What’s New on the SEC Website
May 5, 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
- Hai Khoa Dang (Release No. IA-5731; File No. 3-20282)
- Seth P. Levine, Esq. (Release No. 34-91772; File No. 3-20281)
- Maxwell Drever (Release No. 33-10941; File Nos. 3-20280)
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Extend the Operation of its Flexible Exchange Options ("FLEX Options") Pilot Program Regarding Permissible Exercise Settlement Values for FLEX Index Options (Release No. 34-91782; File No. SR-CBOE-2021-031)
- FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 0180 (Application of Rules to Security-Based Swaps), 4120 (Regulatory Notice and Business Curtailment), 4210 (Margin Requirements), 4220 (Daily Record of Required Margin), 4240 (Margin Requirements for Credit Default Swaps), 4240 (Security-Based Swap Margin Requirements), and 9610 (Procedures for Exemptions - Application) (Release No. 34-91783; File No. SR-FINRA-2021-008)
- ICEEU: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ICEEU Transition of the Rates Used for Calculating Price Alignment Amounts (Release No. 34-91775; File No. SR-ICEEU-2021-012)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 404 to Limit Short Term Options Series Intervals Between Strikes (Release No. 34-91776; File No. SR-MIAX-2021-12); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delay the Implementation of BX's Rule Amendment to Limit Short Term Options Series Intervals to July 1, 2021 (Release No. 34-91773; File No. SR-BX-2021-019); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C and Temporary Rule Relief in Rule 36.30 (Release No. 34-91778; File No. SR-NYSE-2021-29); see also Exhibit 5
- NYSE Arca: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Rule 6.86-O to Eliminate the Use of Dark Series on the Exchange (Release No. 34-91780; File No. SR-NYSEArca-2021-09)
- Phlx: Notice of Filing of Amendment Nos. 1 and 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to List and Trade Options on a Nasdaq-100 Volatility Index (Release No. 34-91781; File No. SR-Phlx-2020-41)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 404 to Limit Short Term Options Series Intervals Between Strikes (Release No. 34-91777; File No. SR-PEARL-2021-19); see also Exhibit 5 (Release No. 34-91777; File No. SR-PEARL-2021-19)
- NYSEAMER: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 970NY and Rule 970.1NY to Eliminate the Use of Dark Series on the Exchange (Release No. 34-91779; File No. SR-NYSEAMER-2021-05)