SEC Extends Stock Exchange Paperwork: Because Why Not?
Published Date: 3/13/2026
Notice
Summary
The SEC is asking to extend the paperwork rules for self-regulatory organizations (SROs) like stock exchanges and clearing agencies. These groups must keep the SEC in the loop about any rule changes or new security-based swaps they want to clear. This extension keeps the process smooth, helps manage risks, and doesn’t add new costs or deadlines right now.
No Economic Impacts Identified for this Document
Your PRIA Score
Personalized for You
How does this regulation affect your finances?
Sign up for a PRIA Policy Scan to see your personalized alignment score for this federal register document and every other regulation we track. We analyze your financial profile against policy provisions to show you exactly what matters to your wallet.
Key Dates
Department and Agencies
Related Federal Register Documents
2026-10373 — Registered Offering Reform
The SEC wants to make it easier and cheaper for more companies to sell their stocks and bonds to the public. They’re opening up special forms and benefits to more businesses, updating rules to be more modern, and cutting red tape by overriding some state rules. If you’re a company planning to raise money, these changes could speed things up and save you money, with feedback due by July 27, 2026.
2026-10222 — Enhancement of Emerging Growth Company Accommodations and Simplification of Filer Status for Reporting Companies
The SEC is making it easier for companies that report their finances by simplifying their categories into just two groups: big and small filers. Smaller companies, including emerging growth ones, will get more time to file reports and enjoy simpler rules, while big companies keep stricter standards. These changes aim to save time and money, with feedback open until July 20, 2026.
2026-07651 — Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources
The SEC wants your thoughts on how it tracks stock market trades using the Consolidated Audit Trail and other data tools. They’re thinking about updating rules to keep up with new tech, privacy, and security needs, and to make sure the system is fair and cost-effective. If you’re involved in the stock market or data tracking, speak up by June 22, 2026!
2026-11657 — Franklin Resources, Inc.
Franklin Resources, Inc. is asking the SEC for special permission to create investment groups just for its employees, letting them skip some usual rules. This change mainly affects Franklin’s workers and could make it easier and faster to manage these employee investment partnerships. If no one objects by July 6, 2026, the SEC will approve this exemption, which might save time and money for Franklin and its employees.
2026-11682 — Self-Regulatory Organizations; Texas Stock Exchange LLC; Notice of Filing of a Proposed Rule Change To Amend Rule 13.003 Related to Proxy Voting
The Texas Stock Exchange is changing its rules to make sure members vote uninstructed shares fairly by matching how other shareholders vote. This affects anyone holding TXSE-listed stocks and aims to make proxy voting more transparent and balanced. The new rule kicks in soon and could impact how shareholder meetings run, but it doesn’t involve extra costs.
2026-11683 — Self-Regulatory Organizations; Nasdaq Phlx, LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Permit Non-Conforming Ratios
Nasdaq Phlx is shaking things up by letting Complex Orders trade with both regular and unusual ratios on their trading platform and auctions. This change affects traders using the Complex Order Book and aims to boost flexibility and trading options starting immediately. No extra fees or delays—just more ways to trade smarter and faster!
Previous / Next Documents
Previous: 2026-04958 — Environmental Impact Statements; Notice of Availability
The EPA just shared new Environmental Impact Statements (EIS) for big projects like power lines and port upgrades. If you live near these projects or work in related industries, now’s the time to check out the details and share your thoughts before deadlines in April. These reviews help protect the environment while moving important projects forward, with no surprise costs announced yet.
Next: 2026-04960 — Agency Information Collection Activities; Submission for OMB Review; Comment Request; Extension: Rule 13e-3 (Schedule 13E-3)
The SEC is asking to keep using and extend a form called Rule 13e-3, which companies use to share important info about big stock buyouts or takeovers. This form will now be a 'common form,' meaning the Federal Reserve can use it too, making things simpler for both agencies. No new costs or deadlines are added, just a smooth extension to keep things running.