What’s New on the SEC Website
July 30, 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
- Paycom Software, Inc. (Release No. 34-92527; File No. 3-20443; July 30, 2021)
- Coburn & Meredith, Inc. (Release Nos. 34-92526, IA-5810; File No. 3-20442)
- ForeverGreen Worldwide Corporation (Release No. 34-92523; File No. 3-19935; July 29, 2021)
- Herbert J. Sims & Co., Inc. (Release Nos. 33-10959, 34-92538; File No. 3-20444; July 30, 2021)
- Integral Financial, LLC and Weiming "Frank" Ho (Release Nos. 33-10958, 34-92537; File No. 3-20445; July 30, 2021)
Commission Opinions and Orders
- Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Release Nos. 34-92534, IA-5811, AAER-4237; File No. 3-20395; July 30, 2021)
Litigation Releases
- Edward Wooten., et al. (Release No. LR-25153; Jul. 30, 2021)
News
Press Releases
- SEC Charges Real Estate CEO With Defrauding Investors (Press Release No. 2021-142)
Public Statements
- Statement on Investor Protection Related to Recent Developments in China by Chair Gary Gensler
- Statement on FINRA Rule Regarding High-Risk Firms by Commissioner Allison Herren Lee and Commissioner Caroline A. Crenshaw
Regulatory Actions
Investment Company Act Deregistration Notices and Orders
- Notice of Applications for Deregistration (Release No. IC-34346; July 30, 2021)
Other Commission Orders, Notices, and Information
- IA Cancellation Order
- Order Granting Conditional Substituted Compliance in Connection with Certain Requirements Applicable to Non-U.S. Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the United Kingdom (Release No. 34-92529; File No. S7-04-21)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend its Rules Regarding the Minimum Increments for Electronic Bids and Offers and Exercise Prices of Certain FLEX Options and Clarify in the Rules How the System Ranks FLEX Option Bids and Offers for Allocation Purposes (Release No. 34-92528; File No. SR-CBOE-2020-106)
- FINRA: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1 and Amendment No. 2, to Adopt FINRA Rule 4111 (Restricted Firm Obligations) and FINRA Rule 9561 (Procedures for Regulating Activities Under Rule 4111) (Release No. 34-92525; File No. SR-FINRA-2020-041; July 30, 2021)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 4 Listing Rules (Release No. 34-92533; File No. SR-NASDAQ-2021-059; July 30, 2021); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Options 4 Listing Rules (Release No. 34-92535; File No. SR-BX-2021-032; July 30, 2021); see also Exhibit 5
- NYSE: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Each of the Exchange's Co-Location Services and Fee Schedule to Add Two Partial Cabinet Solution Bundles (Release No. 34-92532; File Nos. SR-NYSE-2021-05, SR-NYSENAT-2021-01, SR-NYSEAMER-2021-04, SR-NYSECHX-2021-01; July 30, 2021)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reformat the Basic Rates Section of the NYSE Arca Equities Fees and Charges (Release No. 34-92536; File No. SR-NYSEArca-2021-66; July 30, 2021); see also Exhibit 5
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca's Co-Location Services and Fee Schedule to Add Two Partial Cabinet Solution Bundles (Release No. 34-92531; File No. SR-NYSEArca-2021-07; July 30, 2021)