What’s New on the SEC Website
March 16, 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
- Quicksilver Stock Transfer, LLC and a/k/a Quicksilver Stock Transfer Corporation (Release No. AP-6820; File No. 3-19303)
Litigation
Administrative Proceedings
- Joel M. Frank (Release No. 34-91337; File No. 3-17595)
Commission Opinions and Orders
- Dougherty's Pharmacy, Inc. (Release No. 34-91327; File No. 3-20155; March 15, 2021)
Regulatory Actions
Investment Company Act Notices and Orders
- Strategas Trust and Strategas Securities, LLC (Release No. IC-34223; File No. 812-15160)
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-91332; File No. 2021-34)
- ICE Trade Vault, LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository (Release No. 34-91331; File No. SBSDR-2021-01); see also ICE Trade Vault, LLC - Form SDR Application and Exhibits
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CFE: Notice of a Filing of a Proposed Rule Change to Update Regulatory Independence Policies (Release No. 34-91333; File No. SR-CFE-2021-005); see also Exhibit 4
- DTC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Remove the Requirement for Participants to Submit Monthly Position Confirmations and Clarify Participant Obligation to Reconcile Activity on a Regular Basis (Release No. 34-91336; File No. SR-DTC-2021-003); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4703 Regarding Reserve Orders (Release No. 34-91334; File No. SR-BX-2021-005); see also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.110 (Release No. 34-91335; File No. SR-IEX-2021-04); see also Exhibit 5