What’s New on the SEC Website
April 29, 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 Corporation Finance
Staff No-Action, Interpretive & Exemptive Letters
Litigation
Administrative Proceedings
- HQDA Elderly Life Network, Inc. (Release Nos. 34-91723, AAER-4219; File No. 3-20275)
- Daniels Corporate Advisory Company, Inc. (Release Nos. 34-91722, AAER-4218; File No. 3-20274)
- Rokk3r, Inc. (Release Nos. 34-91721, AAER-4217; File No. 3-20273)
- Igen Networks Corp. (Release Nos. 34-91719, AAER-4216; File No. 3-20272)
- Asta Funding, Inc. (Release Nos. 34-91718, AAER-4215; File No. 3-20271)
- ShiftPixy, Inc. (Release Nos. 34-91717, AAER-4214; File No. 3-20270)
- Trutankless, Inc. (Release Nos. 34-91716, AAER-4213; File No. 3-20269)
- Fortem Resources, Inc. (Release Nos. 34-91715, AAER-4212; File No. 3-20268)
Litigation Releases
- Rahsaan King and Students of Strength, Inc. (Release No. LR-25085)
- Mark Ahn (Release No. LR-25084)
News and Public Statements
Commission Closed Meetings
Press Releases
- SEC Charges Eight Companies for Failure to Disclose Complete Information on Form NT (Release No. 2021-76)
Regulatory Actions
Investment Company Act Notices and Orders
- HPS Corporate Lending Fund and HPS Investment Partners, LLC (Release No. IC-34259; File No. 812-15207)
Public Petitions for Rulemaking
- Request to change the rules which qualifies an individual or individuals as an accredited investor (File No. 4-733, April 26, 2021)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Filing of Proposed Rule Change to Adopt BOX Rule 7670 to Establish a Virtual Trading Floor on BOX (Release No. 34-91714; File No. SR-BOX-2021-07); see also Exhibit 5
- CBOE: Notice of Filing of a Proposed Rule Change to Amend the Sixth Amended and Restated Bylaws of Cboe Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. to Implement Proxy Access (Release No. 34-91728; File No. SR-CBOE-2021-023); see also Exhibit 5
- CboeBYX: Notice of Filing of a Proposed Rule Change to Amend the Sixth Amended and Restated Bylaws of Cboe BYX Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. to Implement Proxy Access (Release No. 34-91729; File No. SR-CboeBYX-2021-009); see also Exhibit 5
- CboeBZX: Notice of Filing of a Proposed Rule Change to Amend the Sixth Amended and Restated Bylaws of Cboe BZX Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. to Implement Proxy Access (Release No. 34-91727; File No. SR-CboeBZX-2021-028); see also Exhibit 5
- CboeEDGA: Notice of Filing of a Proposed Rule Change to Amend the Sixth Amended and Restated Bylaws of Cboe EDGA Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. to Implement Proxy Access (Release No. 34-91725; File No. SR-CboeEDGA-2021-009); see also Exhibit 5
- CboeEDGX: Notice of Filing of a Proposed Rule Change to Amend the Sixth Amended and Restated Bylaws of Cboe EDGX Exchange, Inc.'s Parent Corporation, Cboe Global Markets, Inc. to Implement Proxy Access (Release No. 34-91724; File No. SR-CboeEDGX-2021-021); see also Exhibit 5
- Emerald: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) to Exchange Rule 1900, Registration Requirements, to Extend the Expiration Date of the Temporary Amendment Set Forth in SR-EMERALD-2020-21 from April 30, 2021 to June 30, 2021 (Release No. 34-91702; File No. SR-EMERALD-2021-15); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Exchange Rule 515, Execution of Orders and Quotes; Rule 516, Order Types Defined; Rule 517, Quote Types Defined; Rule 605, Market Maker Orders; and Rule 612, Aggregate Risk Manager to Eliminate Fill-or-Kill (FOK) Orders and FOK eQuotes (Release No. 34-91701; File No. SR-EMERALD-2021-14); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) to Exchange Rule 1900, Registration Requirements, to Extend the Expiration Date of the Temporary Amendment Set Forth in SR-MIAX-2020-42 from April 30, 2021 to June 30, 2021 (Release No. 34-91703; File No. SR-MIAX-2021-13); see also Exhibit 5
- NSCC - Advance Notice: Notice of Filing of and No Objection to Advance Notice Regarding the Renewal of a 364-day Committed Revolving Line-of-Credit and Future Annual Renewals (Release No. 34-91720; File No. SR-NSCC-2021-802)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the New York Stock Exchange Price List (Release No. 34-91711; File No. SR-NYSE-2021-26); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date in Commentary .10 under NYSE Rule 1210 (Release No. 34-91705; File No. SR-NYSE-2021-28); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fees and Charges and the NYSE Arca Equities Fees and Charges Schedules (Release No. 34-91713; File No. SR-NYSEArca-2021-26); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date in Commentary .10 under NYSE Arca Rule 2.1210 (Release No. 34-91707; File No. SR-NYSEArca-2021-30); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE American Equities Price List and Fee Schedule and the NYSE American Options Fee Schedule (Release No. 34-91712; File No. SR-NYSEAMER-2021-22); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date in Commentary .10 under NYSE American Rule 2.1210 (Release No. 34-91706; File No. SR-NYSEAMER-2021-24); see also Exhibit 5
- NYSECHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date in Interpretation and Policy .10 under NYSE Chicago Article 6, Rule 13 (Release No. 34-91708; File No. SR-NYSECHX-2021-09); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Effective Date in Commentary .10 under NYSE National Rule 2.1210 (Release No. 34-91709; File No. SR-NYSENAT-2021-12); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) to Exchange Rule 3100, Registration Requirements, to Extend The Expiration Date of The Temporary Amendment Set forth in SR-PEARL-2020-36 from April 30, 2021 to June 30, 2021 (Release No. 34-91710; File No. SR-PEARL-2021-18); see also Exhibit 5