What’s New on the SEC Website
April 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)
Litigation
Administrative Proceedings
- E*Hedge Securities Inc. f/k/a E*Hedge Inc. and Devon W. Parks (Release Nos. IA-5713; File No. 3-20257)
- Christopher E. Knauth, CPA (Release Nos. 34-91475, AAER-4207; File No. 3-20256)
Commission Opinions and Orders
- Anthony Vassallo (Release No. IA-5712; File No. 3-19497)
- Ronald P. Haller (Release No. 34-91480; File No. 3-19480)
News and Public Statements
Press Releases
- SEC Issues Notice of Substituted Compliance Application and Proposed Substituted Compliance Order for United Kingdom and Reopens Comment Period for Notice and Proposed Substituted Compliance Order for France (Release No. 2021-57)
- Auditor Charged for Failure to Register with PCAOB and Multiple Audit Failures (Release No. 2021-56)
- SEC Promotes Investor Awareness During National Financial Capability Month (Release No. 2021-55)
Regulatory Actions
Investment Company Act Notices and Orders
- Azzad Funds and Azzad Asset Management, Inc. (Release No. IC-34241; File No. 812-15189)
- SharesPost 100 Fund and Liberty Street Advisors, Inc. (Release No. IC-34240; File No. 812-15185)
Other Commission Orders, Notices, and Information
- Reopening of Comment Period for Order Proposing Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the French Republic (Release No. 34-91477; File No. S7-22-20)
- Notice of Substituted Compliance Application Submitted by the United Kingdom Financial Conduct Authority in Connection with Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom; Proposed Order (Release No. 34-91476; File No. S7-04-21)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeBZX: Notice of Filing of a Proposed Rule Change to Extend the Cutoff Time for Accepting on Close Orders Entered for Participation in the Exchange's Closing Auction and to Clarify Changes to the Definitions of Late-Limit-On-Close and Late-Limit-On-Open Orders as Provided in Exchange Rule 11.23 (Release No. 34-91479; File No. SR-CboeBZX-2021-023); see also: Exhibit 5
- FINRA: 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 Adopt Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service (Release No. 34-91474; File No. SR-FINRA-2020-031)
- ICC: Notice of Filing of Proposed Rule Change Relating to the ICC Recovery Plan and the ICC Wind-Down Plan (Release No. 34-91439; File No. SR-ICC-2021-005); see also: Exhibit 5
- MEMX: Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change to Amend the Corporate Documents of the Exchange's Parent Company (Release No. 34-91478; File No. SR-MEMX-2021-04); see also: Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Options 7, Section 1, "General Provisions," and Options 7, Section 2, "BX Options Market- Fees and Rebates" (Release No. 34-91473; File No. SR-BX-2021-009); see also: Exhibit 5