What’s New on the SEC Website
July 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
Administrative Proceedings
- David Aaron Rockwell (Release Nos. 34-92423, IA-5780; File No. 3-20400)
Commission Opinions and Orders
- The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Release No. IA-5779; File No. 3-16047)
- Nicholas J. Genovese (Release No. IA-5778; File No. 3-19733)
- Boston Carriers, Inc. (Release No. 34-92422; File No. 3-20320)
- Echo Therapeutics, Inc. (Release No. 34-92421; File No. 3-20316)
- USA Zhimingde International Group Corp. (Release No. 34-92419; File No. 3-20313)
- YBCC, Inc. (Release No. 34-92417; File No. 3-20314)
- Bruce C. Worthington (Release Nos. 34-92415, IA-5777; File No. 3-19726)
- Anthony B. Brandel and M.Y. Consultants, Inc. (Release No. 34-92414; File No. 3-19734)
Litigation Releases
- Marlon Muller (Release No. LR-25143)
- Jefferey A. Gordon, Blue Rock Ventures, LLC, and Windy City Accelerated Returns Venture I (Release No. LR-25142)
- Michael Palleschi and David Lethem (Release No. LR-25141)
News and Public Statements
Press Releases
- SEC Awards More Than $1 Million to Whistleblower (Release No. 2021-128)
- SEC Charges Executives of Network Infrastructure Company With Accounting Fraud (Release No. 2021-127)
Regulatory Actions
Investment Company Act Notices and Orders
- iCapital KKR Private Markets Fund, et al. (Release No. IC-34332; File No. 812-15194)
- Uncommon Investment Funds Trust and Uncommon Investment Advisors LLC (Release No. IC-34331; File No. 812-15180)
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Rel. No.: 34-92413; File No.: 2021-73)
- Order Determining Whistleblower Award Claim (Rel. No.: 34-92412; File No.: 2021-72)
- Order Determining Whistleblower Award Claim (Rel. No.: 34-92411; File No.: 2021-71)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Rules Relating to Trading Halts During the Global Trading Hours Session (Release No. 34-92420; File No. SR-CBOE-2021-040); see also Exhibit 5
- ICEEU: Notice of Partial Amendment No. 1 and Designation of Longer Period for Commission Action on Proposed Rule Change Relating to the Clearing Rules, Clearing Procedures, Finance Procedures, Delivery Procedures, CDS Procedures, Membership Procedures, Complaint Resolution Procedures, and General Contract Terms (Release No. 34-92418; File No. SR-ICEEU-2021-010); see also Exhibit 5