What’s New on the SEC Website
May 10, 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
Litigation
Administrative Proceedings
- Peter J. Decaprio (Release No. IA-5732; File No. 3-20286)
- Northern Trust Hedge Fund Services LLC and Northern Trust Global Fund Services Cayman Limited (Release No. 34-91818; File No. 3-20030)
- Wilmington Trust Corporation (Release No. 34-91816; File No. 3-16098)
- Bethany Liou and Golden California Regional Center, LLC (Release No. 34-91815; File No. 3-19597)
- Gregory P. Herlean (Release No. 34-91814; File No. 3-20289)
- Stephen J. Byrne (Release No. 34-91811; File No. 3-20287)
Commission Opinions and Orders
- Life Critical Care Corporation (Release No. 34-91824; File No. 3-19992)
- Lee C. Schlesinger (Release No. 34-91821; File No. 3-19775)
- Krystal Industries, Inc. (Release No. 34-91817; File No. 3-19969)
- Blackbook Capital, Inc. and Franklin Ogele (Release No. 34-91812; File No. 3-19771)
- Wilson-Davis & Co., James C. Snow and Byron B. Barkley (Release No. 34-91810; File No. 3-19666)
News
Press Releases
- SEC Awards $22 Million to Two Whistleblowers (Release No. 2021-81)
Regulatory Actions
Investment Company Act Notices and Orders
- Putnam ETF Trust, et al. (Release No. IC-34266; File No. 812-15203)
Other Commission Orders, Notices, and Information
- Performance Based Investment Advisory Fees (17 CFR Part 275; Release No. IA-5733; File No. S7-05-21;)
- Order Determining Whistleblower Award Claim (Release No. 34-91808; File No. 2021-45)
- Order Determining Whistleblower Award Claim (Release No. 34-91805; File No. 2021-44)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeBYX: Notice of Filing of a Proposed Rule Change Relating to the Exchange's Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session (Release No. 34-91804; File No. SR-CboeBYX-2021-012); see also: Exhibit 5
- CboeBZX: Notice of Filing of a Proposed Rule Change Relating to the Exchange's Process for Re-Opening Securities Listed on other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or After Hours Trading Session (Release No. 34-91801; File No. SR-CboeBZX-2021-035); see also: Exhibit 5
- CboeEDGA: Notice of Filing of a Proposed Rule Change Relating to the Exchange's Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or Post-Closing Session (Release No. 34-91802; File No. SR-CboeEDGA-2021-011); see also: Exhibit 5
- CboeEDGX: Notice of Filing of a Proposed Rule Change Relating to the Exchange's Process for Re-Opening Securities Listed on Other National Securities Exchanges Following the Resumption of Trading After a Halt, Suspension, or Pause During the Early Trading Session, Pre-Opening Session, or Post-Closing Session (Release No. 34-91803; File No. SR-CboeEDGX-2021-025); see also: Exhibit 5
- OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model (Release No. 34-91833; File No. SR-OCC-2021-005)