What’s New on the SEC Website
February 5, 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)
Advisory Committees
ALJ Orders
- Rosedale Asset Management, LLC f/k/a Princeton Advisory Wealth Management, LLC (Release No. AP-6813; File No. 3-20220)
Litigation
Administrative Proceedings
- Rosedale Asset Management, LLC f/k/a Princeton Advisory Wealth Management, LLC (Release No. IA-5680; File No. 3-20220)
Commission Opinions and Orders
- The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Release No. IA-5681; File No. 3-16047)
- Michael Joseph Clarke (Release No. 34-91072; File No. 3-20126)
- David B. Tysk (Release No. 34-91069; File No. 3-17294r)
Litigation Releases
- Stephen Moleski, et al. (Release No. LR-25025; Feb. 5, 2021)
- Mark Ahn (Release No. LR-25024; Feb. 5, 2021)
- Lev Parnas and David Correia (Release No. LR-25023; Feb. 5, 2021)
News
Press Releases
- Kelly L. Gibson Named Acting Deputy Director of Division of Enforcement (Press Release No. 2021-27)
- Katherine K. Martin, Associate Director in the Office of International Affairs, to leave SEC (Press Release No. 2021-26)
Public Statements
- Remarks at the Meeting of the Small Business Capital Formation Advisory Committee, by Commissioner Caroline A. Crenshaw, January 29, 2021
Regulatory Actions
Investment Company Act Notices and Orders
- The RBB Fund, Inc., et al. (Release No. IC-34189; File No. 812-15165)
Other Commission Orders, Notices, and Information
- Security-Based Swap Data Repositories; DTCC Data Repository (U.S.), LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository (Release No. 34-91071; File No. SBSDR-2020-01); see also DTCC Data Repository (U.S.), LLC - Form SDR Application and Exhibits
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Add Options on the Mini-Russell 2000 Index to its P.M. Pilot Program (Release No. 34-91067; File No. SR-CBOE-2020-116)
- FINRA: Order Approving Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. to Align the Grounds for Member Removal from the NAC with an Existing Provision in the FINRA By-Laws (Release No. 34-91070; File No. SR-FINRA-2020-037)
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rule 11.600 Series, the Exchange's Compliance Rule Regarding the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91074; File No. SR-IEX-2021-02); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 971.2NY Regarding its Complex Customer Best Execution Auction (Release No. 34-91068; File No. SR-NYSEAMER-2021-06); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and a Historical Market Data Fee (Release No. 34-91073; File No. SR-PEARL-2021-02); see also Exhibit 5