What’s New on the SEC Website
May 20, 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
- AtheroNova, Inc. (Release No. 34-91945; File No. 3-20318; May 19, 2021)
- Arias Intel Corp. (Release No. 34-91943; File No. 3-20322; May 19, 2021)
- Chelsea Oil & Gas Ltd. (Release No. 34-91941; File No. 3-20321; May 19, 2021)
- Boston Carriers, Inc. (Release No. 34-91939; File No. 3-20320; May 19, 2021)
Litigation Releases
- LFS Funding Limited Partnership, et al. (Release No. LR-25093)
- BTIG, LLC (Release No. LR-25092)
Trading Suspensions
- AtheroNova, Inc. (Release No. 34-91946; May 19, 2021)
See also Order - Arias Intel Corp. (Release No. 34-91944; May 19, 2021)
See also Order - Chelsea Oil & Gas Ltd. (Release No. 34-91942; May 19, 2021)
See also Order - Boston Carriers, Inc. (Release No. 34-91940; May 19, 2021)
See also Order
News and Public Statements
Speeches
- Remarks at 2021 FINRA Annual Conference By Chair Gary Gensler
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 1011(p)("Specified Risk Event") (Release No. 34-91959; File No. SR-FINRA-2021-011)
- ICC: Order Approving Proposed Rule Change Relating to the ICC Risk Parameter Setting and Review Policy (Release No. 34-91951; File No. SR-ICC-2021-009)
- MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to MSRB Rule A-8 and the By-Laws of the Municipal Securities Rulemaking Board to Update Descriptions of Board Rulemaking Processes and Eliminate Redundant or Obsolete Provisions (Release No. 34-91958; File No. SR-MSRB-2021-03); see also Exhibit 5
- NASDAQ: Order Disapproving a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Listing Rules Applicable to Special Purpose Acquisition Companies whose Business Plan is to Complete One or More Business Combinations (Release No. 34-91961; File No. SR-NASDAQ-2020-062)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending its Price List (Release No. 34-91948; File No. SR-NYSE-2021-33); see also Exhibit 5
- NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade the Shares of ConvexityShares 1x SPIKES Futures ETF under NYSE Arca Rule 8.200-E (Trust Issued Receipts) (Release No. 34-91952; File No. SR-NYSEArca-2021-29)
- NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade the Shares of ConvexityShares Daily 1.5x SPIKES Futures ETF under NYSE Arca Rule 8.200-E (Trust Issued Receipts) (Release No. 34-91949; File No. SR-NYSEArca-2021-28)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 3 (Release No. 34-91960; File No. SR-Phlx-2021-31); see also Exhibit 5