What’s New on the SEC Website
May 13, 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
- Clinton Maurice Tucker II (Release No. 34-91888; File No. 3-20305)
- Securities America Advisors, Inc. (Release No. 34-91884; File No. 3-20150)
- Pledge Petroleum Corp. (Release No. 34-91882; File No. 3-20304; May 12, 2021)
- Moregain Pictures, Inc. (Release No. 34-91879; File No. 3-20303; May 12, 2021)
- Texas South Energy, Inc. (Release No. 34-91869; File No. 3-20302; May 12, 2021)
- Quantum Materials Corp. (Release No. 34-91867; File No. 3-20301; May 12, 2021)
Litigation Releases
- Knight Nguyen Investments, Christopher Knight Lopez, Forrest Andrew Jones, and Jayson Lopez (Release No. LR-25089)
- DaRayl D. Davis and Affluent Advisory Group, LLC (Release No. LR-25088)
Trading Suspensions
- Pledge Petroleum Corp. (Release No. 34-91883; May 12, 2021)
See also Order - Moregain Pictures, Inc. (Release No. 34-91880; May 12, 2021)
See also Order - Texas South Energy, Inc. (Release No. 34-91870; May 12, 2021)
See also Order - Quantum Materials Corp. (Release No. 34-91868; May 12, 2021)
See also Order
News and Public Statements
Commission Closed Meetings
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-91886; File No. SR-CboeEDGX-2021-026); see also Exhibit 5
- ICC: Order Approving Proposed Rule Change Relating to the ICC's Treasury Operations Policies and Procedures (Release No. 34-91894; File No. SR-ICC-2021-007)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Date of its Nasdaq Opening Cross Enhancements to the End of Q2 2021 (Release No. 34-91885; File No. SR-NASDAQ-2021-038)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Shares of the Putnam Focused Large Cap Growth ETF; Putnam Focused Large Cap Value ETF; Putnam Sustainable Future ETF; and Putnam Sustainable Leaders ETF (Release No. 34-91895; File No. SR-NYSEArca-2021-39)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 6, Section 7 (Release No. 34-91887; File No. SR-Phlx-2021-30); see also Exhibit 5