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Cards Wire 8 segments
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SECU Securities and Exchange Commission Source document ↗
United States Securities and Exchange Commission Markets & Infrastructure ✓ 13 claims 30 Oct 2026

Cboe adds complex order auction data to Missed Liquidity Report

Cboe Options filed an immediately effective rule change expanding its optional Missed Liquidity Report to cover Complex Order Auction and Complex Automated Improvement Mechanism events. Subscribers to the Cboe Timestamping Service should review what new auction data will become available and when, and whether it changes their latency and execution analysis.

  • Cboe filed SR-CBOE-2026-083 on October 21, 2026, as immediately effective under Section 19(b)(3)(A)(iii) and Rule 19b-4(f)(6).
  • The Missed Liquidity Report will now include Complex Order Auction (COA) and Complex Automated Improvement Mechanism (C-AIM) events.
  • A new price field will show each price level at which Auction Orders executed and where the Recipient Member's own orders, modify messages and quotes sat.
  • The same existing timing parameters apply: not to exceed 1 millisecond after, and 100 microseconds before, the first attempt to execute.
  • Implementation will occur no later than 60 days after the operative date, with the date announced via Exchange Notice; no fee changes are proposed in this filing.
Source document
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SECU Securities and Exchange Commission Source document ↗
United States Securities and Exchange Commission Markets & Infrastructure ✓ 14 claims 30 Oct 2026

SEC exempts certain inter-affiliate and non-U.S. repo trades from Treasury clearing

The SEC has granted exemptive relief excluding two categories of repo transactions from its Treasury clearing mandate: certain inter-affiliate trades and certain trades with non-U.S. counterparties. This briefing covers who qualifies, the conditions attached, and how it fits into the broader phased implementation timeline for central clearing of Treasury securities.

  • The SEC issued exemptive relief on October 30, 2026 excluding two categories of repo transactions from eligible secondary market transactions under the Treasury clearing rules.
  • Certain repo transactions involving non-U.S. counterparties are excluded, subject to specified limits and conditions set out in the SEC order.
  • Certain inter-affiliate repo transactions are excluded where the affiliate is not an investment company under Section 3 of the Investment Company Act of 1940 and otherwise meets the affiliated counterparty definition in Rule 17ad-22(a).
  • The Treasury clearing rules were adopted by the Commission in December 2023, with compliance dates since extended.
  • The SEC launched a consolidated implementation webpage in September 2025 covering FAQs, Commission and staff statements, and other resources.
Source document
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SECU Securities and Exchange Commission Source document ↗
United States Securities and Exchange Commission Markets & Infrastructure ✓ 17 claims 30 Oct 2026

Nasdaq ISE seeks finer $0.50 option strike intervals for top-tier ETFs under $100

Nasdaq ISE has filed a proposed rule change with the SEC to allow $0.50 strike price intervals on options over a select group of highly liquid ETFs priced below $100, for expirations between one and nine months out. The filing is open for public comment and sits with the Commission for approval. It matters to options market makers, listing desks and anyone building multi-month ETF hedges.

  • The proposal permits $0.50 strike intervals for options on ETF Qualifying Securities where the strike is below $100, for expirations more than one month and less than nine months from expiry.
  • Eligibility is restricted to ETFs meeting the Qualifying Securities criteria: AUM above $50 billion or $25 billion, specified monthly options volume thresholds, a position limit of at least 250,000 contracts, and participation in the Penny Interval Program.
  • Series listed at $0.50 intervals may remain if an ETF later fails the criteria, but no additional such series may be listed until it re-qualifies, with eligibility reassessed each calendar quarter.
  • Separate amendments clarify that Table 1 symbols trade their Short Term Option Daily Expirations regardless of Qualifying Securities status, while Table 2 expirations apply only in quarters a security qualifies; ISE states this does not substantively change the rules.
  • Comments are due 21 days after Federal Register publication, and the SEC must approve, disapprove or institute proceedings within 45 days, extendable to 90.
Source document
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SECU Securities and Exchange Commission Source document ↗
United States Securities and Exchange Commission Conduct & Consumer ✓ 13 claims 30 Oct 2026

SEC caseload report puts median age of Commission decisions at 1,147 days

The SEC's Secretary has issued the statutory six-month status report on the agency's administrative proceedings caseload for the period to September 30, 2026. It sets out matters pending, instituted and disposed of before the administrative law judges and the Commission, together with the median age of decisions and how many met Rule 900 timing guidelines. The numbers show a sharp rise in new Commission matters and multi-year median decision times.

