What’s New on the SEC Website
June 3, 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
- Emperor Investments, Inc. (Release No. IA-5745; File No. 3-20358)
- Mark Gasarch, Esq. (Release No. 34-92106; File No. 3-15562)
- Bluecrest Capital Management Limited (Release No. 34-92097; File No. 3-20162)
- Morgan Stanley Smith Barney LLC (Release No. 34-92096; File No. 3-19793)
News and Public Statements
Commission Closed Meetings
Press Releases
- David Saltiel Named SEC Acting Director of Trading and Markets; Christian Sabella Departs the Agency (Release No. 2021-92)
Speeches
- Putting the Electric Cart before the Horse: Addressing Inevitable Costs of a New ESG Disclosure Regime by Commissioner Elad L. Roisman
Regulatory Actions
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-92102; File No. 2021-58)
- Order Determining Whistleblower Award Claim (Release No. 34-92101; File No. 2021-57)
- Order Determining Whistleblower Award Claim (Release No. 34-92100; File No. 2021-56)
- Order Determining Whistleblower Award Claim (Release No. 34-92099; File No. 2021-55)
Public Petitions for Rulemaking
- Request the Commission develop mandatory rules for public companies to disclose high-quality, comparable, decision-useful information concerning BLM Pledge fulfillment, submitted by William Michael Cunningham, Creative Investment Research (File No. 4-774)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Adopt Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service (Release No. 34-92105; File No. SR-FINRA-2020-031)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Supplemental Inventory Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) (Release No. 34-92098; File No. SR-FINRA-2021-013); see also Exhibit 3
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend BX Options 7, Section 1, "General Provisions" and Section 2, "BX Options Market- Fees and Rebates." (Release No. 34-92103; File No. SR-BX-2021-025); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Shares of the Nuveen Santa Barbara Dividend Growth ETF, Nuveen Small Cap Select ETF, and Nuveen Winslow Large-Cap Growth ESG ETF Under NYSE Arca Rule 8.601-E (Active Proxy Portfolio Shares) (Release No. 34-92104; File No. SR-NYSEArca-2021-46)