What’s New on the SEC Website
July 13, 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 Archive 13(f) Lists
- List of Section 13F Securities, Second Quarter, 2021 (July 9, 2021)
Litigation
Administrative Proceedings
- Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Release Nos. 34-92382, IA-5773, AAER-4226; File No. 3-20395)
- Paul L. Chancey, Jr. CPA (Release Nos. 34-92378, AAER-4225; File No. 3-20394)
- Stable Road Acquisition Corp., et al. (Release Nos. 33-10955, 34-92391; File No. 3-20393)
- TIAA-CREF Individual & Institutional Services, LLC (Release Nos. 33-10954, 34-92376, IA-5772; File No. 3-20392)
Commission Opinions and Orders
- Joseph A. Meyer, Jr. (Release Nos. 34-92386, IA-5775; File No. 3-19696)
- Yaniv Avnon, Ran Armon and G Six Trading Y.R Ltd. (Release No. 34-92385; File No. 3-19719)
- Daniel B. Vazquez, Sr. (Release Nos. 34-92383, IA-5774; File No. 3-19720)
Litigation Releases
- Jonathan Mimun a/k/a Jonathan Maymon and Ronn BenHarav (Release No. LR-25140; Jul. 13, 2021)
- Shimon Rosenfeld (Release No. LR-25139; Jul. 13, 2021)
Regulatory Actions
Investment Company Act Notices and Orders
- First Eagle Alternative Capital BDC, Inc., et al. (Release No. IC-34330; File No. 812-15151)
- Nationwide Mutual Funds and Nationwide Variable Insurance Trust (Each, a "Trust") and Nationwide Fund Advisors (Release No. IC-34329; File No. 812-15210)
- DoubleLine Opportunistic Credit, et al (Release No. IC-34328; File No. 812-15240)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as Boston Security Token Exchange LLC (Release No. 34-92387; File No. SR-BOX-2021-06)
- DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework (Release No. 34-92379; File No. SR-DTC-2021-013); see also Exhibit 5
- FICC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework (Release No. 34-92380; File No. SR-FICC-2021-006); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2, Section 5, Market Maker Quotations (Release No. 34-92394; File No. SR-ISE-2021-15); see also Exhibit 5
- NSCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Clearing Agency Model Risk Management Framework (Release No. 34-92381; File No. SR-NSCC-2021-008); see also Exhibit 5
- NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the NYDIG Bitcoin ETF under NYSE Arca Rule 8.201-E (Release No. 34-92395; File No. SR-NYSEArca-2021-57)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2, Section 5, Electronic Market Maker Obligations and Quoting Requirements (Release No. 34-92393; File No. SR-Phlx-2021-38); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 4, Rules 3301A and 3301B (Release No. 34-92377; File No. SR-Phlx-2021-40); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 2, Section 5, Market Maker Quotations (Release No. 34-92396; File No. SR-MRX-2021-08); see also Exhibit 5
- CboeBZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the WisdomTree Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares (Release No. 34-92392; File No. SR-CboeBZX-2021-024)
- CboeBZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Wise Origin Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares (Release No. 34-92388; File No. SR-CboeBZX-2021-039)