogem Capital LLC, et al.

Title: Apogem Capital LLC, et al.
Record Date: 07/23/2026
Event Classification: regulatory-event
Age Or Deadline Days: 35.07

2026-07-16

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1210 (Registration Requirements)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend FINRA Rule 1210 (Registration Requirements)
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Professional To Require Monthly Reviews of Orders

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Professional To Require Monthly Reviews of Orders
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Definition of Professional To Require Monthly Reviews of Orders

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Definition of Professional To Require Monthly Reviews of Orders
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Professional To Require Monthly Reviews of Orders

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Definition of Professional To Require Monthly Reviews of Orders
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Options Regulatory Fee (ORF)
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

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 Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes for All Origins

Title: 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 Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes for All Origins
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

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 Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026

Title: 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 Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026
Record Date: 07/16/2026
Event Classification: deadline
Age Or Deadline Days: 42.07

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 Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026

Title: 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 Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026
Record Date: 07/16/2026
Event Classification: deadline
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026

Title: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026
Record Date: 07/16/2026
Event Classification: deadline
Age Or Deadline Days: 42.07

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 Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026

Title: 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 Extend the Temporary Discount Program for Historical Requests of Certain Open-Close Report Data Until December 31, 2026
Record Date: 07/16/2026
Event Classification: deadline
Age Or Deadline Days: 42.07

Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving a Proposed Rule Change Relating to Amendments to Chicago Mercantile Exchange Inc.'s Rules Governing Performance Bond Requirements: Account Holder Level

Title: Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Order Approving a Proposed Rule Change Relating to Amendments to Chicago Mercantile Exchange Inc.'s Rules Governing Performance Bond Requirements: Account Holder Level
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 07/16/2026
Event Classification: regulatory-event
Age Or Deadline Days: 42.07

2026-07-09

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15b9-1

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15b9-1
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ab2-1 and Form CA-1

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17Ab2-1 and Form CA-1
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 20-F

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 20-F
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

Datum One Series Trust and Brandes Investment Partners, L.P.

Title: Datum One Series Trust and Brandes Investment Partners, L.P.
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

Datum One Series Trust and First Sentier Investors (US) LLC

Title: Datum One Series Trust and First Sentier Investors (US) LLC
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

Datum One Series Trust and Polar Capital LLP

Title: Datum One Series Trust and Polar Capital LLP
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.13, Application Process and Waive-In

Title: Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.13, Application Process and Waive-In
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the GSD Rules To Adopt a U.S. Treasury Clearing Trade Submission Requirement

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing of Proposed Rule Change To Modify the GSD Rules To Adopt a U.S. Treasury Clearing Trade Submission Requirement
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA Liquidity Plan

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA Liquidity Plan
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the BondBloxx Private Credit Trust Under BZX Rule 14.11(f), Trust Issued Receipts

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To List and Trade Shares of the BondBloxx Private Credit Trust Under BZX Rule 14.11(f), Trust Issued Receipts
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

Request for Information Regarding Promoting Access to Mortgage Credit

Title: Request for Information Regarding Promoting Access to Mortgage Credit
Record Date: 07/09/2026
Event Classification: regulatory-event
Age Or Deadline Days: 49.07

2026-07-02

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31, Orders and Modifiers

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31, Orders and Modifiers
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31, Orders and Modifiers

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31, Orders and Modifiers
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E, Orders and Modifiers

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31-E, Orders and Modifiers
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.31E, Orders and Modifiers

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Amend Rule 7.31E, Orders and Modifiers
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31. Orders and Modifiers

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.31. Orders and Modifiers
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of a Proposed Rule Change To Amend the Short Term Option Series Program Related to Qualifying Securities

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of a Proposed Rule Change To Amend the Short Term Option Series Program Related to Qualifying Securities
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rules 15Ba1-1 to 15Ba1-8-Registration of Municipal Advisors and Forms MA, MA-I, MA-W, and MA-NR

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rules 15Ba1-1 to 15Ba1-8-Registration of Municipal Advisors and Forms MA, MA-I, MA-W, and MA-NR
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Amend the Redemptions Service Guide and the Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services)

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing of Proposed Rule Amend the Redemptions Service Guide and the Operational Arrangements (Necessary for Securities To Become and Remain Eligible for DTC Services)
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

Request for Comment on Novel ETFs

Title: Request for Comment on Novel ETFs
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 147A(f)(1)(iii) Written Representation as to Purchaser Residency

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 147A(f)(1)(iii) Written Representation as to Purchaser Residency
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 147(f)(1)(iii) Written Representation as to Purchaser Residency

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 147(f)(1)(iii) Written Representation as to Purchaser Residency
Record Date: 07/02/2026
Event Classification: regulatory-event
Age Or Deadline Days: 56.07

2026-08-20

Valued Advisers Trust and Alaia Capital, LLC

Title: Valued Advisers Trust and Alaia Capital, LLC
Record Date: 08/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 7.07

Clearlake Private Markets Fund and Clearlake Capital RIC Management, LLC

Title: Clearlake Private Markets Fund and Clearlake Capital RIC Management, LLC
Record Date: 08/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 7.07

Eagle Point Credit Management LLC and Eagle Point Trinity Senior Secured Lending Company

Title: Eagle Point Credit Management LLC and Eagle Point Trinity Senior Secured Lending Company
Record Date: 08/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 7.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering
Record Date: 08/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 7.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering
Record Date: 08/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 7.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering
Record Date: 08/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 7.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials
Record Date: 08/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 7.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials
Record Date: 08/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 7.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials
Record Date: 08/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 7.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule Regarding Certain Free Trials
Record Date: 08/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 7.07

2026-08-13

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quotation Obligations

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quotation Obligations
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend the Criteria for Underlying Securities

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing of Proposed Rule Change To Amend the Criteria for Underlying Securities
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 14.1 Regarding Information Circular Requirements
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA CaLM Minimum Cash Collateral Requirement and to LCH Liquidity Risk Policy

Title: Self-Regulatory Organizations; LCH SA; Notice of Filing of Proposed Rule Change Relating to the LCH SA CaLM Minimum Cash Collateral Requirement and to LCH Liquidity Risk Policy
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Market Maker Quoting Obligations
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Sections 2 (Customer Rebate Program) and 4 (Multiply Listed Options Fees)

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Sections 2 (Customer Rebate Program) and 4 (Multiply Listed Options Fees)
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

AMG BBH Asset-Backed Credit Fund, LLC, et al.; August 10, 2026.

