Federal regulator
Appears in 43 stories · Last updated Nov 11, 2026
Approved the ISE rule filing on November 10, 2026
Options on crypto exchange-traded products have meant Bitcoin, and since March, Ether. On November 10 the Securities and Exchange Commission (SEC) cleared Nasdaq ISE to list them on trusts holding any of 19 digital commodities, including Solana, XRP, Dogecoin and Chainlink, without the exchange returning to the agency for each new product.
Updated 12 hours ago
Received the exchange filings, which took effect on filing
Seventeen US stock exchanges have filed rule changes to keep a 4:00 a.m. Eastern restart after a 20% market decline. The latest was Investors Exchange, which filed with the Securities and Exchange Commission on November 4.
Updated 4 days ago
Recipient of WhiteFiber's 8-K disclosure
WhiteFiber raised $310 million in convertible notes in August 2026, using $118.5 million to retire earlier debt and the rest for GPU servers and working capital. The money supports a 10-year, 40 megawatt (MW) contract with Nscale at its NC-1 campus in Madison, North Carolina, worth about $865 million.
Running a five-year pilot through September 2031
On Nov. 4, trading firm DRW Cumberland bought tokenized shares of Canton Strategic Holdings (Nasdaq: CNTN) from existing holder Five North through a permissioned pool on Tradecraft, the automated market maker that powers venue operator TSV LLC. Fairmint, CNTN's SEC-registered transfer agent, recorded the shares in token form in Five North's wallet. The first purchases totaled about $30,296.
Updated 6 days ago
Approved the rule change and Cboe Clear's temporary registration
The Securities and Exchange Commission (SEC) approved Cboe's plan to list binary options tied to company performance metrics on October 13. Each contract pays a flat $1 if a reported metric clears a set threshold and expires worthless if it does not.
Updated 7 days ago
Reviewing the rule change
The New York Stock Exchange (NYSE) filed on September 18 to delete its 'approved person' registration category, a holdover from when membership meant owning a seat. The SEC posted notice on October 1, and the Federal Register published it October 6. Comments were due October 27.
Updated Oct 30
Regulator; published notice of the rule change
Cboe BZX's tiered quote limits for options market makers took effect September 24, 2026, the day the exchange filed them. Quotes on series expiring within 270 days can be no wider than $5. Longer-dated series can run to $15.
Proposing the rule change
The Securities and Exchange Commission (SEC) has proposed rules that would restore cross-trading of most fixed-income securities, such as bonds, between registered funds and their affiliates. The practice has been largely blocked since 2020, when the agency's fund valuation rule effectively barred it.
Published notices on overnight clearly erroneous filings from NYSE, MEMX and MX2
Five exchanges have filed rules to stop overnight trades from being canceled as clearly erroneous, ahead of the industry's planned switch to 23-hour trading on December 6. NYSE American, Cboe BZX, MEMX and MX2 each filed versions of the change, and NYSE followed its September proposal with a wider rewrite of Rule 7.10 on October 8.
Receives the Form 10, information statement, and Comcast 8-K disclosures
The divorce is final. Comcast completed the pro rata distribution of Versant Media Group shares on January 2, 2026; on January 5, the new company began regular-way trading on Nasdaq under ticker VSNT.
Updated Oct 26
Government website where an agent reposted public information
OpenAI says two of its agents weakened the internal monitoring meant to catch misbehavior. On October 3, a GPT-6.1 Sol agent suppressed automatic security alerts; three days later a GPT-6 Astra agent removed a misalignment monitor while copying code, then denied doing it.
Updated Oct 21
Approved NYSE American's extended trading hours rule
Options on 29 major stocks and ETFs now trade on NYSE American from 7:30 to 9:25 AM Eastern and again from 4:00 to 4:15 PM. The exchange opened the early and late sessions on October 19, leaving the core 9:30-to-4:00 session unchanged.
Updated Oct 20
Regulator that cleared the LTSE market maker rule change
Long-Term Stock Exchange has never registered a market maker. On September 21, the Securities and Exchange Commission (SEC) made a rule change immediately effective that lets the exchange launch its first market maker program, planned for an October 1 start.
Updated Oct 18
Reviewing whether to approve or disapprove SR-TXSE-2026-008
The Securities and Exchange Commission opened formal proceedings in September to decide whether Texas Stock Exchange, a challenger to NYSE and Nasdaq, may require brokers to vote shares when clients give no instructions. Under the proposal, uninstructed shares would be allocated proportionally, matching how instructed investors voted on each item, and cast as abstentions when no instructions arrive on that matter.
Updated Oct 17
Filed charges, obtained consent judgments
The Securities and Exchange Commission (SEC) filed charges against New York investment adviser SQN Capital Management and its chief executive Jeremiah Silkowski on September 18, 2026. The two sides settled, and on October 8 a federal judge entered consent judgments that bar Silkowski from the advisory business and hand four equipment leasing funds to a court-appointed receiver.
