What’s New on the SEC Website
June 17, 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
- Unikrn, Inc. (Release No. 34-92205; File No. 3-20003)
- Scott A. Doak (Release No. 34-92202; File No. 3-16941)
- REACH Genetics, Inc. (Release No. 34-92195; File No. 3-19986; June 16, 2021)
Commission Opinions and Orders
- The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Release No. IA-5755; File No. 3-16047; June 16, 2021)
News and Public Statements
Press Releases
- SEC Charges Investment Advisers With Cherry-Picking, Obtains Asset Freeze (Release No. 2021-105)
Regulatory Actions
Investment Company Act Notices and Orders
- Calamos Investment Trust and Calamos Advisors LLC (Release No. IC-34303; File No. 812-15173)
Other Commission Orders, Notices, and Information
- Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940 (Release No. IA-5756)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Filing of Proposed Rule Change in Connection With the Proposed Commencement of Operations of Boston Security Token Exchange LLC ("BSTX") (Release No. 34-92206; File No. SR-BOX-2021-14); see also Exhibit 5a, Exhibit 5b
- CBOE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Increase Position Limits for Options on Certain Exchange-Traded Funds and an Exchange-Traded Note (Release No. 34-92204; File No. SR-CBOE-2021-029)
- CBOE: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend Cboe Rules 5.37 and 5.38 in Connection with Allocations at the Conclusion of the Exchange's Automated Improvement Mechanism ("AIM") and Complex AIM ("C-AIM") Auctions (Release No. 34-92203; File No. SR-CBOE-2021-025)
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule (Release No. 34-92201; File No. SR-CboeBZX-2021-045); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Adopt Fees for a New Data Product Known as the Liquidity Taker Event Report (Release No. 34-92208; File No. SR-MIAX-2021-25); see also Exhibit 5
- NASDAQ OMX BX: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-92207; File Nos. SR-BX-2021-018, SR-C2-2021-008, SR-CBOE-2021-030, SR-CboeBYX-2021-011, SR-CboeBZX-2021-034, SR-CboeEDGA-2021-010, SR-CboeEDGX-2021-024, SR-GEMX-2021-03, SR-ISE-2021-08, SR-MRX-2021-05, SR-NASDAQ-2021-029, SR-Phlx-2021-25)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule to Adopt Fees for a New Data Product Known as the Liquidity Taker Event Report (Release No. 34-92209; File No. SR-PEARL-2021-27); see also Exhibit 5