What’s New on the SEC Website
February 4, 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
Division of Corporation Finance
Staff No-Action, Interpretive & Exemptive Letters
Litigation
Administrative Proceedings
- Mathew Martoma (Release No. IA-5679; File No. 3-20219)
- David Hu (Release Nos. 34-91059, IA-5678; File No. 3-20218)
Commission Opinions and Orders
- Robinhood Financial, LLC (Release No. 34-91061; File No. 3-20171)
Trading Suspensions
- ERF Wireless, Inc. (Release No. 34-91052; February 3, 2021)
See also Order
News and Public Statements
Commission Closed Meetings
- Sunshine Act Meeting Notice: Closed Meeting, Thursday, February 11, 2021
- Sunshine Act Meeting Cancellation Notice: Closed Meeting, Thursday, February 4, 2021
Press Releases
Regulatory Actions
Other Commission Orders, Notices, and Information
- Request for Comment on Potential Money Market Fund Reform Measures in President's Working Group Report (Release No. IC-34188; File No. S7-01-21)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeBZX: Notice of Filing of a Proposed Rule Amendment to Allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF (Each a "Fund" and, Collectively, the "Funds"), Each a Series of the Invesco Actively Managed Exchange-Traded Fund Trust (the "Trust"), to Strike and Publish Multiple Intra-day Net Asset Values ("NAVs") and an End-of-Day NAV (Release No. 34-91064; File No. SR-CboeBZX-2021-014)
- DTC: Order Approving a Proposed Rule Change to Update the Distributions Service Guide (Release No. 34-91063; File No. SR-DTC-2020-019)
- FINRA: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that Would Require Members to File Retail Communications Concerning Private Placement Offerings that are Subject to Those Rules' Filing Requirements (Release No. 34-91066; File No. SR-FINRA-2020-038)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change relating to the ALPS Active REIT ETF of ALPS ETF Trust to list and trade shares of the Fund under Nasdaq Rule 5750 (Release No. 34-91062; File No. SR-NASDAQ-2021-005)
- NASDAQ: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets (Release No. 34-91057; File No. SR-NASDAQ-2020-026)
- NASDAQ: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend IM-5101-1 (Use of Discretionary Authority) to Apply Additional or More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market (Release No. 34-91056; File No. SR-NASDAQ-2020-028)
- NYSEAMER: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE American Options Fee Schedule (Release No. 34-91065; File No. SR-NYSEAMER-2021-07); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Relocate Its PSX Equity and General Rules from Its Current Rulebook into Its New Rulebook Shell and Make Other Changes to the Phlx Rules (Release No. 34-91058; File No. SR-Phlx-2021-04); see also Exhibit 5a, Exhibit 5b