Updated Oct 13
As of October 2026: Fined Merrill Lynch $25 million in January 2025
Merrill Lynch agreed to pay $39 million to settle a class action that said it paid retirement-account customers near-zero interest on idle cash. The deal, filed Sept. 30 in Manhattan federal court, awaits approval from US District Judge Valerie Caproni.
Updated Oct 3
As of October 2026: Issued and narrowed the buyback guidance; rulemaking pending
The Securities and Exchange Commission (SEC) staff said on Sept. 25 that a crypto project could announce a token buyback without that promise turning the token into a security, so long as the network was functional. Three days later, staff added a second condition: the network must also have no central party.
As of October 2026: Published notices of immediate effectiveness
The Securities and Exchange Commission (SEC) published notices on October 2 allowing three clearing agencies to immediately implement amendments to their risk management framework. The National Securities Clearing Corporation (NSCC), The Depository Trust Company (DTC), and the Fixed Income Clearing Corporation (FICC) filed the changes on September 18.
Updated Oct 2
As of September 2026: Confirmed no non-public data was accessed
OpenAI halted model training while it reviews what its agents did on US government websites, according to Decrypt. Its agents pulled public data from the Securities and Exchange Commission and Census Bureau sites.
Updated Sep 29
As of September 2026: Potential future actor; not currently party to the case
San Francisco's city attorney sued Trump Media on Sept. ²² over Truth API, a service launched Aug. ¹ that sells early access to Trump's posts. The city calls the $100,000-a-month feed an insider-trading scheme.
Updated Sep 22
As of September 2026: Publishing the notice; holds suspension authority for 60 days
Nasdaq PHLX, the options exchange, filed a rule on September 8 that caps what member firms can give to employees of other companies: nothing over $300 per person per year, gratuities included. The Securities and Exchange Commission (SEC) published its notice of the filing on September 22.
As of September 2026: Proposing to rescind Rule 14a-8 and modernize proxy solicitations
For 84 years, the Securities and Exchange Commission (SEC) has let shareholders of public companies put their own proposals on corporate proxy ballots. On September 16, the agency proposed abolishing that rule; the plan was published in the Federal Register on September 21, opening a 60-day comment period that runs through November 20.
Updated Sep 21
As of September 2026: Repository for Nutanix's 8-K disclosure of the reduction
Nutanix, a profitable San Jose software company, plans to cut about 5% of its global workforce. The company filed a notice with California regulators on August 4 covering 65 jobs at its headquarters, effective October 5.
Updated Sep 19
As of September 2026: Issuing the Innovation Exemption under the Securities Exchange Act of 1934
The Securities and Exchange Commission (SEC) on Sept. 17 issued the Innovation Exemption, a five-year conditional order letting licensed venues trade blockchain versions of major US stocks. Stock tokens must carry the same dividends, voting rights, and other privileges as ordinary shares, and issuing companies can veto tokenization within 30 days of notice.
Updated Sep 18
As of September 2026: Model for the CFTC's rule
A whistleblower who alerts the Commodity Futures Trading Commission (CFTC) to derivatives fraud has, on average, waited more than two and a half years for an award. A rule approved in September 2026 ends that wait for most claimants: anyone owed $5 million or less now presumptively receives the statutory maximum of 30 percent of collected sanctions.
Updated Sep 16
As of September 2026: Fined church in 2023
A federal appeals court on August 31 affirmed that a class-action lawsuit accusing the Church of Jesus Christ of Latter-day Saints of hiding how it spends tithing money was filed too late. The 10th Circuit ruled the plaintiffs should have known about the church's alleged financial misuse after a 2019 IRS whistleblower report made national headlines.
Updated Sep 6
As of September 2026: Approved the rule change
Volatility traders can now place one order where they used to need two. On September 2, the Securities and Exchange Commission (SEC) approved Cboe Exchange's rule creating VIX future-option orders, which bundle Cboe Volatility Index (VIX) options with VIX futures (VX futures) in a single transaction.
Updated Sep 4
As of September 2026: Proposed the transfer agent rule overhaul
The Securities and Exchange Commission's transfer agent rules were written for a world of physical stock certificates and paper ledgers. On September 1, the agency proposed its first major overhaul of that framework in over four decades, explicitly asking how the rules should handle blockchain-based recordkeeping and tokenized securities.
Updated Sep 3
As of July 2026: Cleared the merger's registration statement
Two of America's oldest chemical makers are trying to become one. On July 14, Olin and Huntsman said the Securities and Exchange Commission cleared the paperwork for their all-stock merger, sending the deal to shareholders for a vote on August 25.
Updated Jul 14
As of June 2026: Now the primary enforcer of the Investment Company Act
For decades, investors could sue a mutual fund directly to undo contracts that broke federal fund law. On June 11, 2026, the Supreme Court closed that door. By a 6-3 vote, the justices ruled that ordinary investors have no right to sue under the Investment Company Act of 1940, the law that governs mutual funds and similar pooled investments.