  • The Commission disposed of 57 matters during the period, including 51 opinions, and had 88 pending at the end.
  • Median age at decision for Commission matters was 1147 days, against 1246 and 260 in the prior two periods.
  • Before the administrative law judges, one matter was pending at the start, none were added, and the single matter was disposed of, leaving none pending.
  • For SRO matters the Commission decided 10, of which 2 were decided within Rule 900 guidelines, with a median age at decision of 726 days.
  • Seven stay motions were filed and five decided, with a median age at decision of 32 days.
Source document
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SECU Securities and Exchange Commission Source document ↗
United States Securities and Exchange Commission Conduct & Consumer ✓ 16 claims 28 Oct 2026

Nasdaq to publish all disciplinary complaints and drop $10,000 fine threshold

Nasdaq has filed an immediately effective rule change expanding public disclosure of its disciplinary process. The amendment, operative November 14, 2026, replaces summaries with full document publication and removes the monetary threshold that previously shielded smaller fines from release. Compliance teams tracking member exam outcomes should note the broadened scope.

  • The rule change was filed October 15, 2026 and becomes operative November 14, 2026.
  • The $10,000 monetary threshold below which Nasdaq previously withheld disciplinary decisions is eliminated entirely.
  • Nasdaq will publish full copies of disciplinary complaints and decisions rather than summaries, mooting the prior practice of releasing information about such documents.
  • Proposed IM-8310-3(a)(1) defines disciplinary complaint to include notices issued under Rules 9400 and 9810, a scope broader than FINRA's or NYSE's equivalent rules.
  • The rule adds public release of eligibility decisions involving members or associated persons previously subject to statutory disqualification.
Source document
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SECU Securities and Exchange Commission Source document ↗
United States Securities and Exchange Commission Markets & Infrastructure ✓ 22 claims 28 Oct 2026

NYSE American waives floor broker credit cap for October 2026 amid outcry volumes

NYSE American has filed an immediately effective fee change waiving, for October 2026, the monthly cap on combined Floor Broker credits for QCC trades and rebates under its Manual Billable Rebate Program. It is the latest in a run of adjustments to the same ceiling across 2025 and 2026, driven by what the exchange calls elevated open outcry volume and the risk that brokers hitting the cap redirect flow to rival venues.

  • The waiver removes, for October 2026 only, the per-firm monthly ceiling on combined Floor Broker QCC credits and Manual Billable Rebate Program rebates.
  • The cap was $3,000,000 in 2025, was raised to $4,000,000, waived for January and February 2026, and increased to $5,500,000 in March 2026.
  • The change is effective immediately on filing under Section 19(b)(3)(A) as a fee change; the SEC may summarily suspend it within 60 days.
  • NYSE American reports a 12.39% market share of executed multiply-listed equity and ETF options volume in September 2026, with no exchange above 16%.
  • No written comments were solicited or received; comments are due 21 days after Federal Register publication, file number SR-NYSEAMER-2026-95.
Source document
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SECU Securities and Exchange Commission Source document ↗
United States Securities and Exchange Commission Markets & Infrastructure ✓ 22 claims 28 Oct 2026

NSCC shifts annuity re-registration duties from ACATS to I&RS system

A procedural rule filing from NSCC changes how annuities and other insurance products move between broker-dealers during account transfers. The segment covers which ACATS functions are being retired, how the new I&RS-based process works, and the implementation date, relevant to any firm still relying on the legacy ACATS/Insurance Processing Service.

  • NSCC will implement the proposed rule change on November 20, 2026.
  • Fewer than ten Members currently use the ACATS/Insurance Processing Service, introduced in 2005.
  • NSCC will decommission the Insurance Registration (IR) Record, the insurance statistics file, and Receiver and Deliver Insurance Instructions.
  • Section 8 of NSCC Rule 50 will be amended to remove references to I&RS Products and related daily confirmation reports.
  • The filing took effect immediately under Section 19(b)(3)(A) and Rule 19b-4(f)(4), with the SEC retaining a 60-day window to suspend it.
Source document
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SECU Securities and Exchange Commission Source document ↗
United States Securities and Exchange Commission Markets & Infrastructure ✓ 15 claims 27 Oct 2026

NYSE American raises ByRDs market-cap listing bar from $40bn to $290bn

NYSE American has filed an immediately effective rule change altering how its Binary Return Derivatives (ByRDs) settle and which underlying stocks qualify for listing. The filing touches settlement methodology, listing thresholds, market maker quoting duties and order-protection checks, with implications for any firm trading or market-making these binary options products.

  • The settlement price for expiring ByRDs options will now be the underlying security's Closing Price as reported by the primary listing market, replacing the current all-day composite VWAP.
  • The minimum market capitalization requirement for individual-stock ByRDs listings rises from $40 billion to $290 billion under amended Rule 915ByRDs, Commentary .01.
  • A new initial and continued listing standard requires an average daily trading value in the primary listing market's closing auction of at least $10 million over the prior six months.
  • The exchange is eliminating its settlement-price rounding practice, so Finish High ByRDs pay $100 if the underlying closes at or above the strike price and Finish Low ByRDs pay $100 if it closes below the strike.
  • Market makers appointed to a ByRDs contract will no longer be required to enter continuous quotations unless they affirmatively choose to participate in that series.
Source document