What’s New on the SEC Website
March 17, 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)
Litigation
Litigation Releases
- Chris A. Dantin, and Christopher D. Dantin, David P. Ortiz, Andrew L. White (Release No. LR-25053)
- Andrew L. Fassari (Release No. LR-25052)
Regulatory Actions
Other Commission Orders, Notices, and Information
- List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act (Release Nos.33-10934; 34-91344; 39-2537; IA-5698; IC-34225; File No. S7-02-21; )
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- NASDAQ: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Allow Companies to List in Connection with a Direct Listing with a Primary Offering In Which the Company Will Sell Shares Itself In the Opening Auction on the First Day of Trading on Nasdaq and to Explain How the Opening Transaction for Such a Listing Will be Effected (Release No. 34-91345; File No. SR-NASDAQ-2020-057)
- NYSE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend its Rules to Prohibit Member Organizations from Seeking Reimbursement, in Certain Circumstances, from Issuers for Forwarding Proxy and Other Materials to Beneficial Owners (Release No. 34-91343; File No. SR-NYSE-2020-98)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend General 9, Section 19, "Discretionary Power as to Customers' Accounts" and Adopt Two New Rules Within General 9 at Sections 30 and 45 (Release No. 34-91342; File No. SR-Phlx-2021-13); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Expand the Existing Financial Product Distribution Program to Provide for a Derived Data Platform Service (Release No. 34-91341; File No. SR-CboeEDGX-2021-015); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to the EDGX Top Feed (Release No. 34-91338; File No. SR-CboeEDGX-2021-014); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule to Expand the Existing Financial Product Distribution Program to Provide for a Derived Data Platform Service (Release No. 34-91340; File No. SR-CboeBZX-2021-021); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Applicable to the BZX Top Feed (Release No. 34-91339; File No. SR-CboeBZX-2021-020); see also Exhibit 5