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Regulation & law · 10/11/20261 min read

Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934

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Order Cancelling Registrations of Certain Municipal Advisors Pursuant to Section 15B(c)(3) of the Securities Exchange Act of 1934.

Original source language: Federal Register — SECOpen original release →

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Regulation & law · 11/8/2026

Order Under Section 36 of the Securities Exchange Act of 1934 (the “Exchange Act”) Granting Conditional Exemptive Relief From Section 15(c)(3) of and Rule 15c3-3a, Note H Under the Exchange Act Relating to Certain Centrally Cleared U.S. Treasury Transactions

Order Under Section 36 of the Securities Exchange Act of 1934 (the “Exchange Act”) Granting Conditional Exemptive Relief From Section 15(c)(3) of and Rule 15c3-3a, Note H Under the Exchange Act Relating to Certain Centrally Cleared U.S. Treasury Transactions.

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Regulation & law · 11/10/2026

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 3.291 (Influencing or Rewarding Employees of Others; Gratuities), To Conform to the Rules of FINRA for Purposes of an Agreement Between the Exchange and FINRA Pursuant To Rule 17d-2 Under the Act

Self-Regulatory Organizations; Investors Exchange LLC; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Amend IEX Rule 3.291 (Influencing or Rewarding Employees of Others; Gratuities), To Conform to the Rules of FINRA for Purposes of an Agreement Between the Exchange and FINRA Pursuant To Rule 17d-2 Under the Act.

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Regulation & law · 11/10/2026

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division

Self-Regulatory Organizations; Fixed Income Clearing Corporation; Order Instituting Proceedings To Determine Whether To Approve or Disapprove a Proposed Rule Change, as Modified by Partial Amendment No. 1, To Establish a Guaranty Fund at the Government Securities Division.

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