Title: AMG BBH Asset-Backed Credit Fund, LLC, et al.; August 10, 2026.
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30b1-7 and Form N-MFP

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 30b1-7 and Form N-MFP
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq Texas, LLC, Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, MIAX Sapphire, MEMX LLC, MX2 LLC, and Investors Exchange LLC Concerning Options-Related Market Surveillance

Title: Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2; Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE American LLC, Cboe BZX Exchange, Inc., the Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc., Cboe Exchange, Inc., Nasdaq ISE, LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The Nasdaq Stock Market LLC, BOX Exchange LLC, Nasdaq Texas, LLC, Nasdaq PHLX LLC, Miami International Securities Exchange, LLC, Nasdaq GEMX, LLC, Nasdaq MRX, LLC, MIAX PEARL, LLC, MIAX Emerald, LLC, MIAX Sapphire, MEMX LLC, MX2 LLC, and Investors Exchange LLC Concerning Options-Related Market Surveillance
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Reopening of Comment Period; Notices of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, From Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Requests for Comment

Title: Reopening of Comment Period; Notices of Request for Exemptive Relief, Pursuant to Section 36(a) of the Securities Exchange Act of 1934, From Certain Aspects of Rule 17ad-22(e)(18)(iv) of the Securities Exchange Act of 1934 and Requests for Comment
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 14.07

2026-08-06

Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; NYSEArca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (ORF)
Record Date: 08/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 21.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (ORF)

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (ORF)
Record Date: 08/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 21.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule To Implement a Market Maker/Lead Market Maker Posting Incentive Program for Certain Non-Penny Issues

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule To Implement a Market Maker/Lead Market Maker Posting Incentive Program for Certain Non-Penny Issues
Record Date: 08/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 21.07

Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by The Options Clearing Corporation To Amend Its System for Theoretical Analysis and Numerical Simulation Methodology Description To Incorporate Options Implied Interest Rates as an Additional Source of Interest Rates Inputs for Constructing the Interest Rate Discount Curve Used in Options Pricing

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Order Approving Proposed Rule Change by The Options Clearing Corporation To Amend Its System for Theoretical Analysis and Numerical Simulation Methodology Description To Incorporate Options Implied Interest Rates as an Additional Source of Interest Rates Inputs for Constructing the Interest Rate Discount Curve Used in Options Pricing
Record Date: 08/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 21.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c1-7

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15c1-7
Record Date: 08/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 21.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 35d-1 Under the Investment Company Act of 1940

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 35d-1 Under the Investment Company Act of 1940
Record Date: 08/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 21.07

Privacy Act of 1974; System of Records

Title: Privacy Act of 1974; System of Records
Record Date: 08/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 21.07

Berkshire Partners LLC

Title: Berkshire Partners LLC
Record Date: 08/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 21.07

Investment Company Governance Technical Amendments

Title: Investment Company Governance Technical Amendments
Record Date: 08/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 21.07

2026-06-29

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Exchange's Rules at Options 7, Section 4 (Complex Order Fees and Rebates)

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend The Exchange's Rules at Options 7, Section 4 (Complex Order Fees and Rebates)
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add Texas Stock Exchange LLC as a Participant

Title: Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan To Address Extraordinary Market Volatility To Add Texas Stock Exchange LLC as a Participant
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Superseded by Amendment No. 1 and Modified by Amendment No. 2, To Amend its Rules Relating to Designated Primary Market-Maker Appointments in Global Trading Hours and Curb Sessions

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Superseded by Amendment No. 1 and Modified by Amendment No. 2, To Amend its Rules Relating to Designated Primary Market-Maker Appointments in Global Trading Hours and Curb Sessions
Record Date: 06/29/2026
Event Classification: award
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Structure Related to DJX and RUT FLEX Micro Orders and To Eliminate References to MSCI Index Products

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Structure Related to DJX and RUT FLEX Micro Orders and To Eliminate References to MSCI Index Products
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for its TNO Cross-Connect Service

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for its TNO Cross-Connect Service
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for its TNO Cross-Connect Service

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for its TNO Cross-Connect Service
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for Its TNO Cross-Connect Service

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for Its TNO Cross-Connect Service
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for Its TNO Cross-Connect Service

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for Its TNO Cross-Connect Service
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for Its TNO Cross-Connect Service

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for Its TNO Cross-Connect Service
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for Its TNO Cross-Connect Service

Title: Self-Regulatory Organizations; Nasdaq ISE LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity To Establish Fees for Its TNO Cross-Connect Service
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Rules To Accommodate Stop-Limit Complex Orders and Establish Stop Complex Order Auctions as a New Type of Auction Mechanism

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Its Rules To Accommodate Stop-Limit Complex Orders and Establish Stop Complex Order Auctions as a New Type of Auction Mechanism
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15g-9

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15g-9
Record Date: 06/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 59.07

2026-06-22

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 3-Initial Statement of Beneficial Ownership of Securities

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 3-Initial Statement of Beneficial Ownership of Securities
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Schedule TO

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Schedule TO
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form ID-Application for EDGAR Access

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form ID-Application for EDGAR Access
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 144-Notice of Proposed Sale of Securities Pursuant to Rule 144 Under the Securities Act of 1933

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 144-Notice of Proposed Sale of Securities Pursuant to Rule 144 Under the Securities Act of 1933
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 5-Annual Statement of Beneficial Ownership

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 5-Annual Statement of Beneficial Ownership
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 4-Statement of Changes in Beneficial Ownership of Securities

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form 4-Statement of Changes in Beneficial Ownership of Securities
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Benjamin Partners LLC

Title: Benjamin Partners LLC
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Permit the Listing of A.M.-Settled Options on the Nasdaq-100 Index That Expire on Any Monday, Tuesday, Wednesday, Thursday, or Friday (Other than the Third Friday-of-the-Month or Days That Coincide With an End-of-Month Expiration) and Expire on the Last Trading Day of the Month

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Permit the Listing of A.M.-Settled Options on the Nasdaq-100 Index That Expire on Any Monday, Tuesday, Wednesday, Thursday, or Friday (Other than the Third Friday-of-the-Month or Days That Coincide With an End-of-Month Expiration) and Expire on the Last Trading Day of the Month
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules To Enable the Trading of Securities on the Exchange in Tokenized Form During the Pendency of a Pilot Program To be Operated by the Depository Trust Company

Title: Self-Regulatory Organizations; 24X National Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules To Enable the Trading of Securities on the Exchange in Tokenized Form During the Pendency of a Pilot Program To be Operated by the Depository Trust Company
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Amend Certain Representations Relating to United States Copper Index Fund

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Changes To Amend Certain Representations Relating to United States Copper Index Fund
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules General 8 and Options 7 To Revise Certain Fees

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Exchange Rules General 8 and Options 7 To Revise Certain Fees
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change To Amend Its Rules To Extend Trading Hours for Certain Eligible Equity Options

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing of Proposed Change To Amend Its Rules To Extend Trading Hours for Certain Eligible Equity Options
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing of Proposed Rule Change To Add a New Partial Cabinet Solution Bundle
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation of SR-ISE-2026-04

