What’s New on the SEC Website
March 9, 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-6819; File No. 3-20220; March 8, 2021)
News
Press Releases
- SEC Awards Approximately $1.5 Million to Whistleblower (Press Release No. 2021-44)
Regulatory Actions
Investment Company Act Notices and Orders
- Blue Tractor ETF Trust and Blue Tractor Group, LLC (Release No. IC-34221; File No. 812-15162)
Other Commission Orders, Notices, and Information
- Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 (Release No. IA-5696)
- Whistleblower Award Proceeding (Rel. No. 34-91280; File No. 2021-33)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- NYSE Arca: Notice of Withdrawal of a Proposed Rule Change to Amend NYSE Arca Rule 8.601-E to Adopt Generic Listing Standards for Active Proxy Portfolio Shares (Release No. 34-91284; File No. SR-NYSEArca-2020-77)
- NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to List and Trade the Shares of the Teucrium Water Fund under NYSE Arca Rule 8.200-E, Commentary .02 (Release No. 34-91283; File No. SR-NYSEArca-2020-105)
- NYSE Arca: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Rule 8.900-E to Adopt Generic Listing Standards for Managed Portfolio Shares (Release No. 34-91281; File No. SR-NYSEArca-2020-84)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change to Amend Options 7, Section 3, "Rebates and Fees for Adding and Removing Liquidity in SPY" (Release No. 34-91285; File No. SR-Phlx-2021-12); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 519C, Mass Cancellation of Trading Interest (Release No. 34-91282; File No. SR-PEARL-2021-05); see also Exhibit 5