Newsroom

What’s New on the SEC Website

August 27, 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

CBA FLORIDA, Inc. (f/k/a Cord Blood of America, Inc.) (Release No. 34-92794; File No. 3-20489)
Blue Eagle Lithium Inc. (Release No. 34-92791; File No. 3-20487)
Petrleo Brasilerio and S.A. - Petrobras (Release No. 34-92787; File No. 3-18843); see also Distribution Plan
General Electric Company (Release No. 34-92784; File No. 3-20165)
BlueCrest Capital Management Limited ("Release No. 34-92782; File No. 3-20162")
William B. Fretz, Jr., et al. (Release No. 34-92781; File No. 3-16829)
Wilmington Trust Corporation (Release No. 34-92779; File No. 3-16098)
Wari, Inc. (Release No. 34-92773; File No. 3-20483; August 26, 2021)
United Cannabis Corporation (Release No. 34-92771; File No. 3-20482; August 26, 2021)

Commission Opinions and Orders

Paul H. Giles (Release No. 34-92788; File No. 3-20267)

Litigation Releases

Andrew L. Fassari (Release No. LR-25185)
William B. McHenry Jr. and First South Investments, LLC (Release No. LR-25184)

Trading Suspensions

Wari, Inc., (Release No. 34-92774; August 26, 2021)
See also Order
United Cannabis Corporation (Release No. 34-92772; August 26, 2021)
See also Order

News and Public Statements

Press Releases

Public Statements

Statement on Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches by Chair Gary Gensler

Regulatory Actions

Other Commission Orders, Notices, and Information

Order Determining Whistleblower Award Claim (Release No. 34-92780; File No. 2021-87)
Order Determining Whistleblower Award Claim (Release No. 34-92778; File No. 2021-86)
Order Determining Whistleblower Award Claim (Release No. 34-92777; File No. 2021-85)
Request for Information and Comments on Broker-Dealer and Investment Adviser Digital Engagement Practices, Related Tools and Methods, and Regulatory Considerations and Potential Approaches; Information and Comments on Investment Adviser Use of Technology to Develop and Provide Investment Advice (Release Nos. 34-92766; IA-5833; File No. S7-10-21; RIN 3235-AN00)
Investor Advisory Committee Meeting, Thursday, September 9, 2021

Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans

BOX: 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 Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC (Release No. 34-92796; File No. SR-BOX-2021-06)
FICC - Advance Notice: Notice of Filing of Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Amendment No. 1, to Add the Sponsored GC Service and Make Other Changes (Release No. 34-92799; File No. SR-FICC-2021-801)
FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Form CMA (Continuing Membership Application Form) (Release No. 34-92793; File No. SR-FINRA-2021-020)
ICEEU: Order Granting Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the Clearing Rules, Clearing Procedures, Finance Procedures, Delivery Procedures, CDS Procedures, Membership Procedures, Complaint Resolution Procedures, and General Contract Terms (Release No. 34-92786; File No. SR-ICEEU-2021-010)
MIAX: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend Fees for Purge Ports (Release No. 34-92792; File Nos. SR-MIAX-2021-29, SR-EMERALD-2021-22, SR-PEARL-2021-30)
MIAX: Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Establish Fees for the Exchanges' cToM Market Data Products (Release No. 34-92789; File Nos. SR-MIAX-2021-28, SR-EMERALD-2021-21)
NASDAQ: Notice of Filing of Proposed Rule Change to Amend Nasdaq Rule 5750 (Proxy Portfolio Shares) to Provide for the Use of Custom Baskets Consistent with the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Proxy Portfolio Shares (Release No. 34-92790; File No. SR-NASDAQ-2021-065); see also Exhibit 5
NYSE: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Schedule of Wireless Connectivity Fees and Charges to Add Circuits for Connectivity Into and Out of the Data Center in Mahwah, New Jersey (Release No. 34-92795; File Nos. SR-NYSE-2021-14, SR-NYSEAMER-2021-10, SR-NYSEArca-2021-13, SR-NYSECHX-2021-03, SR-NYSENAT-2021-04)
NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12. (Release No. 34-92785; File No. SR-NYSE-2021-40)
PEARL: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the MIAX Pearl Options Fee Schedule to Increase the Monthly Fees for MIAX Express Network Full Service Ports (Release No. 34-92798; File No. SR-PEARL-2021-33)
PEARL: Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the MIAX Pearl Options Fee Schedule to Remove Certain Credits and Increase Trading Permit Fees (Release No. 34-92797; File No. SR-PEARL-2021-32)