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Delay the Implementation of SR-ISE-2026-04
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add Texas Stock Exchange LLC as a Participant

Title: Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS To Add Texas Stock Exchange LLC as a Participant
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.31

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 5.31
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 3a-8 Under the Investment Company Act of 1940

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 3a-8 Under the Investment Company Act of 1940
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation 14N and Schedule 14N

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Regulation 14N and Schedule 14N
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 2a-5

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 2a-5
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Agency Information Collection Activities; Proposed OMB Generic Clearance; Comment Request; Generic Clearance for Information Collection Using Voluntary Surveys for Studies Conducted by the Federal Trade Commission Bureau of Economics To Support the FTC's Missions To Protect Consumers and Competition

Title: Agency Information Collection Activities; Proposed OMB Generic Clearance; Comment Request; Generic Clearance for Information Collection Using Voluntary Surveys for Studies Conducted by the Federal Trade Commission Bureau of Economics To Support the FTC's Missions To Protect Consumers and Competition
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 66.07

2026-06-15

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Equities Transaction Pricing

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule Concerning Equities Transaction Pricing
Record Date: 06/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 73.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Certain Parts of Its Opening and Closing Auctions

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Certain Parts of Its Opening and Closing Auctions
Record Date: 06/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 73.07

Self-Regulatory Organizations; Green Impact Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.240 (Trade Reporting and Dissemination of Quotations) To Conform With Amendments to Rules 600 and 603 of Regulation NMS Approved by the Commission That Concern the Reporting and Dissemination of Odd-Lot Information, and an Additional Ministerial Change to Rule 11.220 To Correct a Typographical Error

Title: Self-Regulatory Organizations; Green Impact Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 11.240 (Trade Reporting and Dissemination of Quotations) To Conform With Amendments to Rules 600 and 603 of Regulation NMS Approved by the Commission That Concern the Reporting and Dissemination of Odd-Lot Information, and an Additional Ministerial Change to Rule 11.220 To Correct a Typographical Error
Record Date: 06/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 73.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) To Expand the Scope of the Non-Member Affiliate-Principal Transaction Indicator to Also Include Member Affiliates

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change To Amend the FINRA Rule 6700 Series (Trade Reporting and Compliance Engine) (TRACE) To Expand the Scope of the Non-Member Affiliate-Principal Transaction Indicator to Also Include Member Affiliates
Record Date: 06/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 73.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Removing the Note Appended to the RPI Add Tier

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule by Removing the Note Appended to the RPI Add Tier
Record Date: 06/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 73.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 18.7 and 18.9 To Permit an Increase in Position and Exercise Limits for Options on IBIT

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rules 18.7 and 18.9 To Permit an Increase in Position and Exercise Limits for Options on IBIT
Record Date: 06/15/2026
Event Classification: regulatory-event
Age Or Deadline Days: 73.07

Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rules 610(f) and 612(d) of Regulation NMS, from Compliance With Rule 600(b)(89)(i)(F), Rule 610(c) and Rule 612 of Regulation NMS, as Amended

Title: Order Granting Temporary Exemptive Relief, Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 and Rules 610(f) and 612(d) of Regulation NMS, from Compliance With Rule 600(b)(89)(i)(F), Rule 610(c) and Rule 612 of Regulation NMS, as Amended
Record Date: 06/15/2026
Event Classification: award
Age Or Deadline Days: 73.07

2026-06-08

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice by The Options Clearing Corporation To Establish a Commercial Paper Program

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Advance Notice by The Options Clearing Corporation To Establish a Commercial Paper Program
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Noticing of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Rule IM-5101-4

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Noticing of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt Listing Rule IM-5101-4
Record Date: 06/08/2026
Event Classification: award
Age Or Deadline Days: 80.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.30 (Position Limits), Interpretation and Policy .07, To Increase the Position and Exercise Limits for Options on iShares Bitcoin Trust ETF

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 8.30 (Position Limits), Interpretation and Policy .07, To Increase the Position and Exercise Limits for Options on iShares Bitcoin Trust ETF
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Support Members' Risk Management of and Enhance Their Ability To Authorize Persons as Users

Title: Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Support Members' Risk Management of and Enhance Their Ability To Authorize Persons as Users
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Operational Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the Operational Risk Management Framework
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of a Proposed Rule Change Relating to Amendments to Chicago Mercantile Exchange Inc.'s Rules Governing Performance Bond Requirements: Account Holder Level

Title: Self-Regulatory Organizations; Chicago Mercantile Exchange Inc.; Notice of Filing of a Proposed Rule Change Relating to Amendments to Chicago Mercantile Exchange Inc.'s Rules Governing Performance Bond Requirements: Account Holder Level
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation To Establish a Commercial Paper Program

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation To Establish a Commercial Paper Program
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Privacore PCAAM Alternative Growth Fund, et al.

Title: Privacore PCAAM Alternative Growth Fund, et al.
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

CIFC Direct Lending Evergreen Fund, et al.

Title: CIFC Direct Lending Evergreen Fund, et al.
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Pear Tree Funds and Pear Tree Advisors, Inc.

Title: Pear Tree Funds and Pear Tree Advisors, Inc.
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-16

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 6-K-Exchange Act Rules 13a-16 and 15d-16
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form SF-1

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form SF-1
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form SF-3

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form SF-3
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Statement on Ability To Repay and Immigration Status

Title: Statement on Ability To Repay and Immigration Status
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-2

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-2
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-1 and Form NRSRO

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17g-1 and Form NRSRO
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Investor Form

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Investor Form
Record Date: 06/08/2026
Event Classification: regulatory-event
Age Or Deadline Days: 80.07

2026-06-01

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 102

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 102
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 35d-1 Under the Investment Company Act of 1940

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 35d-1 Under the Investment Company Act of 1940
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-7-Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17a-7-Exemption of Certain Purchase or Sale Transactions Between an Investment Company and Certain Affiliated Persons Thereof
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Clarify That Requests for Mid-Month Subscriptions and Ad-Hoc Historical Requests for Open-Close Data Will Be Prorated

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Clarify That Requests for Mid-Month Subscriptions and Ad-Hoc Historical Requests for Open-Close Data Will Be Prorated
Record Date: 06/01/2026
Event Classification: deadline
Age Or Deadline Days: 87.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Clarify That Requests for Mid-Month Subscriptions and Ad-Hoc Historical Requests for Open-Close Data Will Be Prorated

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Clarify That Requests for Mid-Month Subscriptions and Ad-Hoc Historical Requests for Open-Close Data Will Be Prorated
Record Date: 06/01/2026
Event Classification: deadline
Age Or Deadline Days: 87.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule to Clarify That Requests for Mid-Month Subscriptions and Ad-Hoc Historical Requests for Open-Close Data Will be Prorated

