What’s New on the SEC Website
April 7, 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)
Divisions
Division of Investment Management Archive 13(f) Lists
Litigation
Litigation Releases
- William C. Skelley and Sohin S. Shah, Defendants (Release No. LR-25066)
Regulatory Actions
Investment Company Act Notices and Orders
- The Ohio National Life Insurance Company, et al. (Release No. IC-34242; File No. 812-15101)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 (Release No. 34-91495; File No. SR-FINRA-2021-006)
- ICC: Notice of Filing of Proposed Rule Change Relating to the ICC Risk Management Model Description (Release No. 34-91493; File No. SR-ICC-2021-008); see also Exhibit 5
- ICC: Notice of Filing of Proposed Rule Change Relating to ICC's Treasury Operations Policies and Procedures (Release No. 34-91489; File No. SR-ICC-2021-007); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange LLC to Amend Its Fee Schedule (Release No. 34-91498; File No. SR-MIAX-2021-06); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Insert Language Concerning an Initial Listing Requirement Applicable to American Depository Receipts or Shares (Release No. 34-91492; File No. SR-NASDAQ-2021-013); see also Exhibit 5
- NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Changes to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey (Release No. 34-91490; File Nos. SR-NYSE-2021-14, SR-NYSEAMER-2021-10, SR-NYSEArca-2021-13, SR-NYSECHX-2021-03, SR-NYSENAT-2021-04)
- OCC: Notice of No Objection to Advance Notice relating to OCC's Establishment of Persistent Minimum Skin-In-The-Game (Release No. 34-91491; File No. SR-OCC-2021-801)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Equities Fee Schedule (Release No. 34-91497; File No. SR-PEARL-2021-15); see also Exhibit 5 (Release No. 34-91497; File No. SR-PEARL-2021-15)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC to Amend the MIAX Pearl Fee Schedule (Release No. 34-91496; File No. SR-PEARL-2021-10); see also Exhibit 5 (Release No. 34-91496; File No. SR-PEARL-2021-10)
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-91494; File No. SR-CboeEDGX-2021-018); see also Exhibit 5 (Release No. 34-91494; File No. SR-CboeEDGX-2021-018)