What’s New on the SEC Website
July 26, 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
- Carmel Capital Management, LLC (Release No. IA-5806; File No. 3-20431; )
- Westbourne Investments, Inc. (Release No. IA-5805; File No. 3-20430; )
- The Cavanaugh Group, Inc. (Release No. IA-5804; File No. 3-20429; )
- O'Brien Greene & Co., Inc. (Release No. IA-5803; File No. 3-20428; )
- Mighty Oak Strong America Investment Company (Release No. IA-5802; File No. 3-20427; )
- Sauberan & Company, LLC (Release No. IA-5801; File No. 3-20426; )
- Eastside Financial Advisors, LLC (Release No. IA-5800; File No. 3-20425; )
- Dynamic Trading Management, LLC (Release No. IA-5799; File No. 3-20424; )
- Cohen Klingenstein, LLC (Release No. IA-5798; File No. 3-20423; )
- Harold Davidson & Associates, Inc. (Release No. IA-5797; File No. 3-20422; )
- Castle Wealth Planning LLC (Release No. IA-5796; File No. 3-20421; )
- Paratus Financial, Inc. (Release No. IA-5795; File No. 3-20420; )
- Summit Financial Advisors, Inc. (Release No. IA-5794; File No. 3-20419; )
- Quantitative Asset Management, LLC (Release No. IA-5793; File No. 3-20418; )
- Madden Funds Management, Ltd. (Release No. IA-5792; File No. 3-20417; )
- Embree Financial Group, Inc. (Release No. IA-5791; File No. 3-20416; )
- Minot DeBlois Advisors LLC (Release No. IA-5790; File No. 3-20415; )
- Medallion Wealth Advisors, LLC (Release No. IA-5789; File No. 3-20414; )
- Canton Hathaway LLC (Release No. IA-5788; File No. 3-20413; )
- John A. Bysko Associates (Release No. IA-5787; File No. 3-20412; )
- Altschuler, James Stephen (d/b/a Altschuler Financial Services) ("Release No. IA-5786; File No. 3-20411; ")
- Michael Mortimer (Release Nos. 34-92507, AAER-4233; File No. 3-20440; )
- Brent Whiteley, Esq, (Release No. 34-92505; File No. 3-20438; )
- Steven A. Splain, CPA (Release Nos. 34-92503, AAER-4232; File No. 3-20439; )
- Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA (Release No. 34-92498; File No. 3-17212; )
- Logitech International, S.A., Michael Doktorczyk and Sherralyn Bolles, CPA ("Release No. 34-92498; File No. 3-17212; ")
- Scott A. Doak (Release No. 34-92497; File No. 3-16941; )
- Scott A. Doak (Release No. 34-92497; File No. 3-16941; )
- Capital Portfolio Management, Inc. (Release No. 34-92490; File No. 3-20437; )
- Birkelbach & Co. (Release No. 34-92489; File No. 3-20436; )
- Greentree Investment Services, Inc. (Release No. 34-92488; File No. 3-20435; )
- Bill Parker Agency (Release No. 34-92487; File No. 3-20434; )
- Tradier Brokerage, Inc. (Release No. 34-92486; File No. 3-20433; )
- St Invest LLC d/b/a Trade App (Release No. 34-92485; File No. 3-20432; )
Commission Opinions and Orders
- Gary Edward Haynes (Release No. IA-5807; File No. 3-20086)
- Bradley C. Reifler (Release No. 34-92502; File No. 3-19589)
- Edward Beyn and Craig S. Taddonio (Release No. 34-92500; File Nos. 3-19007, 3-19012)
- ABN AMRO Clearing Chicago LLC for Review of Disciplinary Action Taken by Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Release No. 34-92499; File No. 3-17906r)
News and Public Statements
Press Releases
- SEC Charges 27 Financial Firms for Form CRS Filing and Delivery Failures (Release No. 2021-139)
- SEC Issues Substituted Compliance Determination for France (Release No. 2021-138)
Regulatory Actions
Investment Company Act Notices and Orders
- BNY Mellon Alcentra Opportunistic Global Credit Income Fund and BNY Mellon Investment Adviser, Inc. (Release No. IC-34344; File No. 812-15214)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-92493; File No. SR-CboeEDGX-2021-034); see also: Exhibit 5
- ICEEU: Order Approving Proposed Rule Change Relating to the ICE Clear Europe Articles of Association (Release No. 34-92492; File No. SR-ICEEU-2021-013)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Opening Process (Release No. 34-92494; File No. SR-ISE-2021-17); see also Exhibit 5
- LCH SA: Order Approving Proposed Rule Change Relating to the Clearing of Single-Name Credit Default Swaps by U.S. Customers (Release No. 34-92501; File No. SR-LCH SA-2021-001)
- Nasdaq GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Opening Process (Release No. 34-92495; File No. SR-GEMX-2021-07); see also Exhibit 5
- Nasdaq MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Opening Process (Release No. 34-92491; File No. SR-MRX-2021-09); see also: Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Opening Process (Release No. 34-92496; File No. SR-Phlx-2021-42); see also Exhibit 5