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule to Clarify That Requests for Mid-Month Subscriptions and Ad-Hoc Historical Requests for Open-Close Data Will be Prorated
Record Date: 06/01/2026
Event Classification: deadline
Age Or Deadline Days: 87.07

Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change to Establish the CME Securities Clearing Inc. Enterprise Risk Management Framework

Title: Self-Regulatory Organizations; CME Securities Clearing Inc.; Order Approving Proposed Rule Change to Establish the CME Securities Clearing Inc. Enterprise Risk Management Framework
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change of Amendments to the Rule 8000 and Rule 9000 Series

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change of Amendments to the Rule 8000 and Rule 9000 Series
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rule 10.8000 and Rule 10.9000 Series

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to Rule 10.8000 and Rule 10.9000 Series
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Concerning NSCC's Ability To Support Industry Efforts To Extend Trading Hours for the U.S. Equity Markets

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change Concerning NSCC's Ability To Support Industry Efforts To Extend Trading Hours for the U.S. Equity Markets
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Rule 10.8000 and Rule 10.9000 Series

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Rule 10.8000 and Rule 10.9000 Series
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Rule 10.8000 and Rule 10.9000 Series

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change of Amendments to the Rule 10.8000 and Rule 10.9000 Series
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

Holding Foreign Insiders Accountable Act Disclosure; Correction

Title: Holding Foreign Insiders Accountable Act Disclosure; Correction
Record Date: 06/01/2026
Event Classification: regulatory-event
Age Or Deadline Days: 87.07

2026-07-27

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-11

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-11
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 10c-1a

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 10c-1a
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Section 4 (Complex Order Fees and Rebates)

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Section 4 (Complex Order Fees and Rebates)
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Its Exchange Designated Complex Instruments (“EDCI”) Feed

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Establish Fees for Its Exchange Designated Complex Instruments (“EDCI”) Feed
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 and Rule 18.110 Regarding the General Securities Sales Supervisor Registration Category and the Corresponding Series 9/10 Qualification Examination; and Amend Rule 2.160 Regarding the Description of the Regulatory Element Continuing Education Requirements

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 2.160 and Rule 18.110 Regarding the General Securities Sales Supervisor Registration Category and the Corresponding Series 9/10 Qualification Examination; and Amend Rule 2.160 Regarding the Description of the Regulatory Element Continuing Education Requirements
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Connectivity Fees

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Connectivity Fees
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Monthly Fees for Its Proprietary Market Data Feeds

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Monthly Fees for Its Proprietary Market Data Feeds
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Continued Listing Requirement

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, To Adopt a New Continued Listing Requirement
Record Date: 07/27/2026
Event Classification: award
Age Or Deadline Days: 31.07

ETF Opportunities Trust and Hedgeye Asset Management, LLC

Title: ETF Opportunities Trust and Hedgeye Asset Management, LLC
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 13f-2-Short Position and Short Activity Reporting by Institutional Investment Managers

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 13f-2-Short Position and Short Activity Reporting by Institutional Investment Managers
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c1-6

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 15c1-6
Record Date: 07/27/2026
Event Classification: regulatory-event
Age Or Deadline Days: 31.07

2026-07-20

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Operational Risk Management Framework

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Operational Risk Management Framework
Record Date: 07/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 38.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.8-O To Increase Position and Exercise Limits for Options on iShares Bitcoin Trust ETF

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 6.8-O To Increase Position and Exercise Limits for Options on iShares Bitcoin Trust ETF
Record Date: 07/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 38.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the FINRA Rule 6300 Series (Trade Reporting Facilities) To Extend the Trade Reporting Facilities Operating Hours to 23 Hours Per Day, Five Days Per Week

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the FINRA Rule 6300 Series (Trade Reporting Facilities) To Extend the Trade Reporting Facilities Operating Hours to 23 Hours Per Day, Five Days Per Week
Record Date: 07/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 38.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 101 of Regulation M

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 101 of Regulation M
Record Date: 07/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 38.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-4(b)(17)

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17a-4(b)(17)
Record Date: 07/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 38.07

Modernization of Delegations of Authority to Commission Staff

Title: Modernization of Delegations of Authority to Commission Staff
Record Date: 07/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 38.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 07/20/2026
Event Classification: regulatory-event
Age Or Deadline Days: 38.07

2026-07-13

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-10, Form N-RN

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 30b1-10, Form N-RN
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 15F

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 15F
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 2-E, Report Pursuant to Rule 609 and Regulation E

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form 2-E, Report Pursuant to Rule 609 and Regulation E
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Self-Regulatory Organizations: Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, To Amend the Quarterly Review of Professional Interest Orders

Title: Self-Regulatory Organizations: Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, To Amend the Quarterly Review of Professional Interest Orders
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 Regarding Regulatory Halts for Corporate Actions and Issuer-Related Events

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 4120 Regarding Regulatory Halts for Corporate Actions and Issuer-Related Events
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Permit VIX Future-Option Orders

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Permit VIX Future-Option Orders
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedule

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to ICC's Fee Schedule
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.18-E Regarding Regulatory Halts for Corporate Actions and Issuer-Related Events

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.18-E Regarding Regulatory Halts for Corporate Actions and Issuer-Related Events
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Quarterly Review of Professional Interest Orders

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Quarterly Review of Professional Interest Orders
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
Record Date: 07/13/2026
Event Classification: award
Age Or Deadline Days: 45.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Clarify Language Regarding Certain Free Trials

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fee Schedule To Clarify Language Regarding Certain Free Trials
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, To Amend the Quarterly Review of Professional Interest Orders

Title: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 100, Definitions, To Amend the Quarterly Review of Professional Interest Orders
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the CDS Instrument On-Boarding Policies and Procedures

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Notice of Filing of Proposed Rule Change Relating to the CDS Instrument On-Boarding Policies and Procedures
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

Dawson Private Markets Evergreen Fund, et al.

Title: Dawson Private Markets Evergreen Fund, et al.
Record Date: 07/13/2026
Event Classification: regulatory-event
Age Or Deadline Days: 45.07

2026-07-06

Blue Tractor ETF Trust, et al.

