What’s New on the SEC Website
April 23, 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
Commission Opinions and Orders
- Unifunds Limited (Release No. 34-91666; File No. 3-19955)
- US VR Global.Com Inc. (Release No. 34-91665; File No. 3-19952)
- Rorine International Holding Corporation (Release No. 34-91662; File No. 3-19956)
- Hollywood Entertainment Edu Holdings, Inc. (Release No. 34-91661; File No. 3-19968)
- HD View 360, Inc. (Release No. 34-91660; File No. 3-19967)
- American Gene Engineer Corp. (Release No. 34-91657; File No. 3-19979)
- AFH Acquisition IX, Inc. (Release No. 34-91653; File No. 3-19966)
- Seen On Screen TV, Inc. and the Pulse Network, Inc. (Release No. 34-91648; File No. 3-19507)
Litigation Releases
- Andrew T. Franzone and FF Fund Management, LLC (Release No. LR-25081; Apr. 23, 2021)
- Gregory Altieri (Release No. LR-25080; Apr. 23, 2021)
News
Press Releases
- SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions (Press Release No. 2021-71)
- SEC Awards More Than $3 Million to Whistleblowers in Two Enforcement Actions (Press Release No. 2021-70)
Regulatory Actions
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-91651; File No. 2021-43)
- Order Determining Whistleblower Award Claim (Release No. 34-91650; File No. 2021-42)
- Order Determining Whistleblower Award Claim (Release No. 34-91649; File No. 2021-41)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Short Term Option Series Program to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ETF Trust (Release No. 34-91656; File No. SR-BOX-2021-10); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.5(d) to Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ Trust ("QQQ") (Release No. 34-91659; File No. SR-CBOE-2021-028); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 19.6.05 to Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ Trust ("QQQ") (Release No. 34-91652; File No. SR-CboeBZX-2021-033); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 19.6.05 to Allow Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ Trust ("QQQ") (Release No. 34-91655; File No. SR-CboeEDGX-2021-023); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust (Release No. 34-91654; File No. SR-ISE-2021-07); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust (Release No. 34-91667; File No. SR-MIAX-2021-16); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust (Release No. 34-91664; File No. SR-NASDAQ-2021-028); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust (Release No. 34-91658; File No. SR-BX-2021-017); see also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 2, to Amend Its Rules to Prohibit Member Organizations from Seeking Reimbursement, in Certain Circumstances, from Issuers for Forwarding Proxy and Other Materials to Beneficial Owners (Release No. 34-91663; File No. SR-NYSE-2020-98); see also Exhibit 5 and Exhibit 4
- PEARL: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the Invesco QQQ TrustSM Series ("QQQ") ETF Trust (Release No. 34-91668; File No. SR-PEARL-2021-21); see also Exhibit 5