SEC & CFTC Enforcement
Material regulatory developments from U.S. Securities and Exchange Commission and Commodity Futures Trading Commission are tracked daily by Cresthaven Analytics. Over the last 90 days, 20 material briefs relevant to professionals operating in the financial & capital markets sector have been published below. Each brief is sourced directly from the primary regulatory feed, summarized for institutional readers, and scored for materiality.
Recent material activity
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SEC seeks public comment on extending Rule 13f-2 short position reporting collection under institutional investment manager regime
The SEC published a proposed collection extension notice on July 27, 2026 for the information collection requirements under Rule 13f-2, which governs short position and short activity reporting by institutional investmen…
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NYSE American files immediately effective rule change permitting FLEX options to trade in CUBE auctions for single-leg and complex orders
NYSE American LLC filed a proposed rule change on July 24, 2026, modifying its CUBE auction rules to permit FLEX options participation for both single-leg and complex orders. The filing took immediate effect, bypassing t…
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IEX files immediately effective rule change permitting pegged orders during pre-market and post-market trading sessions
On July 24, 2026, the SEC granted immediate effectiveness to an IEX rule change amending IEX Rule 11.190 to permit pegged order types during extended trading hours. This marks the first time IEX has allowed pegged orders…
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SEC publishes Cboe Clear U.S. amended application for temporary clearing agency registration under federal securities law
The SEC published a notice on July 24, 2026 of Cboe Clear U.S., LLC's amended application for temporary registration as a clearing agency under the Securities Exchange Act. This filing opens the formal public-record phas…
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SEC approves CME Securities Clearing rule change expanding member risk management and user authorization controls
On July 23, 2026, the SEC approved a rule change by CME Securities Clearing Inc. that expands member-level controls over risk management procedures and the authorization of designated users within the clearing system.
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MEMX LLC establishes Options Regulatory Fee under a new per-transaction methodology effective immediately
The SEC granted immediate effectiveness to a MEMX LLC proposed rule change, published July 23, 2026, that establishes the Options Regulatory Fee under a revised per-transaction methodology. The fee applies to transaction…
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Texas Stock Exchange files initial fee schedule with SEC under immediate effectiveness procedures
On July 21, 2026, the SEC received and published a proposed rule change from Texas Stock Exchange LLC establishing its initial schedule of transaction fees, rebates, and a monthly membership fee for exchange members. The…
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OCC files immediately effective rule change updating its Synthetic Futures Model for margin risk calculations
On July 21, 2026, the SEC published OCC's notice of filing for a proposed rule change modifying the Synthetic Futures Model, effective immediately upon filing without prior Commission approval. OCC used the self-regulato…
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SEC publishes ICE Clear Credit proposed rule change to CDS clearing risk management model description
On July 21, 2026, the SEC published notice of a proposed rule change filed by ICE Clear Credit LLC to amend its Risk Management Model Description for the CDS Clearing Service. The notice opens a public comment period und…
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SEC approves ICE Clear Credit operational risk management framework rule change effective July 2026
On July 20, 2026, the SEC approved a proposed rule change by ICE Clear Credit LLC revising its Operational Risk Management Framework. The approval formalizes updated operational risk governance standards for the register…
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FINRA extends Trade Reporting Facilities operating hours to 23 hours per day, five days per week
FINRA filed a proposed rule change on July 20, 2026, effective immediately, to extend Trade Reporting Facility operating hours to 23 hours per day, five days per week. This amendment to the FINRA Rule 6300 Series expands…
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SEC approves NSCC rule change enhancing clearing fund methodology for member margin requirements
On July 17, 2026, the SEC approved a proposed rule change by the National Securities Clearing Corporation revising how NSCC calculates and collects margin from clearing members. The change directly affects the capital an…
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MIAX Emerald amends member definitions and statutory disqualification procedures effective immediately
The SEC accepted MIAX Emerald's proposed rule change, effective upon filing, amending its definitions rule and its procedures governing members subject to statutory disqualification. The amendments update the exchange's …
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MIAX PEARL amends equity options definitions and Rule 204 under immediate effectiveness filing
The SEC granted immediate effectiveness to a MIAX PEARL proposed rule change amending Rule 100 (Definitions) and Rule 204, published July 17, 2026. The filing updates foundational definitional and operational rule text g…
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MIAX amends membership eligibility rules governing statutory disqualification definitions and associated-person obligations
On July 17, 2026, the SEC granted immediate effectiveness to a MIAX rule change amending its definitions and membership rules for persons subject to statutory disqualification. The filing updates the criteria and procedu…
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MIAX Sapphire files immediately effective rule change amending exchange definitions and Rule 20
The SEC granted immediate effectiveness to a MIAX Sapphire proposed rule change amending Rule 100 (Definitions) and Rule 20, published July 17, 2026. The filing updates foundational exchange rules without a standard comm…
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FINRA amends registration requirements under Rule 1210 via immediate-effectiveness filing with the SEC
FINRA filed a proposed rule change with the SEC on July 16, 2026, amending Rule 1210, which governs registration requirements for associated persons at member firms. The filing took immediate effect upon submission, maki…
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Cboe C2 Exchange amends definition of Professional via immediately effective rule change filed with SEC
On July 16, 2026, the SEC filed a Notice of Immediate Effectiveness for a Cboe C2 Exchange rule change amending the definition of Professional. The amendment took effect upon filing, bypassing the standard comment period…
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Cboe Exchange amends Professional definition to require monthly order-count reviews effective immediately
The SEC published Cboe Exchange's immediately effective rule change on July 16, 2026, amending the definition of Professional to require monthly reviews of customer order counts. This tightens the classification mechanis…
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SEC approves CME rule change amending performance bond requirements at the account holder level
The SEC approved a rule change by Chicago Mercantile Exchange Inc. on July 16, 2026, amending its rules governing performance bond requirements at the account holder level. The approval formalizes changes to how CME calc…
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