What’s New on the SEC Website
January 21, 2021
This page provides a daily list of the most recent materials posted to the SEC website. Note that the official release date of a document may differ from the posting date, in which case, the release date is indicated in parentheses. See also:
- Upcoming Events for a list of upcoming public events including meetings, public appearances, and hearings.
- Latest Filings for the most recent company filings.
- Previous What’s New Issues
- News Digest Archives (1956-2013)
Litigation
Administrative Proceedings
- Reginald Buddy Ringgold, III and Aka Rasool Abdul Rahim El (Release No. IA-5671; File No. 3-20208)
- Dominick & Dominick LLC and Robert X. Reilly (Release No. 34-90959; File No. 3-15987)
Commission Opinions and Orders
- Cynthia Mary Couyoumjian Financial Industry Regulatory Authority (Release No. 34-90963; File No. 3-20154)
- John Thomas Capital Management Group LLC d/b/a Patriot28 LLC; and George R. Jarkesy, Jr. (Release Nos. 33-10921, 34-90965, IA-5672, IC-34179; File No. 3-15255)
Litigation Releases
- Geoffrey Thompson (Release No. LR-25014; Jan. 21, 2021)
- William Andrew Stack, Esq. (Release No. LR-25013; Jan. 21, 2021)
News
Press Releases
- Allison Herren Lee Named Acting Chair of the SEC (Press Release No. 2021-13)
- SEC Updates List of Firms Using Inaccurate Information to Solicit Investors (Press Release No. 2021-12)
Public Statements
- Statement on Designation of Commissioner Lee as Acting Chairman, by Commissioner Hester M. Peirce, Commissioner Elad L. Roisman, Commissioner Caroline A. Crenshaw
Regulatory Actions
Investment Company Act Deregistration Notices and Orders
Investment Company Act Notices and Orders
- Alps ETF Trust, et al. (Release No. IC-34181; File No. 812-15169)
- J.P. Morgan Investment Management Inc., et al. (Release No. IC-34180; File No. 812-15158)
- KKR Registered Advisor LLC and KKR Real Estate Select Trust Inc. (Release No. IC-34176; File No. 812-15096-01)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeBZX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Expand the Annual Listing Fee Cap for Outcome Strategy ETPs to Include Series Having Returns Based on Two or More Reference Indexes (Release No. 34-90957; File No. SR-CboeBZX-2021-012)
- CboeEDGA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Monthly Fee Assessed on Members' MPIDs (Release No. 34-90964; File No. SR-CboeEDGA-2021-004)
- NYSEAMER: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE American Options Fee Schedule (Release No. 34-90956; File No. SR-NYSEAMER-2021-03)
- PEARL: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's By-Laws in Connection with an Equity Rights Program (Release No. 34-90962; File No. SR-PEARL-2020-30)
- OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to Part 39 of the Commodity Futures Trading Commission Regulations (Release No. 34-90960; File No. SR-OCC-2021-002); see also Exhibit 5