The SEC designated a longer time period to take action on a proposed rule change filed by Nasdaq ISE regarding position and exercise limits for options on the iShares Bitcoin Trust ETF.
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With the departure of Caroline Crenshaw, the SEC is left with three Commissioners, all Republican appointees.
A firm settled FINRA charges for failing to timely and accurately submit restricted period and trading-related notifications.
The SEC requested comment on approval of a clearing agency's new risk management policies under Securities Exchange Act rules on clearance and settlement of securities transactions.
A firm settled Cboe Exchange, Inc. charges for failing to maintain an adequate supervisory system to monitor for potentially manipulative trading.