What’s New on the SEC Website
August 12, 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)
ALJ Initial Decisions
- Rosedale Asset Management, LLC and f/k/a Princeton Advisory Wealth Management, LLC (Release No. ID-1410; File No. 3-20220)
ALJ Orders
- Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC (Release No. AP-6825; File No. 3-20454)
Litigation
Administrative Proceedings
- Edgar M. Radjabli (Release No. IA-5819; File No. 3-20459)
Commission Opinions and Orders
- Epoxy, Inc. (Release No. 34-92646; File No. 3-20015; August 11, 2021)
- Vape Holdings, Inc. (Release No. 34-92641; File No. 3-20010; August 11, 2021)
- Life Critical Care Corporation (Release No. 34-92639; File No. 3-19992; August 11, 2021)
- Samdrew IX, Inc. (Release No. 34-92638; File No. 3-19988; August 11, 2021)
- Royale Globe Holding Inc. (Release No. 34-92636; File No. 3-19987; August 11, 2021)
- Franklin Hill Acquisition Corporation (Release No. 34-92634; File No. 3-19985; August 11, 2021)
Litigation Releases
- Frederick L. Sharp et al. (Release No. LR-25164)
Regulatory Actions
Other Commission Orders, Notices, and Information
- Notice of Application for the Amendment of Substituted Compliance Determination (Release No. 34-92647; File No. S7-08-21)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- ICEEU: Notice of Filing of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Clearing Membership Policy and Clearing Membership Procedures (Release No. 34-92652; File No. SR-ICEEU-2021-014); see also Exhibit 5
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change To Modify Certain Pricing Limitations for Companies Listing in Connection With a Direct Listing Primary Offering (Release No. 34-92649; File No. SR-NASDAQ-2021-045)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.34-E (Release No. 34-92657; File No. SR-NYSEArca-2021-71); see also Exhibit 5
- NYSE Arca: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of ConvexityShares Daily 1.5x SPIKES Futures ETF under NYSE Arca Rule 8.200-E (Trust Issued Receipts) (Release No. 34-92651; File No. SR-NYSEArca-2021-28)
- NYSE Arca: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of ConvexityShares 1x SPIKES Futures ETF under NYSE Arca Rule 8.200-E (Trust Issued Receipts) (Release No. 34-92650; File No. SR-NYSEArca-2021-29)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-92648; File No. SR-NYSEArca-2021-70); see also Exhibit 5
- Phlx: Notice of Filing of Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Option Series Program on the iShares Russell 2000 ETF ("IWM") (Release No. 34-92655; File No. SR-Phlx-2021-43); see also Exhibit 5