What’s New on the SEC Website
April 15, 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
Litigation
Administrative Proceedings
- Mason Investment Advisory Services, Inc. (Release No. IA-5719; File No. 3-20261)
- Fiat Chrysler Automobiles N.V. (Release No. 34-91572; File No. 3-20092)
- Fiat Chrysler Automobiles N.V. (Release No. 34-91571; File No. 3-20092)
- Laurence I. Balter d/b/a Oracle Investment Research (Release No. 34-91570; File No. 3-17614)
- Trinity Capital Corporation (Release No. 34-91569; File No. 3-16837)
Commission Opinions and Orders
- Toshoan Holdings, Inc. and Toa Optical Tech, Inc (Release No. 34-91580; File No. 3-19649)
- Medical Innovation Holdings, Inc. (Release No. 34-91565; File No. 3-19665; April 14, 2021)
- Grogenesis, Inc. and Golden Gate Partners, Inc. (Release No. 34-91562; File No. 3-19653; April 14, 2021)
- Cannasys, Inc., et al. (Release No. 34-91557; File No. 3-19642; April 14, 2021)
Litigation Releases
- Martin Silver (Release No. LR-25070)
News and Public Statements
Commission Open Meetings
Press Releases
- SEC Awards Over $50 Million to Joint Whistleblowers (Release No. 2021-62)
Regulatory Actions
Investment Company Act Notices and Orders
- Putnam ETF Trust, et al. (Release No. IC-34245; File No. 812-15203)
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Rel. No.: 34-91568; File No. 2021-39)
Public Petitions for Rulemaking
- Request the Commission provide regulatory clarity with respect to the regulation of a new form of digital assets non-fungible tokens (April 12, 2021)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Relating to Categories of Registration and Respective Qualification Examinations Required for Trading Permit Holders and Associated Persons that Engage in Trading Activities on the Exchange (Release No. 34-91576; File No. SR-CBOE-2021-022)
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on October 20, 2021 (Release No. 34-91558; File No. SR-CboeBZX-2021-027; April 14, 2021); see also Exhibit 5
- CboeEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to EDGA Rule 11.15, Clearly Erroneous Executions, to the Close of Business on October 20, 2021 (Release No. 34-91556; File No. SR-CboeEDGA-2021-008; April 14, 2021); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Time to Announce the Implementation Schedule for FINRA's Corporate Bond New Issue Reference Data Service (Release No. 34-91582; File No. SR-FINRA-2021-007)
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Equity 4, Rule 4754 Relating to the Limit-Up Limit-Down Closing Cross (Release No. 34-91581; File No. SR-NASDAQ-2021-009)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Nasdaq Equity 11, Rule 11890 to the Close of Business on October 20, 2021 (Release No. 34-91577; File No. SR-NASDAQ-2021-022); see also Exhibit 5
- NASDAQ: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No.1, to Modify the Quorum Requirement (Release No. 34-91567; File No. SR-NASDAQ-2020-100; April 14, 2021)
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Equity 11, Rule 11890 to the Close of Business on October 20, 2021 (Release No. 34-91575; File No. SR-BX-2021-016); see also Exhibit 5
- NMS: Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. (Release No. 34-91555; File No. 4-698; April 14, 2021)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37-E (Release No. 34-91564; File No. SR-NYSEArca-2021-21; April 14, 2021); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 (Release No. 34-91563; File No. SR-NYSENAT-2021-07; April 14, 2021); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Phlx Equity 4, Rule 3312 to the Close of Business on October 20, 2021 (Release No. 34-91579; File No. SR-Phlx-2021-23); see also Exhibit 5