What’s New on the SEC Website
August 6, 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 Enforcement Investors Claims Funds
News
Press Release
- SEC Awards $3.5 Million to Whistleblowers in Two Enforcement Actions (Press Release No. 2021-145)
- SEC Charges Decentralized Finance Lender and Top Executives for Raising $30 Million Through Fraudulent Offerings (Press Release No. 2021-145)
Public Statements
- Statement on the Commission’s Approval of Nasdaq’s Proposal for Disclosure about Board Diversity and Proposal for Board Recruiting Service, Chair Gary Gensler
- Statement on the Commission’s Order Approving Proposed Rule Changes Related to Board Diversity, Commissioner Hester M. Peirce
- Statement on the Commission’s Order Approving Exchange Rules Relating to Board Diversity, Commissioner Elad L. Roisman
- Statement on Nasdaq’s Diversity Proposals – A Positive First Step for Investors, Commissioner Allison Herren Lee and Commissioner Caroline A. Crenshaw
Litigation
Administrative Proceedings
- Sica Wealth Management, LLC and Jeffrey C. Sica (Release No. 34-92603; File No. 3-19716; August 6, 2021)
- Robinhood Financial, LLC (Release No. 34-92591; File No. 3-20171); see also Plan of Distribution
- Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC (Release Nos. 33-10962, 34-92598, IA-5818, IC-34352; File No. 3-20454; August 6, 2021)
- Blockchain Credit Partners d/b/a DeFi Money Market, Gregory Keough and Derek Acree (Release Nos. 33-10961, 34-92588; File No. 3-20453)
Commission Opinions and Orders
- Aspen Marine Group Inc. and Biocircuits Corporation (Release No. 34-92582; File No. 3-19867; August 5, 2021)
- ERBA Diagnostics, Inc. and Eternity Healthcare, Inc. (Release No. 34-92580; File No. 3-19850; August 5, 2021)
- United City Corp. and Worldwide Internet Marketing, Inc. (Release No. 34-92578; File No. 3-19646; August 5, 2021)
- Raran Corporation, Refco Public Commodity Pool, L.P. and Rent USA, Inc. (Release No. 34-92571; File No. 3-19505; August 5, 2021)
Regulatory Actions
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-92589; File No: 2021-79)
- Order Determining Whistleblower Award Claim (Release No. 34-92587; File No. 2021-78)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Relating to the Options Regulatory Fee (Release No. 34-92596; File No. SR-C2-2021-012; August 6, 2021); see also Exhibit 5
- CBOE: Notice of Filing of a Proposed Rule Change to Amend Certain Rules to Accommodate the Listing and Trading of Micro FLEX Index Options and to Make Other Clarifying and Nonsubstantive Changes (Release No. 34-92599; File No. SR-CBOE-2021-041; August 6, 2021); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule Relating to the Options Regulatory Fee (Release No. 34-92597; File No. SR-CBOE-2021-044; August 6, 2021); see also Exhibit 5
- CboeBZX: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Allow Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF to Strike and Publish Multiple Intraday Net Asset Values (Release No. 34-92594; File No. SR-CboeBZX-2021-014; August 6, 2021)
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule (Release No. 34-92593; File No. SR-CboeEDGX-2021-036; August 6, 2021); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NOM's Options Regulatory Fee (Release No. 34-92600; File No. SR-NASDAQ-2021-057; August 6, 2021); see also Exhibit 5
- NASDAQ: Order Approving Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Listing Rules Related to Board Diversity and to Offer Certain Listed Companies Access to a Complimentary Board Recruiting Service (Release No. 34-92590; File Nos. SR-NASDAQ-2020-081, SR-NASDAQ-2020-082; August 6, 2021)
- NMS: Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data (Release No. 34-92586; File No. 4-757)
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change to amend the NYSE American Equities Price List and Fee Schedule (Release No. 34-92592; File No. SR-NYSEAMER-2021-35; August 6, 2021); see also Exhibit 5
- NYSE Arca: Notice of Filing of Proposed Rule Change to Amend Rule 8.601-E (Active Proxy Portfolio Shares) to Provide for the Use of Custom Baskets (Release No. 34-92595; File No. SR-NYSEArca-2021-64; August 6, 2021); see also Exhibit 5