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
A selection of recent published briefs; this is not a complete archive.
NYSE files immediate-effectiveness rule change amending Rule 7.18 governing Disaster Recovery trading sessions
NYSE filed a proposed rule change on September 25, 2026 to amend Rule 7.18, which governs the exchange's Disaster Recovery trading facility and session procedures. The filing took effect immediately upon submission under…
Read the full SEC & CFTC Enforcement brief →CFTC files $950 million fraud complaint against Cash FX Group and four co-defendants over Ponzi scheme
The CFTC filed a federal complaint on September 25, 2026 against Cash FX Group S.A., its CEO, and three co-defendants for operating a multilevel marketing Ponzi scheme. The complaint alleges fraudulent solicitation of ov…
Read the full SEC & CFTC Enforcement brief →NYSE Texas files immediately effective rule change amending Article 6, Rule 13 order-handling provisions
The SEC granted immediate effectiveness to a NYSE Texas proposed rule change on September 25, 2026, amending Article 6, Rule 13. The filing modifies order-handling rules without a standard comment period. This procedura…
Read the full SEC & CFTC Enforcement brief →NYSE National files immediately effective rule change amending equity trading membership standards under Rule 2.1210
NYSE National's amendment to Rule 2.1210 took effect immediately on September 25, 2026, bypassing the standard comment period under the self-regulatory organization immediate-effectiveness procedure. The SEC received and…
Read the full SEC & CFTC Enforcement brief →NYSE files immediately effective rule change amending NYSE Rule 1210 governing registered representative qualifications
NYSE filed a proposed amendment to Rule 1210 on September 25, 2026, altering registration and qualification requirements for associated persons. The filing took immediate effect upon submission, bypassing the standard 19…
Read the full SEC & CFTC Enforcement brief →NYSE American files immediately effective rule change amending equity options margin rule 2.1210
NYSE American LLC filed a proposed rule change on September 25, 2026, amending Rule 2.1210, which governs margin requirements for equity options positions. The filing took effect immediately upon submission under the sel…
Read the full SEC & CFTC Enforcement brief →NYSE Arca amends options fee schedule to modify Broker QCC Credit and Manual Billable Rebate Program
NYSE Arca has filed a proposed rule change, effective immediately upon filing, to amend its options fee schedule. The amendment modifies both the Broker Qualified Contingent Cross Credit and the Manual Billable Rebate Pr…
Read the full SEC & CFTC Enforcement brief →NYSE Arca files immediately effective rule change amending equity trading Rule 2.1210
NYSE Arca filed a proposed rule change to amend Rule 2.1210, published in the Federal Register on September 25, 2026. The filing took effect immediately under the self-regulatory organization immediate-effectiveness proc…
Read the full SEC & CFTC Enforcement brief →NYSE National files immediately effective rule change amending clearly erroneous execution standards under Rule 7.10
NYSE National, Inc. filed a proposed rule change with the SEC on September 24, 2026, effective immediately upon filing, to amend Rule 7.10, which governs clearly erroneous execution determinations. The amendment adjusts …
Read the full SEC & CFTC Enforcement brief →NYSE Texas amends clearly erroneous execution rule with immediate effectiveness
NYSE Texas, Inc. has amended its clearly erroneous executions rule, effective immediately upon filing. The amendment updates the procedures under which the exchange may review and nullify trades determined to be clearly …
Read the full SEC & CFTC Enforcement brief →Texas Stock Exchange files immediate-effectiveness rule change modifying order processing during regulatory halts and auction mechanics
The SEC published a TXSE proposed rule change on September 24, 2026, effective upon filing. The rule modifies order handling during regulatory halts and adjusts mechanics for IPO auctions, halt auctions, and volatility c…
Read the full SEC & CFTC Enforcement brief →SEC extends review period for Cboe proposed rule on stop-limit complex orders and stop complex order auctions
The SEC designated an extended review period on September 24, 2026 for a Cboe Exchange proposed rule change. The proposal would accommodate stop-limit complex orders and establish stop complex order auctions as a new auc…
Read the full SEC & CFTC Enforcement brief →FINRA files immediate-effectiveness rule change to temporarily pause the Trading Activity Fee
FINRA filed a proposed rule change on September 23, 2026, effective immediately upon filing, to temporarily pause assessment of the Trading Activity Fee. The pause suspends the per-share and per-contract fee that member …
Read the full SEC & CFTC Enforcement brief →FINRA files immediate-effectiveness rule change to delay implementation of Schedule A By-Laws fee amendments
FINRA filed a proposed rule change on September 23, 2026, with immediate effectiveness, to extend the implementation schedule for Schedule A By-Laws amendments adopted in two prior proceedings. The substantive fee-struct…
Read the full SEC & CFTC Enforcement brief →Cboe BYX Exchange amends Rule 11.15(a) to permit non-members to serve as clearing firms
Cboe BYX Exchange filed a proposed rule change, effective immediately upon filing, clarifying that a non-member may act as a clearing firm under its rules. The amendment resolves an ambiguity in the existing clearing-fir…
Read the full SEC & CFTC Enforcement brief →Cboe EDGX amends overnight session rules to require separate clearing guarantees and redefine clearing firm eligibility
Cboe EDGX Exchange amended its clearing and order-entry rules for the overnight trading session, with the rule change taking effect immediately upon filing on September 23, 2026. The amendment replaces the prior clearing…
Read the full SEC & CFTC Enforcement brief →Cboe BZX Exchange amends Rule 11.15(a) to permit non-members to serve as clearing firms
Cboe BZX Exchange has amended Rule 11.15(a) to clarify that a non-member entity may act as a clearing firm for transactions on the exchange. The filing took effect immediately upon submission.
Read the full SEC & CFTC Enforcement brief →Cboe EDGA amends clearing rule to adopt qualified clearing agency standard and permit non-member clearing firms
On September 23, 2026, the SEC granted immediate effectiveness to a Cboe EDGA Exchange rule change amending its order execution and routing rule. The amendment replaces the prior registered clearing agency standard with …
Read the full SEC & CFTC Enforcement brief →NYSE Arca amends clearly erroneous execution rule under immediate effectiveness procedure
NYSE Arca has filed a proposed rule change amending its clearly erroneous executions rule, effective immediately upon filing with the SEC. The amendment modifies the standards or procedures governing when NYSE Arca may n…
Read the full SEC & CFTC Enforcement brief →SEC accepts KalshiEX rule change establishing listing standards for security futures products
KalshiEX LLC filed proposed listing standards for security futures products on September 23, 2026, and the SEC granted immediate effectiveness the same day. This marks KalshiEX's formal entry into security futures, a pro…
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