What’s New on the SEC Website
June 15, 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
- Steri-Oss, Inc. (Release No. 34-92184; File No. 3-20005)
- PeakSoft Multinet Corp. (Release No. 34-92182; File No. 3-19993)
- Patrick S. Carter (Release No. 34-92181; File No. 3-19515)
- KJM Securities, Inc. ("Release No. 34-92178; File No. 3-19631; June 14, 2021")
Litigation Releases
- Ali Asif Hamid, Michael Gietz, and Cristine Page a/k/a Cristina Page (Release No. LR-25117; Jun. 15, 2021)
- Robert Joseph Armijo, et al. (Release No. LR-25116)
News
Press Releases
- Six Charged in Silicon Valley Insider Trading Ring (Press Release No. 2021-103)
- SEC Charges Issuer With Cybersecurity Disclosure Controls Failures (Press Release No. 2021-102)
Regulatory Actions
Investment Company Act Notices and Orders
- First Eagle Alternative Capital Bdc, Inc., et al. (Release No. IC-34301; File No. 812-15151)
Other Commission Orders, Notices, and Information
- Notice of Meeting: Asset Management Advisory Committee (Release No. 34-92179; File No. 265-33: June 15, 2021)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FICC: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Add the Sponsored GC Service and Make Other Changes (Release No. 34-92185; File No. SR-FICC-2021-003)
- FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) (Release No. 34-92183; File No. SR-FINRA-2021-015)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule for the Complex PRIME ("cPRIME") Agency Order Credit (Release No. 34-92186; File No. SR-MIAX-2021-26); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rules 4702 and 4703 in Light of Planned Changes to the System (Release No. 34-92180; File No. SR-NASDAQ-2021-044); see also Exhibit 5