What’s New on the SEC Website
January 19, 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)
Divisions
Enforcement Investors Claims Funds
News and Public Statements
Press Releases
- Shelley E. Parratt, Acting Director of the Division of Corporation Finance, to Conclude SEC Career After 35 Years of Service (Release No. 2021-10)
Public Statements
- UK ICO Provides Clarity Regarding Transfers of Personal Data to the SEC Acting Chairman Elad L. Roisman
Meeting Notice
Litigation
Commission Opinions and Orders
- Jeremy Joseph Drake (Release No. 34-90945; File No. 3-19331)
- Patrick S. Carter (Release No. 34-90942; File No. 3-19515)
Litigation Releases
- Abhi Batra a/k/a Abhimanyu Batra (Release No. LR-25012)
- Jacob C. Glick (Release No. LR-25011)
- Michael Sztrom, David Sztrom, and Sztrom Wealth Management, Inc. (Release No. LR-25010; Jan. 19, 2021)
Trading Suspensions
- Trading Suspensions - Archive 2020
- View Systems, Inc. (Release No. 34-90940)
See also Order
Regulatory Actions
Investment Company Act Notices and Orders
- Signature PE Fund, LLC and McDermott Will & Emery LLP (Release No. IC-34175; File No. 813-00395)
- ETF Series Solutions and Clearshares LLC (Release No. IC-34174; File No. 812-15167)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC Facility (Release No. 34-90946; File No. SR-BOX-2021-01); see also Exhibit 5
- FICC: Order Approving Proposed Rule Change to Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division's Delivery-Versus-Payment Service, and Make Other Changes (Release No. 34-90948; File No. SR-FICC-2020-015)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List (Release No. 34-90947; File No. SR-NYSE-2021-02); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-90953; File No. SR-NYSEArca-2021-05); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule Regarding the Limits on Fees for Options Strategy Executions (Release No. 34-90949; File No. SR-NYSEArca-2021-06); see also Exhibit 5
- OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Update The Options Clearing Corporation's Operational Loss Fee Pursuant to Its Capital Management Policy (Release No. 34-90941; File No. SR-OCC-2021-001)
- Cboe BZX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Monthly Fee Assessed on Members' MPIDs (Release No. 34-90944; File No. SR-CboeBZX-2021-011); aee also Exhibit 5
- Cboe BYX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Monthly Fee Assessed on Members' MPIDs (Release No. 34-90943; File No. SR-CboeBYX-2021-004); see also Exhibit 5