What’s New on the SEC Website
July 19, 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
- UBS Financial Services Inc. (Release No. IA-5781; File No. 3-20401)
Commission Opinions and Orders
- Shlomo Sharbat (Release No. 34-92444; File No. 3-19870)
- XSport Global, Inc. (Release No. 34-92442; File No. 3-20349)
- Generation Next Franchise Brands, Inc. (Release No. 34-92441; File No. 3-20326)
- Global Capital Partners, Inc. (Release No. 34-92440; File No. 3-20329)
- Creative Waste Solutions, Inc. (Release No. 34-92438; File No. 3-20324)
- James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Release Nos. 33-10957, 34-92443, IA-5782, IC-34337; File No. 3-17253)
News
Press Releases
- SEC Files Charges in Multi-Million Dollar Fraud Involving Two Companies (Press Release No. 2021-132)
- SEC Shuts Down Fraudulent Mother-Son Offering Involving Purported Supercomputer (Press Release No. 2021-131)
- UBS Settles Charges Related to Investments in Complex Exchange-Traded Product (Press Release No. 2021-130)
Regulatory Actions
Investment Company Act Notices and Orders
- Lord Abbett Floating Rate High Income Fund, et al. (Release No. IC-34336; File No. 812-15097; ; )
- Capital Southwest Corporation (Release No. IC-34335; File No. 812-15212)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- NSCC: Notice of Filing of a Proposed Rule Change to Modify the Rules & Procedures of National Securities Clearing Corporation in Connection with the Implementation of Section 1446(f) of the Internal Revenue Code of 1986 (Release No. 34-92437; File No. SR-NSCC-2021-009); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Shares of the Cambiar Large Cap ETF, Cambiar Small Cap ETF and Cambiar SMID ETF (Release No. 34-92439; File No. SR-NYSEArca-2021-54)