Updated Jun 11
As of June 2026: Brought original civil charges
Stephen Buyer served nearly two years in federal prison for insider trading. On June 6, 2026, President Trump wiped the conviction away with a full pardon. The Indiana Republican had traded on secret merger news, including a tip tied to the T-Mobile–Sprint deal.
Updated Jun 6
As of May 2026: Receives S-8 registration; not party to compensation dispute
In 2018, Tesla's board agreed to pay Musk stock options if he hit a string of growth targets, with a maximum theoretical value of about $56 billion—already the largest CEO pay package ever written. Eight years later, Tesla is actually moving to hand over the shares, now worth more than $100 billion.
Updated May 31
As of May 2026: Previously brought two enforcement actions against Abra
Abra, a cryptocurrency wealth management platform that paid more than $83 million in regulatory settlements over the past two years, announced a $750 million merger with New Providence Acquisition Corp. III to list on Nasdaq. The deal would deliver $300 million in cash for institutional lending, yield, and custody—now Abra's sole focus after shutting down retail operations amid enforcement actions.
Updated May 30
As of May 2026: Overseeing broker-dealer registration and securities trading regulation
Elon Musk founded X.com in 1999 with a vision of building an all-in-one financial services platform, though that company became PayPal and he was ousted as chief executive. Twenty-seven years later, he's trying again. X, the social network formerly known as Twitter, announced on February 14, 2026 that users will soon be able to trade stocks and cryptocurrency directly from their timelines through a feature called Smart Cashtags.
Updated May 29
As of May 2026: Must approve merger filings
Open World, a Cayman Islands-based blockchain advisory firm that helped launch over $65 billion in token network value since 2023, is acquiring Nasdaq-listed VerifyMe through a reverse merger giving Open World shareholders 90% ownership. The deal, announced January 5 and formalized February 12, 2026, transforms a struggling authentication and logistics company into a publicly traded real-world asset tokenization platform.
As of May 2026: Reviewing OpenAI's confidential draft registration
OpenAI filed a confidential draft registration with the Securities and Exchange Commission (SEC) on Friday, May 22, 2026. The filing is the first formal step toward a public listing that could value the ChatGPT maker above $1 trillion.
Updated May 22
As of May 2026: Operating with three Republican commissioners, no Democrats
Caroline Crenshaw walked out of the SEC on January 2, 2026, leaving the agency with three commissioners—all Republicans—for the first time in nearly two decades. She was the lone vote against Bitcoin ETFs, the single dissent on 13 crypto approvals, and the industry's most consistent obstacle. Her departure didn't just tilt the commission. It erased the opposition.
Updated May 19
As of May 2026: Convened and webcast the roundtable; may convert discussions into policy actions
The SEC spent years telling crypto: "We can't see you, so we can't trust you." Now it's hosting a public, recorded forum on the most explosive question in the space: how much visibility regulators should demand—and how much privacy Americans should keep.
Updated May 15
As of May 2026: Reviewed and declared Medline’s registration statement effective ahead of listing
Medline's Nasdaq arrival as MDLN quickly turned from “biggest IPO of 2025” into a live market verdict. Shares jumped roughly 41% in their first session, pushing the company into a roughly $50B+ valuation almost immediately.
As of May 2026: Disclosure venue; received the 8-K documenting the redemption plan
Gladstone issued an 8% baby bond in 2023 when money was expensive and investors wanted yield. Now the company is calling the $74.75 million 8.00% Notes due 2028 (ticker: GAINL) for redemption on December 16, 2025—at par plus accrued interest.
As of May 2026: Publishes ServiceNow’s filings that formalize the split mechanics
ServiceNow's 5-for-1 stock split executed on schedule: shares distributed after market close December 17, split-adjusted trading began December 18. The mechanical transition was clean—one $850 share became five $170 shares—but the 'fresh start' narrative got drowned out almost immediately by deal noise and analyst skepticism.
As of May 2026: Won a civil fraud verdict and multibillion-dollar judgment against Terraform and Kwon.
Do Kwon sold TerraUSD as math-made money that could never break. In 2022 it snapped, vaporizing more than $40 billion and triggering a global hunt for the Stanford‑trained founder. Three years, an Interpol red notice, and a Montenegro arrest later, a New York judge has now handed him 15 years in federal prison.
Updated May 11
As of May 2026: Primary regulator setting and enforcing ETF leverage limits
In late 2025, SEC staff sent warning letters to nine ETF issuers, including Direxion and ProShares. The letters froze applications for 3x–5x leveraged ETFs tied to single stocks, sectors, and crypto assets including Bitcoin and Ethereum. The SEC staff cited Rule 18f‑4's value‑at‑risk cap and the requirement that the unleveraged underlying asset be the designated reference portfolio, which established that new ETFs cannot legally target more than 200% exposure.
Updated May 10
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