SEC Makes Minor Updates to Broker Reporting Form
Published Date: 6/25/2026
Rule
Summary
Oops! The document about Technical Amendments to Form X-17A-5 Part IIA isn’t available right now, so we can’t share the details. If you’re a financial firm that files this form, keep an eye out for updates soon—changes usually mean tweaks to reporting rules, deadlines, or costs. Stay tuned and ready to act when the official info drops!
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
2026-12163 — 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!
2026-12765 — 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
Nasdaq wants to make sure companies listed on its exchange have at least $5 million in market value to keep their spot. This new rule helps keep the market strong and fair for investors. Companies will need to meet this rule soon, or they risk being delisted, which could impact their value and trading.
2026-12640 — 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
Nasdaq Texas just got the green light to let certain exchange-traded products (ETPs) be listed and traded on its platform, joining other big exchanges in the game. This means investors will have more places to buy and sell these products, with rules closely matching those of Nasdaq’s main market. The change kicks in soon, making trading smoother and more flexible without extra costs.
Previous / Next Documents
Previous: 2026-12778 — FCC Adopts Application Limit and Eligibility Restrictions for New NCE Reserved Band FM Translator Station Applications in Upcoming 2026 Filing Window
Starting July 27, 2026, the FCC is setting new rules for folks applying to build noncommercial educational FM translator stations in the reserved band. Applicants can only submit a limited number of applications, and only certain groups will be eligible to apply. This helps keep things fair and organized for the upcoming 2026 filing window without extra costs for applicants.
Next: 2026-12781 — Security Zone; Pacific Ocean, Coronado, CA
Heads up, Coronado visitors and boaters! The Coast Guard is setting up a new security zone in the Pacific Ocean near Coronado, CA to keep things safe and sound. This means certain areas will be off-limits during specific times, so plan ahead to avoid any surprises or fines.