What’s New on the SEC Website
May 19, 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
- Gil Beserglik, Raz Beserglik and Kai Christian Petersen (Release No. 34-91938; File No. 3-20319)
- Wireline, Inc. (Release No. 34-91934; File No. 3-20206)
- Echo Therapeutics, Inc. (Release No. 34-91928; File No. 3-20316; May 18, 2021)
Trading Suspensions
- Echo Therapeutics, Inc. (Release No. 34-91929; May 18, 2021)
See also Order
Regulatory Actions
Investment Company Act Notices and Orders
- Calamos Investment Trust, et al. (Release No. IC-34273; File No. 812-15173)
Other Commission Orders, Notices, and Information
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Notice of Filing of a Proposed Rule Change to Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036 (Release No. 34-91937; File No. SR-FINRA-2021-010); see also Exhibit 5
- NASDAQ: Order Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Allow Companies to List in Connection with a Direct Listing with a Primary Offering In Which the Company Will Sell Shares Itself In the Opening Auction on the First Day of Trading on Nasdaq and to Explain How the Opening Transaction for Such a Listing Will be Effected (Release No. 34-91947; File No. SR-NASDAQ-2020-057); see also Exhibit 5
- NASDAQ: Exhibit 4 (Release No. 34-91947; File No. SR-NASDAQ-2020-057)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule (Release No. 34-91936; File No. SR-NYSEArca-2021-41); see also Exhibit 5
- OCC: Order Granting Approval of Proposed Rule Change Relating to Revisions to OCC's Auction Participation Requirements (Release No. 34-91935; File No. SR-OCC-2021-004)