What’s New on the SEC Website
July 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)
Divisions
Division of Investment Management
Litigation
Administrative Proceedings
- Kestra Private Wealth Services, LLC (Release No. IA-5771; File No. 3-20391)
- Kestra Advisory Services, LLC (Release No. IA-5770; File No. 3-20390)
- Hilltop Securities Inc. and Daniel C. Tracy (Release Nos. 34-92370, IA-5768; File No. 3-20389)
- PLS, CPA, et al. (Release Nos. 34-92361, AAER-4224; File No. 3-19767)
Commission Opinions and Orders
- Saving2Retire, LLC and Marian P. Young (Release No. IA-5769; File No. 3-17352)
- Robert R. Tweed (Release No. 34-92372; File No. 3-19652)
- Equitec Proprietary Markets, LLC (Release No. 34-92371; File No. 3-19182)
- Scottsdale Capital Advisors Corporation, et al. (Release No. 34-92369; File No. 3-18612)
News
Press Releases
- SEC Charges TheBull with Selling "Insider Trading Tips" on the Dark Web (Press Release No. 2021-122)
- SEC Charges Three Individuals with Insider Trading (Press Release No. 2021-121)
Public Statements
- Remarks at Asset Management Advisory Committee Meeting by Commissioner Caroline A. Crenshaw, July 8, 2021
Regulatory Actions
Investment Company Act Notices and Orders
- Fidelity Beach Street Trust, et al. (Release No. IC-34326; File No. 812-15175)
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-92357; File No. 2021-69)
- Order Determining Whistleblower Award Claim (Release No. 34-92356; File No. 2021-68)
- Order Determining Whistleblower Award Claim (Release No. 34-92355; File No. 2021-67)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Fees for Purge Ports (Release No. 34-92360; File No. SR-EMERALD-2021-22); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for the cToM Market Data Product (Release No. 34-92358; File No. SR-EMERALD-2021-21); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Fees for Purge Ports (Release No. 34-92364; File No. SR-MIAX-2021-29); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish Fees for the cToM Market Data Product (Release No. 34-92359; File No. SR-MIAX-2021-28); see also Exhibit 5
- NYSE: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval to a Proposed Rule Change, as Modified by Amendment No. 2, to Amend NYSE Rule 7.35C (Release No. 34-92374; File No. SR-NYSE-2020-89)
- NYSE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Fee Schedule to Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center (Release No. 34-92368; File Nos. SR-NYSE-2021-25, SR-NYSEAMER-2021-21, SR-NYSEArca-2021-24, SR-NYSECHX-2021-07, SR-NYSENAT-2021-09)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC to Amend the MIAX Pearl Options Fee Schedule (Release No. 34-92367; File No. SR-PEARL-2021-31); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule (Release No. 34-92366; File No. SR-PEARL-2021-32); see also Exhibit 5 (Release No. 34-92366; File No. SR-PEARL-2021-32)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule (Release No. 34-92365; File No. SR-PEARL-2021-33); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Fees for Purge Ports (Release No. 34-92363; File No. SR-PEARL-2021-30); see also Exhibit 5