NYSE Tells Firms: Check Customers Every Month

2026-12163 — The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS

The SEC wants to scrap some old rules that stop stocks from being traded at worse prices and prevent confusing market quotes. This change affects stock traders and exchanges, aiming to simplify trading and possibly speed things up. If you want to share your thoughts, you’ve got until August 17, 2026, so don’t miss out!

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!

2026-12607 — The RBB Fund Trust and Seven Post Investment Office LP

The RBB Fund Trust and Seven Post Investment Office LP want permission to change their subadvisory agreements without asking shareholders first and to keep some fee details private. This could speed up how they manage investments and handle fees. If no one objects by July 13, 2026, the SEC will approve these changes.

2026-12613 — 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)

The SEC is giving special permission to some U.S. Treasury securities clearing agencies to exclude certain trades between related parties from strict rules about reporting and clearing. This change affects big financial players who trade these securities and helps them avoid extra paperwork for these specific deals. The new rules kick in soon and aim to keep the market smooth without adding extra costs or risks.

Previous: 2026-12529 — 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

Nasdaq is cleaning house by removing old mentions of the QIX protocol, which they stopped using years ago, from their rulebook. This update affects traders and firms using Nasdaq’s systems but won’t cost anyone money or cause delays. The change is effective immediately, making Nasdaq’s rules clearer and up-to-date.

Next: 2026-12531 — 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

NYSE Arca is making OTP Holders and OTP Firms check their customers’ trading activity every month to see if they should be labeled as “Professional Customers.” This change helps keep trading rules clear and fair. It starts right away and doesn’t cost anyone extra money.