Title: Blue Tractor ETF Trust, et al.
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 0-1 Under the Investment Company Act of 1940, Definition of Terms Used in This Part

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 0-1 Under the Investment Company Act of 1940, Definition of Terms Used in This Part
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 6e-2 and Form N-6EI-1

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 6e-2 and Form N-6EI-1
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by To Amend the By-Laws To Establish the Role of Observers

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by To Amend the By-Laws To Establish the Role of Observers
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Policy Relating to the Exchange's Treatment of Trade Reports

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt a Policy Relating to the Exchange's Treatment of Trade Reports
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the By-Laws To Establish the Role of Observers

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the By-Laws To Establish the Role of Observers
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance the Supplemental Liquidity Deposit Rules, Methodology and Processes

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Enhance the Supplemental Liquidity Deposit Rules, Methodology and Processes
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Review of Professional Orders

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Review of Professional Orders
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Initial and Continued Listing Standards

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Certain Initial and Continued Listing Standards
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend a Continued Listing Standard Relating to Beneficial Holders Applicable to ETF Shares Listed on the Exchange Under Rule 17.104(b)(2)(B)

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend a Continued Listing Standard Relating to Beneficial Holders Applicable to ETF Shares Listed on the Exchange Under Rule 17.104(b)(2)(B)
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 4321 (Allocations of Fail To Deliver Positions) and Amend FINRA Rule 4560 (Short-Interest Reporting)

Title: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Adopt FINRA Rule 4321 (Allocations of Fail To Deliver Positions) and Amend FINRA Rule 4560 (Short-Interest Reporting)
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Connectivity Fee Schedule
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule Regarding Fees and Rebates Applicable to Manual Transactions
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

Manulife Investment Management Private Markets (US) LLC; Manulife Employee Securities Company 2025, L.P.

Title: Manulife Investment Management Private Markets (US) LLC; Manulife Employee Securities Company 2025, L.P.
Record Date: 07/06/2026
Event Classification: regulatory-event
Age Or Deadline Days: 52.07

2026-08-24

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 31a-4

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 31a-4
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Pender Real Estate Credit Fund, et al.

Title: Pender Real Estate Credit Fund, et al.
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Internal Cross-Reference Error in Rule 23.150

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Correct an Internal Cross-Reference Error in Rule 23.150
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Exchange's Fee Schedule
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With Binary Options That Overlie the Mini-S&P 500 Index

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Update Its Fees Schedule in Connection With Binary Options That Overlie the Mini-S&P 500 Index
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule To Eliminate Customer and Professional Customer Fees and Introduce a Floor Broker Incentive for Trading in Certain MSCI Related Index Options

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE Arca Options Fee Schedule To Eliminate Customer and Professional Customer Fees and Introduce a Floor Broker Incentive for Trading in Certain MSCI Related Index Options
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 5.32-O and 5.35-O

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 5.32-O and 5.35-O
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 903G and 906G

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rules 903G and 906G
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 433

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 433
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 163

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 163
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17f-1

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Rule 17f-1
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-54A

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-54A
Record Date: 08/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 3.07

2026-08-17

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Its Fees Schedule
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules To Establish a Procedures-Based Approach for Determining Product Eligibility During Overnight or Extended Trading Sessions Utilizing Its Current ETH Risk Management Framework

Title: Self-Regulatory Organizations; The Options Clearing Corporation; Notice of Filing of Proposed Rule Change by The Options Clearing Corporation Concerning Amendments to Its Rules To Establish a Procedures-Based Approach for Determining Product Eligibility During Overnight or Extended Trading Sessions Utilizing Its Current ETH Risk Management Framework
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend its Fee Schedule
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

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 Certain Volume Thresholds for the Priority Customer Rebate Program

Title: 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 Certain Volume Thresholds for the Priority Customer Rebate Program
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Amend Fees and Rebates for Professional Customer Orders for QCC and cQCC Transactions, and Establish a Tiered Fee Structure for Away Market Maker Facilitation of Customer QFOs or cQFOs

Title: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Amend Fees and Rebates for Professional Customer Orders for QCC and cQCC Transactions, and Establish a Tiered Fee Structure for Away Market Maker Facilitation of Customer QFOs or cQFOs
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

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 Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes for Certain Origins

Title: 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 Certain Fees and Rebates Applicable to Transactions in Non-Penny Classes for Certain Origins
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Amend the Short Term Option Series Program Related to Qualifying Securities

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Order Approving a Proposed Rule Change To Amend the Short Term Option Series Program Related to Qualifying Securities
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Regarding the Routing Fee Table

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule Regarding the Routing Fee Table
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule Regarding the Routing Fee Table

Title: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule Regarding the Routing Fee Table
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

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 Regarding the Routing Fee Table

Title: 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 Regarding the Routing Fee Table
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

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 Regarding the Routing Fee Table

Title: 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 Regarding the Routing Fee Table
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Stone Point Credit Income Fund and Stone Point Credit Income Adviser LLC

Title: Stone Point Credit Income Fund and Stone Point Credit Income Adviser LLC
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Elevation Series Trust and Norris Perné and French LLP

Title: Elevation Series Trust and Norris Perné and French LLP
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-2

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-2
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Northern Lights Fund Trust and Ocean Park Asset Management, LLC

Title: Northern Lights Fund Trust and Ocean Park Asset Management, LLC
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

Parvin Decentralized Fund and Parvin Fund Management, LLC

Title: Parvin Decentralized Fund and Parvin Fund Management, LLC
Record Date: 08/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 10.07

2026-08-10

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-17f-2

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-17f-2
Record Date: 08/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 17.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-8B-2

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-8B-2
Record Date: 08/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 17.07

Joint Industry Plan; Order Granting Approval of the Twenty-Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Establish Temporary Price Band Protections in Overnight Trading

Title: Joint Industry Plan; Order Granting Approval of the Twenty-Seventh Amendment to the National Market System Plan To Address Extraordinary Market Volatility To Establish Temporary Price Band Protections in Overnight Trading
Record Date: 08/10/2026
Event Classification: award
Age Or Deadline Days: 17.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 8b-1 to 8b-5; 8b-10 to 8b-22; and 8b-25 to 8b-31

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 8b-1 to 8b-5; 8b-10 to 8b-22; and 8b-25 to 8b-31
Record Date: 08/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 17.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 17.07

2026-08-03

Baillie Giffords Funds, et al.

Title: Baillie Giffords Funds, et al.
Record Date: 08/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 24.07

In the Matter of Nasdaq PHLX LLC; Order Granting Petition for Review and Scheduling Filing of Statements Regarding an Order Approving, on an Accelerated Basis, a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options

Title: In the Matter of Nasdaq PHLX LLC; Order Granting Petition for Review and Scheduling Filing of Statements Regarding an Order Approving, on an Accelerated Basis, a Proposed Rule Change, as Modified by Amendment No. 1, To List and Trade Nasdaq Bitcoin Index Options
Record Date: 08/03/2026
Event Classification: award
Age Or Deadline Days: 24.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq General 4, Rule 1210

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Nasdaq General 4, Rule 1210
Record Date: 08/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 24.07

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend its Rules Related to Market Makers

Title: Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend its Rules Related to Market Makers
Record Date: 08/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 24.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing, and Order Granting Accelerated Approval of, a Proposed Rule Change To Amend Rule 14.11(e)(4) (Commodity-Based Trust Shares)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing, and Order Granting Accelerated Approval of, a Proposed Rule Change To Amend Rule 14.11(e)(4) (Commodity-Based Trust Shares)
Record Date: 08/03/2026
Event Classification: award
Age Or Deadline Days: 24.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Timeframe of a Recent Rule Filing

