What’s New on the SEC Website
May 4, 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
Enforcement Investors Claims Funds
FOIA Program
Frequently Requested FOIA Documents
Litigation
Administrative Proceedings
- Bradley J. Tennison (Release Nos. 34-91749, IA-5729; File No. 3-20279)
Commission Opinions and Orders
- Laurie Bebo and John Buono, CPA (Release No. 34-91768; File No. 3-16239)
- J.W. Korth & Company, LP (Release No. 34-91747; File No. 3-19206)
- Joseph S. Amundsen, Michael T. Remus and Michael Remus CPA (Release No. 34-91746; File No. 3-18994)
- Michael Clark (Release No. 34-91745; File No. 3-20276; May 3, 2021)
Regulatory Actions
Investment Company Act Notices and Orders
- Nushares ETF Trust, et al. (Release No. IC-34265; File No. 812-15199)
- The Ohio National Life Insurance Company, et al. (Release No. IC-34264; File No. 812-15101)
Other Commission Orders, Notices, and Information
- Order Cancelling Registrations of Certain Investment Advisers Pursuant To Section 203(h) of The Investment Advisers Act of 1940 (IA Investment Adviser Cancellation Order)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91757; File No. SR-C2-2021-008); see also Exhibit 5
- CBOE: Notice of Filing of a Proposed Rule Change to Increase Position Limits for Options on Certain Exchange-Traded Funds and an Exchange-Traded Note (Release No. 34-91767; File No. SR-CBOE-2021-029); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91760; File No. SR-CBOE-2021-030); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91755; File No. SR-ISE-2021-08); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the (Release No. 34-91763; File No. SR-NASDAQ-2021-033)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91752; File No. SR-NASDAQ-2021-029); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91750; File No. SR-BX-2021-018); see also Exhibit 5
- NYSE: Order Granting Approval of a Proposed Rule Change of New Rules Providing for the Registration and Obligations of Non-DMM Market Makers (Release No. 34-91769; File No. SR-NYSE-2021-08)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings (Release No. 34-91766; File No. SR-Phlx-2021-27)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91751; File No. SR-Phlx-2021-25); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings (Release No. 34-91765; File No. SR-MRX-2021-06)
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91753; File No. SR-MRX-2021-05); see also Exhibit 5
- MEMX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to the Handling of Displayed Odd Lot Orders and Non-Displayed Orders that Become Locked or Crossed (Release No. 34-91748; File No. SR-MEMX-2021-06); see also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Allow Discretionary Limit Orders to be Reserve Orders (Release No. 34-91754; File No. SR-IEX-2021-08); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Concerning Video Conference Hearings (Release No. 34-91764; File No. SR-GEMX-2021-04)
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91756; File No. SR-GEMX-2021-03); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91758; File No. SR-CboeEDGX-2021-024); see also Exhibit 5
- CboeEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91759; File No. SR-CboeEDGA-2021-010); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91762; File No. SR-CboeBZX-2021-034); see also Exhibit 5
- CboeBYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-91761; File No. SR-CboeBYX-2021-011); see also Exhibit 5