What’s New on the SEC Website
April 8, 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
- Don Warner Reinhard (Release No. IA-5715; File No. 3-20259)
- John Alexander Van Arem (Release No. 34-91511; File No. 3-20258)
- Fifth Street Management, LLC (Release No. 34-91509; File No. 3-18909)
- Fortress Investment Management, LLC, William M. Malloy, III. (Release No. 34-91508; File No. 3-19715)
- Super Micro Computer, Inc. (Release No. 34-91507; File No. 3-19927); see also Distribution Plan (Release No. 34-91507; File No. 3-19927)
Commission Opinions and Orders
- Raran Corporation, Refco Public Commodity Pool, L.P. and Rent USA, Inc. (Release No. 34-91513; File No. 3-19505)
- Shawn K. Dicken (Release No. 34-91512; File No. 3-18831)
Litigation Releases
- Clarence Dean Alford (Release No. LR-25068)
- Zachary J. Horwitz, et al. (Release No. LR-25067)
News and Public Statements
Commission Closed Meetings
- Sunshine Act Meeting Notice: Closed Meeting, Thursday, April 15, 2021
- Cancelled: Closed Meeting, Thursday, April 8, 2021
Press Releases
- Jane Norberg, Chief of the SEC's Office of the Whistleblower, to Leave Agency (Release No. 2021-59)
Public Statements
- SPACs, IPOs and Liability Risk under the Securities Laws by John Coates, Acting Director, Division of Corporation Finance
Regulatory Actions
Investment Company Act Notices and Orders
- Nuveen Fund Advisors, LLC, et al. (Release No. IC-34243; File No. 812-15199)
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 Effective (Release No. 34-91506; File No. SR-FINRA-2021-005); see also Exhibit 5
- ICC: Notice of Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy (Release No. 34-91517; File No. SR-ICC-2021-009); see also Exhibit 5
- ICC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICC Clearing Rules (Release No. 34-91516; File No. SR-ICC-2021-010); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule Regarding cPRIME Agency Order Rebates (Release No. 34-91505; File No. SR-MIAX-2021-07); see also Exhibit 5
- NMS: Notice of Designation of a Longer Period for Commission Action on a Proposed National Market System Plan Regarding Consolidated Equity Market Data (Release No. 34-91504; File No. 4-757)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change List and Trade Shares of the: Fidelity Women's Leadership ETF and Fidelity Sustainability U.S. Equity ETF (Release No. 34-91514; File No. SR-NYSEArca-2021-23)
- NYSEAMER: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE American Options Fee Schedule (Release No. 34-91510; File No. SR-NYSEAMER-2021-20); see also Exhibit 5
- NYSECHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 (Release No. 34-91503; File No. SR-NYSECHX-2021-05); see also Exhibit 5