What’s New on the SEC Website
August 17, 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
- Matthew O. Clason (Release Nos. 34-92688, IA-5824; File No. 3-20464)
- Murchinson Ltd., Marc Bistricer and Paul Zogala (Release No. 34-92684; File No. 3-20463)
Commission Opinions and Orders
- The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Release No. IA-5823; File No. 3-16047)
- OrangeHook, Inc. (Release No. 34-92686; File No. 3-20408)
- Barry Liss (Release No. 34-92683; File No. 3-19333)
- Michael Clark (Release No. 34-92681; File No. 3-20276)
- Quest Entertainment Corp. (Release No. 34-92680; File No. 3-19994)
- Spindle, Inc. (Release No. 34-92678; File No. 3-19934; August 16, 2021)
Litigation Releases
- Fusion Analytics Investment Partners, LLC, et al. (Release No. LR-25173)
- Arthur Hall and Rising Biosciences, Inc. (Release No. LR-25172)
- Jeffrey Slothower and Battery Private, Inc. (Release No. LR-25171)
- Matthew Panuwat (Release No. LR-25170)
News
Press Releases
- SEC Charges Biopharmaceutical Company Employee with Insider Trading (Press Release No. 2021-155)
- SEC Charges Investment Adviser and Associated Individuals with Causing Violations of Regulation SHO (Press Release No. 2021-156)
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments set forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 (Release No. 34-92685; File No. SR-FINRA-2021-019)
- OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical Changes to the By-Laws and Rules of the Options Clearing Corporation. (Release No. 34-92690; File No. SR-OCC-2021-008); see also Exhibit 5
- OCC: Exhibit 3 (Release No. 34-92690; File No. SR-OCC-2021-008)
- CboeBZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of the Global X Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares (Release No. 34-92689; File No. SR-CboeBZX-2021-052)