What’s New on the SEC Website
March 19, 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
Commission Opinions and Orders
- The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Release No. IA-5699; File No. 3-16047)
- Trevor Michael Saliba and Arthur Mansourian (Release No. 34-91375; File Nos. 3-18989, 3-18990)
- Genoil, Inc. and Samex Mining Corp. (Release No. 34-91374; File No. 3-19661)
Litigation Releases
- Jessica Richman and Zachary Apte (Release No. LR-25056)
- Chatfield PCS Ltd. et al. (Release No. LR-25055)
- Seth P. Levine (Release No. LR-25054)
News
Public Statements and Speeches
- An Honest Conversation about ESG Regulation, by Commissioner Elad L. Roisman
- Remarks at Asset Management Advisory Committee Meeting, by Commissioner Hester M. Peirce
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Order Approving a Proposed Rule Change to Amend BOX Rule 7620 (Accommodation Transactions) (Release No. 34-91368; File No. SR-BOX-2020-38)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Program Related to FINRA Rule 11892 (Clearly Erroneous Transactions in Exchange-Listed Securities) (Release No. 34-91373; File No. SR-FINRA-2021-004); see also Exhibit 5
- ICEEU: Order Approving Proposed Rule Change Relating to Amendments to the ICE Clear Europe Price Submission Disciplinary Framework (Release No. 34-91376; File No. SR-ICEEU-2021-002)
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Books and Records Rules and Update Obsolete NASD References in its Rulebook (Release No. 34-91370; File No. SR-BX-2021-006); see also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change of New Rules Providing for the Registration and Obligations of Non-DMM Market Makers (Release No. 34-91377; File No. SR-NYSE-2021-08); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Proprietary Market Data Fee Schedule (Release No. 34-91365; File No. SR-NYSE-2021-17); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule (Release No. 34-91366; File No. SR-NYSEAMER-2021-14); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Equities Proprietary Market Data Fee Schedule and the NYSE American Options Proprietary Market Data Fee Schedule (Release No. 34-91367; File No. SR-NYSEAMER-2021-15); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule (Release No. 34-91372; File No. SR-NYSEArca-2021-18); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Proprietary Market Data Fee Schedule and the NYSE Arca Options Proprietary Market Data Fee Schedule (Release No. 34-91371; File No. SR-NYSEArca-2021-19); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE National Proprietary Market Data Fee Schedule (Release No. 34-91369; File No. SR-NYSENAT-2021-06); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the NYSE American Options Fee Schedule (Release No. 34-91366; File No. SR-NYSEAMER-2021-14); see also Exhibit 5