What’s New on the SEC Website
April 6, 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
- Martin Shkreli, et al. (Release No. LR-25065)
Regulatory Actions
Other Commission Orders, Notices, and Information
- Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 (IA Investment Adviser Cancellation Order)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing of a Proposed Rule Change Relating to Adopt Rule 6.10 to Introduce a Voluntary Compression Service for Market Makers (Release No. 34-91482; File No. SR-CBOE-2021-020); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Nonstandard Expirations Pilot Program (Release No. 34-91486; File No. SR-ISE-2021-06); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot to Permit the Listing and Trading of Options Based on 1/5 the Value of the Nasdaq-100 Index (Release No. 34-91485; File No. SR-ISE-2021-05); see also Exhibit 5
- NMS: Order Instituting Proceedings to Determine Whether to Approve or Disapprove an Amendment to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91487; File No. 4-698)
- OCC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change to Establish OCC's Persistent Minimum Skin-In-The-Game (Release No. 34-91483; File No. SR-OCC-2021-003)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Phlx Options Rules at Options 4 Under the Options 4 Title in the Exchanges Rulebooks Shell Structure (Release No. 34-91488; File No. SR-Phlx-2021-14); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Nonstandard Expirations Pilot Program (Release No. 34-91484; File No. SR-Phlx-2021-21); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Phlx's Pricing Schedule at Options 7, Section 8, "Membership Fees." (Release No. 34-91481; File No. SR-Phlx-2021-19); see also Exhibit 5