What’s New on the SEC Website
August 20, 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)
Information for EDGAR Filers
Technical Specifications
- Form 24F-2 XML Technical Specification (Version 1.0)
- Form EDGARLink Online XML Technical Specification (Version 36)
- Form N-CEN XML Technical Specification (Version 2.8)
- Form N-PORT XML Technical Specification (Version 1.9)
- Form D XML Technical Specifications (Version 11)
Litigation
Commission Opinions and Orders
- Robert J. Lindner (Release No. IA-5828; File No. 3-20168; August 20, 2021)
- EliteSoft Global Inc. and Capital Access Point 1, Inc. (Release No. 34-92718; File No. 3-19868; August 20, 2021)
- Robert Gilliam (Release No. 34-92717; File No. 3-19524; August 20, 2021)
- DEEP ATS, LLC (Release No. 34-92715; File No. 3-20362; August 20, 2021)
Litigation Releases
- Robert J. Mueller, et al. (Release No. LR-25179; Aug. 20, 2021)
- Marcus Boggs (Release No. LR-25178)
Regulatory Actions
Other Commission Orders, Notices, and Information
- Notice of Substituted Compliance Application Submitted by the Spanish Financial Conduct Authority in Connection with Certain Requirements Applicable to Security-Based Swap Dealers and Major Security-Based Swap Participants Subject to Regulation in the Kingdom of Spain; Proposed Order (Release No. 34-92716; File No. S7-09-21; August 20, 2021)
- Order Granting Exemption from Section 16 of the Securities Exchange Act of 1934 for PG&E Fire Victim Trust (Release No. 34-92711)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule with Respect to its Strategy Fee Cap (Release No. 34-92712; File No. SR-CBOE-2021-049; August 20, 2021); see also Exhibit 5
- CboeBZX: Notice of Withdrawal of a Proposed Rule Change to Exclude a National Best Bid or Offer from the Calculation of the BZX Official Closing Price, as Provided in Rule 11.23(c)(2)(B)(ii)(b), That is Outside the Bands Provided Under the Plan to Address Extraordinary Market Volatility (Release No. 34-92719; File No. SR-CboeBZX-2021-036; August 20, 2021)
- FINRA: 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 Amend the Requirements for Covered Agency Transactions under FINRA Rule 4210 (Margin Requirements) as Approved Pursuant to SR-FINRA-2015-036 (Release No. 34-92713; File No. SR-FINRA-2021-010; August 20, 2021)
- NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the First Trust SkyBridge Bitcoin ETF Trust under NYSE Arca Rule 8.201-E (Release No. 34-92714; File No. SR-NYSEArca-2021-37; August 20, 2021)