What’s New on the SEC Website
March 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)
ALJ Orders
- Rosedale Asset Management, LLC and f/k/a Princeton Advisory Wealth Management, LLC (Release No. AP-6818; File No. 3-20220)
Litigation
Commission Opinions and Orders
- Gray Financial Group, Inc., et al. (Release No. 34-91255; File No. 3-16554)
Litigation Releases
- World Tree Financial, LLC, et al. (Release No. LR-25042); see also Final Judgment
News and Public Statements
Commission Closed Meetings
Press Releases
- SEC Announces Enforcement Task Force Focused on Climate and ESG Issues (Release No. 2021-42)
- SEC Issues Over $5 Million to Joint Whistleblowers Located Abroad (Release No. 2021-41)
Public Statements
- Enhancing Focus on the SEC’s Enhanced Climate Change Efforts by Commissioner Hester M. Peirce, Commissioner Elad L. Roisman
Regulatory Actions
Investment Company Act Notices and Orders
- Brighthouse Life Insurance Company, et al. (Release No. IC-34220; File No. 812-15140)
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-91253; File No. 2021-32)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule (Release No. 34-91259; File No. SR-CBOE-2021-014); see also Exhibit 5
- CBOE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes (Release No. 34-91257; File No. SR-CBOE-2020-106)
- FINRA: Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111) (Release No. 34-91258; File No. SR-FINRA-2020-041)
- MEMX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.6(h)(1) to Enable Users to Include a Limit Price on a Pegged Order with a Primary Peg Instruction (Release No. 34-91256; File No. SR-MEMX-2021-03); see also Exhibit 5
- Phlx: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Options on a Nasdaq-100 Volatility Index (Release No. 34-91254; File No. SR-Phlx-2020-41)