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Implementation Timeframe of a Recent Rule Filing
Record Date: 08/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 24.07

Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts

Title: Self-Regulatory Organizations; ICE Clear Credit LLC; Order Approving Proposed Rule Change Relating to the Clearance of Additional Credit Default Swap Contracts
Record Date: 08/03/2026
Event Classification: award
Age Or Deadline Days: 24.07

Sunshine Act Meetings

Title: Sunshine Act Meetings
Record Date: 08/03/2026
Event Classification: regulatory-event
Age Or Deadline Days: 24.07

2026-05-29

Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the CDSClear Risk Framework

Title: Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the CDSClear Risk Framework
Record Date: 05/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 90.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing of Proposed Rule Change To Establish a Package of Complimentary Services

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing of Proposed Rule Change To Establish a Package of Complimentary Services
Record Date: 05/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 90.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the T. Rowe Price Active Crypto ETF Under NYSE Arca Rule 8.201-E (Generic) Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Designation of a Longer Period for Commission Action on Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, To List and Trade Shares of the T. Rowe Price Active Crypto ETF Under NYSE Arca Rule 8.201-E (Generic) Commodity-Based Trust Shares
Record Date: 05/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 90.07

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Establish a Firm Fee Cap

Title: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the MIAX Sapphire Options Exchange Fee Schedule To Establish a Firm Fee Cap
Record Date: 05/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 90.07

Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.4, Mandatory Participation in Testing of Backup Systems

Title: Self-Regulatory Organizations; MX2 LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 2.4, Mandatory Participation in Testing of Backup Systems
Record Date: 05/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 90.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Exchange Act Form 10-K

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Exchange Act Form 10-K
Record Date: 05/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 90.07

JPMorgan Public and Private Credit Fund, et al.

Title: JPMorgan Public and Private Credit Fund, et al.
Record Date: 05/29/2026
Event Classification: regulatory-event
Age Or Deadline Days: 90.07

Paxos Securities Settlement Company, LLC; Order Granting an Application for Temporary Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934

Title: Paxos Securities Settlement Company, LLC; Order Granting an Application for Temporary Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Record Date: 05/29/2026
Event Classification: award
Age Or Deadline Days: 90.07

2026-05-22

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Position and Exercise Limit Rules

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Position and Exercise Limit Rules
Record Date: 05/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 97.07

Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services)

Title: Self-Regulatory Organizations; The Depository Trust Company; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the DTC Operational Arrangements (Necessary for Securities to Become and Remain Eligible for DTC Services)
Record Date: 05/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 97.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Position and Exercise Limits Rules

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Position and Exercise Limits Rules
Record Date: 05/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 97.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fee Schedule Applicable to Members Concerning Equities Transaction Pricing

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Fee Schedule Applicable to Members Concerning Equities Transaction Pricing
Record Date: 05/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 97.07

Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3120 To Increase the Position and Exercise Limits for Options on the iShares Bitcoin Trust ETF

Title: Self-Regulatory Organizations; BOX Exchange LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 3120 To Increase the Position and Exercise Limits for Options on the iShares Bitcoin Trust ETF
Record Date: 05/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 97.07

Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail To Add Texas Stock Exchange LLC as a Participant

Title: Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan Governing the Consolidated Audit Trail To Add Texas Stock Exchange LLC as a Participant
Record Date: 05/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 97.07

Keystone Private Income Fund, et al.

Title: Keystone Private Income Fund, et al.
Record Date: 05/22/2026
Event Classification: regulatory-event
Age Or Deadline Days: 97.07

Order Granting Additional Directors and Officers of Certain Foreign Private Issuers an Exemption From the Filing Requirements of Section 16(a) of the Exchange Act

Title: Order Granting Additional Directors and Officers of Certain Foreign Private Issuers an Exemption From the Filing Requirements of Section 16(a) of the Exchange Act
Record Date: 05/22/2026
Event Classification: award
Age Or Deadline Days: 97.07

2026-06-26

Nilsine Partners NP1X Fund and Nilsine Partners, LLC

Title: Nilsine Partners NP1X Fund and Nilsine Partners, LLC
Record Date: 06/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 62.07

Third Lake Partners Alternative Yield Strategy Fund and Third Lake Partners, LLC

Title: Third Lake Partners Alternative Yield Strategy Fund and Third Lake Partners, LLC
Record Date: 06/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 62.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-Q

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-Q
Record Date: 06/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 62.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-PX

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form N-PX
Record Date: 06/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 62.07

Submission for OMB Review; Comment Request; Extension: Rule 30e-1

Title: Submission for OMB Review; Comment Request; Extension: Rule 30e-1
Record Date: 06/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 62.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17Ad-27

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 17Ad-27
Record Date: 06/26/2026
Event Classification: regulatory-event
Age Or Deadline Days: 62.07

2026-06-12

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 11.5310 (Best Execution)

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 11.5310 (Best Execution)
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 11.5310 (Best Execution)

Title: Self-Regulatory Organizations; NYSE National, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 11.5310 (Best Execution)
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 11.5310 (Best Execution)

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 11.5310 (Best Execution)
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 and 5

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4 and 5
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 3
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service

Title: Self-Regulatory Organizations; Cboe EDGA Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Adopt Fees for Its New Clock Service
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Sections 2, 5 and 9B

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Sections 2, 5 and 9B
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 5310 (Best Execution)

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt New Rule 5310 (Best Execution)
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule General 8 Connectivity
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

Bluerock Private Real Estate Fund, et al.

Title: Bluerock Private Real Estate Fund, et al.
Record Date: 06/12/2026
Event Classification: regulatory-event
Age Or Deadline Days: 76.07

2026-06-05

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4.21 (Series of FLEX Options)

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Rule 4.21 (Series of FLEX Options)
Record Date: 06/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 83.07

Self-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Sections 1003 and 1009 of the NYSE American Company Guide

Title: Self-Regulatory Organizations; NYSE American LLC; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change To Amend Sections 1003 and 1009 of the NYSE American Company Guide
Record Date: 06/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 83.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Implementation Date of the Change To Provide Origin Code in the Liquidity Seeking Event Notification Messages on the Administrative Information Subscriber (“AIS”) Feed

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Implementation Date of the Change To Provide Origin Code in the Liquidity Seeking Event Notification Messages on the Administrative Information Subscriber (“AIS”) Feed
Record Date: 06/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 83.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend It Rules Related to Binary Options

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend It Rules Related to Binary Options
Record Date: 06/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 83.07

DNP Select Income Fund Inc., et al.

