What’s New on the SEC Website
March 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)
Divisions and Offices
Division of Investment Management No-Action Letters
Litigation
Administrative Proceedings
- Jocelyn Murphy (Release No. 34-91270; File No. 3-20239)
Commission Opinions and Orders
- The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Release No. IA-5695; File No. 3-16047)
- David B. Tysk (Release No. 34-91268; File No. 3-17294r)
- Trevor Michael Saliba and Arthur Mansourian (Release No. 34-91267; File Nos. 3-18989, 3-18990)
Litigation Releases
- AT&T, Inc., et al. (Release No. LR-25045; Mar. 5, 2021)
- Craig C. Garrick (Release No. LR-25044; Mar. 5, 2021)
- Airborne Wireless Network, et al. (Release No. LR-25043; Mar. 5, 2021)
News
Press Releases
- SEC Charges AT&T and Three Executives with Selectively Providing Information to Wall Street Analysts (Press Release No. 2021-43)
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeBYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.13 (Order Execution and Routing), as well as its Fee Schedule, to Delete References to the INET and RDOX Routing Options (Release No. 34-91273; File No. SR-CboeBYX-2021-006); Exhibit 5
- CboeBZX: Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3, to List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) (Release No. 34-91264; File No. SR-CboeBZX-2020-070)
- CboeBZX: Notice of Filing of Amendment Nos. 2 and 4 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 2 and 4, to List and Trade Shares of the 2x Long VIX Futures ETF Under BZX Rule 14.11(f)(4) (Trust Issued Receipts) (Release No. 34-91265; File No. SR-CboeBZX-2020-053)
- CboeEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.11 (Routing to Away Trading Centers), as well as its Fee Schedule, to Delete References to the INET and RDOX Routing Options and to Delete All References to the C-LNK Routing and Connectivity Option from its Fee Schedule (Release No. 34-91271; File No. SR-CboeEDGA-2021-007); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-91260; File No. SR-CboeEDGX-2021-013); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.11 (Routing to Away Trading Centers), as well as its Fee Schedule, to Delete References to the INET and RDOX Routing Options (Release No. 34-91272; File No. SR-CboeEDGX-2021-012); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit Firms to File a Form U4 Based on an Electronically Signed Copy of the Form (Release No. 34-91262; File No. SR-FINRA-2021-003)
- NSCC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the InsurExpress and Replacements Services from Rule 57 of the NSCC Rules. (Release No. 34-91261; File No. SR-NSCC-2021-001); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rule 3301B Regarding Reserve Orders (Release No. 34-91263; File No. SR-Phlx-2021-11); see also Exhibit 5