What’s New on the SEC Website
February 1, 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)
ALJ Orders
- Norman T. Reynolds, Esq. (Release No. AP-6812; File No. 3-20136)
Divisions
Enforcement Investors Claims Funds
Litigation
Administrative Proceedings
- Amogh Karney (Release Nos. 34-91026, IA-5677; File No. 3-20215)
Commission Opinions and Orders
- Robbi J. Jones, Kipling Jones & Company, Ltd. Financial Industry Regulatory Authority (Release No. 34-91023; File No. 3-20209)
Litigation Releases
- Kristijan Krstic (a/k/a Felix Logan), John DeMarr and Robin Enos (Release No. LR-25020)
News and Public Statements
Press Releases
- SEC Charges Three Individuals in Digital Asset Frauds (Release No. 2021-22)
- Acting Chair Allison Herren Lee Announces Executive Staff (Release No. 2021-21)
- Satyam Khanna Named Senior Policy Advisor for Climate and ESG (Release No. 2021-20)
- John Coates Named Acting Director of the Division of Corporation Finance (Release No. 2021-19)
Regulatory Actions
Investment Company Act Notices and Orders
- Esoterica Thematic Trust and Esoterica Capital LLC (Release No. IC-34185; File No. 812-15106)
- The Advisors' Inner Circle Fund and Pathstone Family Office, LLC (Release No. IC-34184; File No. 812-15166)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule (Release No. 34-91028; File No. SR-CBOE-2021-008); see also Exhibit 5
- ICC: Notice of Filing of Proposed Rule Change Relating to the ICC Operational Risk Management Framework (Release No. 34-91024; File No. SR-ICC-2021-003; Feb)
- MEMX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Interpretation and Policy .03 to Exchange Rule 4.2 Regarding the Provision of Members' Broker-Dealer Annual Reports (Release No. 34-91027; File No. SR-MEMX-2021-01) see also: Exhibit 5
- MIAX Emerald: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule To Adopt a One-Time Membership Application Fee, Application Programming Interface ("API") Testing and Certification Fees, and Network Connectivity Testing and Certification Fees (Release No. 34-91030; File No. SR-EMERALD-2021-01; ) see also: Exhibit 5
- NYSE: Order Approving a Proposed Rule Change to Adopt NYSE Rule 5.2(j)(8) Governing the Listing and Trading of Exchange-Traded Fund Shares (Release No. 34-91029; File No. SR-NYSE-2020-86)
- NYSE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend its Rules Establishing Maximum Fee Rates to be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners (Release No. 34-91025; File No. SR-NYSE-2020-96)
- NYSE Arca: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, Regarding the Availability of Information for the iShares Gold Trust, the iShares Silver Trust, and the iShares S&P GSCI Commodity-Indexed Trust (Release No. 34-91031; File No. SR-NYSEArca-2020-98)