What’s New on the SEC Website
August 25, 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
- Jonathan Roberts Advisory Group, Inc. d/b/a J.W. Cole Advisors, Inc. (Release No. IA-5832; File No. 3-20475)
- Charles Samel (Release No. IA-5831; File No. 3-20474)
- EV CHARGING USA, INC. (Release No. 34-92746; File No. 3-20473; August 24, 2021)
- Empire Post Media (Release No. 34-92744; File No. 3-20472; August 24, 2021)
- Chineseinvestors.Com, Inc. (Release No. 34-92742; File No. 3-20471; August 24, 2021)
- ATI Nationwide Holding Corp. (Release No. 34-92740; File No. 3-20470; August 24, 2021)
Commission Opinions and Orders
- International Technology Enterprises Ltd. (Release No. 34-92760; File No. 3-20346)
Litigation Releases
- Carl Jensen and Stephen W. Gold, Defendants, and Kerry Margolis and Michael Hock, Relief Defendants (Release No. LR-25183)
- Manish Lachwani (Release No. LR-25182)
- John J. Woods, Livingston Group Asset Management Company d/b/a Southport Capital, and Horizon Private Equity, III, LLC (Release No. LR-25181)
- Sung Mo Jun, Joon Jun, Junwoo Chon, Ayden Lee, and Jae Hyeon Bae (Release No. LR-25180)
Trading Suspensions
- EV CHARGING USA, INC. (Release No. 34-92747; August 24, 2021)
See also Order - Empire Post Media (Release No. 34-92745; August 24, 2021)
See also Order - ChineseInvestors.com, Inc. (Release No. 34-92743; August 24, 2021)
See also Order - ATI Nationwide Holding Corp. (Release No. 34-92741; August 24, 2021)
See also Order
Regulatory Actions
Investment Company Act Deregistration Notices and Orders
- Variable Account J of Lincoln Life Assurance Co of Boston
- IVA Fiduciary Trust
- FSI Low Beta Absolute Return Fund
- BNY Mellon Growth and Income Fund, Inc.
- AIP Macro Registered Fund A
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend IM-7240-1 (Release No. 34-92755; File No. SR-BOX-2021-18); see also Exhibit 5
- DTC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes (Release No. 34-92748; File No. SR-DTC-2021-011)
- FICC: Notice of Filing of Proposed Rule Change to Remove the Early Unwind Intraday Charge, Change the Treatment of Short-Term Treasuries, and Make Other Changes (Release No. 34-92756; File No. SR-FICC-2021-007); see also Exhibit 5
- FICC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes (Release No. 34-92749; File No. SR-FICC-2021-004)
- ICC: Order Approving Proposed Rule Change Relating to the ICC Governance Playbook, ICC Risk Management Framework, and ICC Treasury Operations Policies and Procedures (Release No. 34-92753; File No. SR-ICC-2021-015)
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Modify Listing Rule IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction (Release No. 34-92751; File No. SR-NASDAQ-2021-054)
- NSCC: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change Relating to Confidential Information, Market Disruption Events, Systems Disconnect, and Other Changes (Release No. 34-92750; File No. SR-NSCC-2021-007)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the NYDIG Bitcoin ETF under NYSE Arca Rule 8.201-E (Release No. 34-92722; File No. SR-NYSEArca-2021-57; August 23, 2021)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 3 to Adopt an Enhanced Market Quality Program (Release No. 34-92754; File No. SR-Phlx-2021-47); see also Exhibit 5
- LTSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Director "Business Relationships" Provision and Definition of "Family Member" For Purposes of LTSE Rule 14.405(a)(2) and Supplementary Material .01 (Definition of Independence) (Release No. 34-92752; File No. SR-LTSE-2021-04); see also Exhibit 5