Comment Letters

SEC

August 2026Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance (RIN 3038–AF71; File No. S7–2026–21)
August 2026Release No. 34-105655; File No. S7-2026-20; The Trade-Through Rule and Locked and Crossed Markets Provisions of Regulation NMS
August 2026Securities Exchange Act Release No. 34-105596; File No. 4-631 Joint Industry Plan; Notice of Filing of the Twenty-Seventh Amendment to the National Market System Plan
August 2026SR-CBOE-2026-061; Release No. 34-105877; Notice of Filing of a Proposed Rule Change to Amend its Rules to Permit the Listing of Binary Options Overlying Key Performance Indicators ("KPIs") Reported by Certain Issuers of Stock ("Binary KPI Options")
June 2026File Number S7-2026-12, Concept Release on Consolidated Audit Trail and Other Audit Trails and Data Sources
May 2026 File Number CLL-15: Statement on Reforming Regulation S-K
April 2026File Number 4-887, SEC Roundtable on Options Market Structure Reform
February 2026SR-FINRA-2026-001; Release No. 34-104746; Notice of Filing of a Proposed Rule Change To Adopt FINRA Rule 3290 (Outside Activities Requirements)
February 2026SR–NASDAQ–2025–103; Release No. 34–104423; Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Adopt Nasdaq Options 9, Section 25 To Codify an Options Unbundling Rule
February 2026SR-FINRA-2025-017, Release No. 34–104572; Notice of Filing of a Proposed Rule Change To Amend FINRA Rule 4210 (Margin Requirements) To Replace the Day Trading Margin Provisions With Intraday Margin Standards
October 2025File Number 600-39, Paxos Securities Settlement Company, LLC; Notice of Filing of an Application for Registration as a Clearing Agency Under Section 17A of the Securities Exchange Act of 1934
September 2025File Number 4-862, SEC Roundtable on Trade-Through Prohibitions
February 2024Options Price Reporting Authority; Notice of Filing of Proposed Amendment to Modify Section 5.2(c)(iii) of the OPRA Plan Relating to Dissemination of Exchange Proprietary Data Information (Release No. 34-99345; File No. 4-820)
March 2023File No. S7-32-22: Regulation Best Execution
March 2023File No. S7-31-22: Order Competition Rule
March 2023File No. S7-30-22: Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders
March 2023Regulation NMS (S7-30-22) Disclosure of Order Execution Information (S7-29-22)
August 2022Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change To Adopt Intraday Volatility Charge and Eliminate Intraday Backtesting Charge (Rel. No. 34-95286; File Number SR-NSCC-2022-009)
August 2022Self-Regulatory Organizations; National Securities Clearing Corporation; Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, To Revise the Excess Capital Premium Charge (Rel. No. 34-95026; File No. SR-NSCC-2022-005)
October 2021Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information ..., Rel. Nos. 34-92766; IA-5833; File No. S7-10-21

FINRA

March 2026Regulatory Notice 26-02; Fraud Protection; FINRA Requests Comment on Rule Revisions to Help Member Firms Protect Senior Investors From Financial Exploitation and All Investors From Fraud
June 2025Regulatory Notice 25-04 (FINRA Launches Broad Review to Modernize Rules Regarding Member Firms and Associated Persons)
May 2025Regulatory Notice 25-05 (FINRA Requests Comment on a Proposal to Reduce Unnecessary Burdens and Simplify Requirements Regarding Associated Persons’ Outside Activities)
May 2025Requests for Comment on Trading and Clearing of “Perpetual” Style Derivatives and on Trading and Clearing of Derivatives on a 24/7 Basis
January 2025Regulatory Notice 24-13 (Retrospective Rule Review: Day Trading; FINRA Requests Comment on the Effectiveness and Efficiency of its Requirements Relating to Day Trading)
May 2022Regulatory Notice 22-08 (Complex Products and Options)
June 2021Regulatory Notice 21-17: Supporting Diversity and Inclusion in the Broker-Dealer Industry

CFTC

August 2026Request for Comment on the Extension of Standard Futures Contracts to 24/7 Trading and on Perpetual Contracts Referencing Physically Delivered or Storable Energy Commodities, RIN 3038-AF75
August 2026Joint Request for Comment on Further Definition of “Swap” and “Security-Based Swap” and on Alternative Compliance (RIN 3038–AF71; File No. S7–2026–21)
July 2026Request for Comment on Notice of Proposed Rulemaking Concerning Data Reporting Requirements for Certain Event Contracts (RIN 3038–AF73)
July 2026Comment Letter on Notice of Proposed Rulemaking Relating to Prediction Markets; Public Interest Determinations (RIN 3038–AF65)
April 2026Request for Comment on Advanced Notice of Proposed Rulemaking Relating to Prediction Markets (Release Number 9194-26)
January 2026Requests for Comment on the Direct Clearing of Derivatives by Retail Participants
May 2025Requests for Comment on Trading and Clearing of “Perpetual” Style Derivatives and on Trading and Clearing of Derivatives on a 24/7 Basis
May 2024CFTC Proposed Rule on Event Contracts; Notice of Filing of Proposed Amendments to CFTC Regulation Section 40.11 (Rel. No. 8907-24; RIN 3038-AF14)

CFPB

October 2025Policy Regarding Implementation of Section 1033 – Personal Financial Data Rights

Other Agencies and Departments

August 2025Open Banking CEO Letter to President Trump
February 2024Request for Information on Financial Inclusion,TREAS-DO-2023-0014