What’s New on the SEC Website
June 9, 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
Commission Opinions and Orders
- Reach Genetics, Inc. (Release No. 34-92141; File No. 3-19986)
- Robert Escobio (Release No. 34-92129; File No. 3-20260; June 8, 2021)
Litigation Releases
- Matthew O. Clason (Release No. LR-25111)
- Edward E. Matthes (Release No. LR-25110)
Regulatory Actions
Exemptive Orders
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Notice of Filing of a Proposed Rule Change Relating to Members' Filing Requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11) (Release No. 34-92139; File No. SR-FINRA-2021-014)
- FINRA: Order Approving Proposed Rule Change, as Modified by Amendment No. 1, to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that Would Require Members to File Retail Communications Concerning Private Placement Offerings that are Subject to Those Rules' Filing Requirements (Release No. 34-92133; File No. SR-FINRA-2020-038)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Adopt Fees for the Open-Close Report (Release No. 34-92135; File No. SR-MIAX-2021-23); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 114 (f) (Release No. 34-92134; File No. SR-NASDAQ-2021-046); see also Exhibit 5
- NMS: Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed National Market System Plan Regarding Consolidated Equity Market Data (Release No. 34-92130; File No. 4-757)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule (Release No. 34-92132; File No. SR-NYSEArca-2021-51); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule to Adopt Fees for the Open-Close Report (Release No. 34-92137; File No. SR-PEARL-2021-26); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Adopt Fees for the Open-Close Report (Release No. 34-92138; File No. SR-EMERALD-2021-20); see also Exhibit 5
- CboeBZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Kryptoin Bitcoin ETF Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares (Release No. 34-92131; File No. SR-CboeBZX-2021-029)