Securities and Exchange Commission
SEC rules and no-action letters move money in 24 hours. Public-company counsel, asset managers, and broker-dealers monitor every release.
- total docs
- 8
- M4+ material
- 1
- distinct topics
- 24
§ 01 Materiality distribution
Each document is scored 1-5 for compliance impact. M4 = significant obligation change. M5 = major rule, withdrawal, or enforcement shift. M1-M2 are noise (typos, scheduling, references) — filtered out of most feeds by default.
§ 02 Most common topics
- commission-meeting-notice · 2
- investment-company-deregistration · 1
- fund-liquidation · 1
- section-8f-orders · 1
- broker-dealer-discretionary-accounts · 1
- rule-15c1-7-icr · 1
- paperwork-reduction-act-review · 1
- investment-company-act-exemptive-relief · 1
- affiliated-co-investment · 1
- closed-end-funds · 1
- asset-backed-securities-funds · 1
- options-auction-mechanisms · 1
- prime-solicitation-orders · 1
- sro-rule-change · 1
- securities-exchange-trading-rules · 1
- extended-hours-options-trading · 1
- equity-options-market-structure · 1
- exchange-member-compliance · 1
- options-order-handling · 1
- sec-disclosure-corrections · 1
§ 03 Recent material actions
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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
The SEC gives notice that MIAX filed an immediately effective rule change amending Exchange Rule 515A, which governs the MIAX Price Improvement Mechanism and PRIME Solicitation Mechanism for options orders. The change affects how MIAX participants use those auction and solicitation mechanisms, rather than creating a broader SEC rule applicable across markets.
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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
The SEC approves Cboe Exchange’s amended rule change to permit extended-hours trading in multi-listed equity options on Cboe. The approval expands the products that may trade outside regular trading hours and makes the related Cboe exchange-rule framework applicable to those trades.
§ 04 Related agencies
Agencies that issue on overlapping topics — useful if you need cross-agency coverage of the same regulatory subject.
- Health and Human Services Department · 5 shared
- Centers for Disease Control and Prevention · 4 shared
- Treasury Department · 1 shared
- Internal Revenue Service · 1 shared
- Labor Department · 1 shared
- Employment and Training Administration · 1 shared
- Commerce Department · 1 shared
- National Institute of Standards and Technology · 1 shared
- Centers for Medicare & Medicaid Services · 1 shared
- Homeland Security Department · 1 shared
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