Title: DNP Select Income Fund Inc., et al.
Record Date: 06/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 83.07

World Funds Trust and LDR Capital Management, LLC

Title: World Funds Trust and LDR Capital Management, LLC
Record Date: 06/05/2026
Event Classification: regulatory-event
Age Or Deadline Days: 83.07

2026-07-31

Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35 (Auctions) for ETP IPO Securities

Title: Self-Regulatory Organizations; NYSE Texas, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 7.35 (Auctions) for ETP IPO Securities
Record Date: 07/31/2026
Event Classification: regulatory-event
Age Or Deadline Days: 27.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Nasdaq TotalView Plus and Nasdaq Basic Plus Data Feeds

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Nasdaq TotalView Plus and Nasdaq Basic Plus Data Feeds
Record Date: 07/31/2026
Event Classification: regulatory-event
Age Or Deadline Days: 27.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Nasdaq Totalview Plus and Nasdaq Basic Plus Data Feeds

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Nasdaq Totalview Plus and Nasdaq Basic Plus Data Feeds
Record Date: 07/31/2026
Event Classification: regulatory-event
Age Or Deadline Days: 27.07

Self-Regulatory Organizations; NYSE Arca, 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 NYSE Arca Rule 8.201-E (Generic) Commodity-Based Trust Shares

Title: Self-Regulatory Organizations; NYSE Arca, 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 NYSE Arca Rule 8.201-E (Generic) Commodity-Based Trust Shares
Record Date: 07/31/2026
Event Classification: award
Age Or Deadline Days: 27.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various NTX Options Rules

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Various NTX Options Rules
Record Date: 07/31/2026
Event Classification: regulatory-event
Age Or Deadline Days: 27.07

Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Nasdaq TotalView Plus and Nasdaq Basic Plus Data Feeds

Title: Self-Regulatory Organizations; Nasdaq Texas, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce Nasdaq TotalView Plus and Nasdaq Basic Plus Data Feeds
Record Date: 07/31/2026
Event Classification: regulatory-event
Age Or Deadline Days: 27.07

VALIC Company I and The Variable Annuity Life Insurance Company

Title: VALIC Company I and The Variable Annuity Life Insurance Company
Record Date: 07/31/2026
Event Classification: regulatory-event
Age Or Deadline Days: 27.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Exchange Act Form 10-K

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Exchange Act Form 10-K
Record Date: 07/31/2026
Event Classification: regulatory-event
Age Or Deadline Days: 27.07

2026-07-24

Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 13.003 Related to Proxy Voting

Title: Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Amend Exchange Rule 13.003 Related to Proxy Voting
Record Date: 07/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 34.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rules 971.1NYP and 971.2NYP To Allow FLEX Options To Trade in Its CUBE Auction for Single-Leg and Complex Orders

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Modify Rules 971.1NYP and 971.2NYP To Allow FLEX Options To Trade in Its CUBE Auction for Single-Leg and Complex Orders
Record Date: 07/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 34.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Rules 19.3 and 19.4 To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts That Hold Multiple Crypto Assets

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Amend Rules 19.3 and 19.4 To Establish Listing Criteria and Withdrawal Standards for Options on Commodity-Based Trusts That Hold Multiple Crypto Assets
Record Date: 07/24/2026
Event Classification: award
Age Or Deadline Days: 34.07

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190 to Permit Trading of Pegged Orders During Pre-Market and Post-Market Sessions

Title: Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 11.190 to Permit Trading of Pegged Orders During Pre-Market and Post-Market Sessions
Record Date: 07/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 34.07

Cboe Clear U.S., LLC; Notice of Filing of an Application, as Amended, for Temporary Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934

Title: Cboe Clear U.S., LLC; Notice of Filing of an Application, as Amended, for Temporary Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
Record Date: 07/24/2026
Event Classification: regulatory-event
Age Or Deadline Days: 34.07

2026-07-17

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.23

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Exchange Rule 11.23
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance NSCC's Clearing Fund Methodology

Title: Self-Regulatory Organizations; National Securities Clearing Corporation; Order Approving Proposed Rule Change To Enhance NSCC's Clearing Fund Methodology
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)

Title: Self-Regulatory Organizations; Cboe Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)

Title: Self-Regulatory Organizations; Cboe C2 Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List

Title: Self-Regulatory Organizations; New York Stock Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Its Price List
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Fee Schedule
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the NYSE Arca Equities Fees and Charges
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204, Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification

Title: Self-Regulatory Organizations; MIAX Emerald, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204, Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204, Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification

Title: Self-Regulatory Organizations; Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204, Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204. Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification

Title: Self-Regulatory Organizations; MIAX PEARL, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204. Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204, Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification

Title: Self-Regulatory Organizations; MIAX Sapphire, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 100, Definitions, and Rule 204, Members and Persons Associated With a Member Who Are or Become Subject to a Statutory Disqualification
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Section 4, Multiply Listed Options Fees

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the PHLX Pricing Schedule at Options 7, Section 4, Multiply Listed Options Fees
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 7, Section 4
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fourth Amendment to the Limited Liability Company Agreement of CT Plan LLC

Title: Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Fourth Amendment to the Limited Liability Company Agreement of CT Plan LLC
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)

Title: Self-Regulatory Organizations; Cboe EDGX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend the Options Regulatory Fee (“ORF”)
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Cliffwater Corporate Lending Fund, et al.

Title: Cliffwater Corporate Lending Fund, et al.
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15b6-1 and Form BDW

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15b6-1 and Form BDW
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Kennedy Lewis Capital Company, et al.

Title: Kennedy Lewis Capital Company, et al.
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 904 and Rule 905 To Increase Position and Exercise Limits for Options on iShares Bitcoin Trust ETF

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Rule 904 and Rule 905 To Increase Position and Exercise Limits for Options on iShares Bitcoin Trust ETF
Record Date: 07/17/2026
Event Classification: regulatory-event
Age Or Deadline Days: 41.07

2026-07-10

Self-Regulatory Organizations: Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC Amend Rule 612, Aggregate Risk Manager (ARM), To Adopt a New Origin Multiplier To Be Used When Calculating a Market Maker's Option Percentage

Title: Self-Regulatory Organizations: Miami International Securities Exchange, LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC Amend Rule 612, Aggregate Risk Manager (ARM), To Adopt a New Origin Multiplier To Be Used When Calculating a Market Maker's Option Percentage
Record Date: 07/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 48.07

Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend LTSE Rule 11.410(a) by Adding the Texas Stock Exchange LLC and Changing Nasdaq BX, LLC to Nasdaq Texas, LLC

Title: Self-Regulatory Organizations; Long-Term Stock Exchange, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend LTSE Rule 11.410(a) by Adding the Texas Stock Exchange LLC and Changing Nasdaq BX, LLC to Nasdaq Texas, LLC
Record Date: 07/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 48.07

Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PIXL

Title: Self-Regulatory Organizations; Nasdaq PHLX LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend PIXL
Record Date: 07/10/2026
Event Classification: regulatory-event
Age Or Deadline Days: 48.07

2026-08-21

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering
Record Date: 08/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 6.07

Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering

Title: Self-Regulatory Organizations; Nasdaq GEMX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering
Record Date: 08/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 6.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Connectivity Schedule and Discontinue a Previously Proposed Offering
Record Date: 08/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 6.07

Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the LCH SA Liquidity Plan

Title: Self-Regulatory Organizations; LCH SA; Order Approving Proposed Rule Change Relating to the LCH SA Liquidity Plan
Record Date: 08/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 6.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.4(a) To Reflect the Operation of TXSE Exchange

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Amend Rule 13.4(a) To Reflect the Operation of TXSE Exchange
Record Date: 08/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 6.07

Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Rule 20.6 (Nullification and Adjustment of Options Transactions Including Obvious Errors) Regarding the Roster Requirements for the Obvious Error Panel

Title: Self-Regulatory Organizations; MEMX LLC; Notice of Filing and Immediate Effectiveness of a Proposal To Amend Rule 20.6 (Nullification and Adjustment of Options Transactions Including Obvious Errors) Regarding the Roster Requirements for the Obvious Error Panel
Record Date: 08/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 6.07

Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Section 4 (Complex Order Fees and Rebates) and Section 6 (Other Options Fees and Rebates)

Title: Self-Regulatory Organizations; Nasdaq ISE, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Rules at Options 7, Section 4 (Complex Order Fees and Rebates) and Section 6 (Other Options Fees and Rebates)
Record Date: 08/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 6.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form ADV

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form ADV
Record Date: 08/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 6.07

Regulation Crypto Assets

Title: Regulation Crypto Assets
Record Date: 08/21/2026
Event Classification: regulatory-event
Age Or Deadline Days: 6.07

2026-08-14

Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 11.25 To Introduce an Optional, Contingent Instruction Applicable to Periodic Auction Only Orders, Introduce a Time-in-Force of Auction or Cancel, and Make Conforming Changes to Its Periodic Auction Processing Behavior To Support the Proposed Contingent Instruction

Title: Self-Regulatory Organizations; Cboe BYX Exchange, Inc.; Notice of Filing of Amendment No. 1 and Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, To Amend Rule 11.25 To Introduce an Optional, Contingent Instruction Applicable to Periodic Auction Only Orders, Introduce a Time-in-Force of Auction or Cancel, and Make Conforming Changes to Its Periodic Auction Processing Behavior To Support the Proposed Contingent Instruction
Record Date: 08/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 13.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 2

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend the Exchange's Transaction Fees at Options 7, Section 2
Record Date: 08/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 13.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Introduce the New One-Minute Interval Intra-Day Report

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of Proposed Change To Introduce the New One-Minute Interval Intra-Day Report
Record Date: 08/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 13.07

Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce the New One-Minute Interval Intra-Day Report

Title: Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Introduce the New One-Minute Interval Intra-Day Report
Record Date: 08/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 13.07

Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program for the BZX Top Data Feed

Title: Self-Regulatory Organizations; Cboe BZX Exchange, Inc.; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Introduce a Small Retail Broker Distribution Program for the BZX Top Data Feed
Record Date: 08/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 13.07

Order Granting Temporary Conditional Exemptive Relief to 24X National Exchange LLC 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, Pursuant to Section 36 of the Securities Exchange Act of 1934 and Rules 602 and 608 of Regulation NMS, To Permit Certain Overnight Trading, Subject to Certain Conditions, and Effective As of January 24, 2027 and Until the Earlier of (1) the date the Extended Hours Amendments Are Implemented or (2) July 2, 2027

Title: Order Granting Temporary Conditional Exemptive Relief to 24X National Exchange LLC 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, Pursuant to Section 36 of the Securities Exchange Act of 1934 and Rules 602 and 608 of Regulation NMS, To Permit Certain Overnight Trading, Subject to Certain Conditions, and Effective As of January 24, 2027 and Until the Earlier of (1) the date the Extended Hours Amendments Are Implemented or (2) July 2, 2027
Record Date: 08/14/2026
Event Classification: award
Age Or Deadline Days: 13.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension
Record Date: 08/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 13.07

Regulatory Agenda

Title: Regulatory Agenda
Record Date: 08/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 13.07

Regulatory Agenda

Title: Regulatory Agenda
Record Date: 08/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 13.07

Regulatory Flexibility Agenda

Title: Regulatory Flexibility Agenda
Record Date: 08/14/2026
Event Classification: regulatory-event
Age Or Deadline Days: 13.07

2026-08-07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 31a-1

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 31a-1
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15g-2

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 15g-2
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 0-2 Under the Investment Company Act of 1940, General Requirements of Papers and Applications

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 0-2 Under the Investment Company Act of 1940, General Requirements of Papers and Applications
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07

Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form S-6, for Registration Under the Securities Act of 1933 of Unit Investment Trusts Registered on Form N-8B-2

Title: Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Form S-6, for Registration Under the Securities Act of 1933 of Unit Investment Trusts Registered on Form N-8B-2
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07

Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 1 and Options 3C, Section 4(d)

Title: Self-Regulatory Organizations; Nasdaq MRX, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Options 3, Section 1 and Options 3C, Section 4(d)
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07

Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 122 To Remove Daily List and Fundamental Data From the Nasdaq Rulebook and Clarify How Certain Information Will Be Distributed

Title: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend Equity 7, Section 122 To Remove Daily List and Fundamental Data From the Nasdaq Rulebook and Clarify How Certain Information Will Be Distributed
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07

Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Adopt CMESC Margin Policy

Title: Self-Regulatory Organizations; CME Securities Clearing Inc.; Notice of Filing of Proposed Rule Change To Adopt CMESC Margin Policy
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Regulatory Information Requests and Indemnification of Reported Data

Title: Self-Regulatory Organizations; Fixed Income Clearing Corporation; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Regarding Regulatory Information Requests and Indemnification of Reported Data
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Remove MSCI Related Index Options From Certain Tier Discounts and Incentive Programs and Add a Break-Up Credit for Certain Executions in the Customer Best Execution (“CUBE”) Auction

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Remove MSCI Related Index Options From Certain Tier Discounts and Incentive Programs and Add a Break-Up Credit for Certain Executions in the Customer Best Execution (“CUBE”) Auction
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07

Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Amend the Manual Billable Rebate Program and Add a Credit Under the Firm Monthly Fee Cap

Title: Self-Regulatory Organizations; NYSE American LLC; Notice of Filing and Immediate Effectiveness of a Proposed Rule Change To Modify the NYSE American Options Fee Schedule To Amend the Manual Billable Rebate Program and Add a Credit Under the Firm Monthly Fee Cap
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07

Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-54C

Title: Agency Information Collection Activities; Proposed Collection; Comment Request; Extension: Form N-54C
Record Date: 08/07/2026
Event Classification: regulatory-event
Age Or Deadline Days: 20.07