What’s New on the SEC Website
August 30, 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
- Scott and Lisa Chasin (Release No. 34-92810; File No. 3-20498)
- Cantella & Co., Inc. (Release Nos. 34-92809, IA-5841; File No. 3-20497)
- KMS Financial Services, Inc. (Release Nos. 34-92807, IA-5840; File No. 3-20495)
- Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc. (Release Nos. 34-92806, IA-5839; File No. 3-20496)
- Beth Mueller (Release No. 34-92801; File No. 3-20491)
- Cetera Advisor Networks LLC, et al. (Release Nos. 34-92800, IA-5834; File No. 3-20490)
- Michael P. Egan (Release Nos. 33-10971, 34-92805, IA-5838, IC-34368; File No. 3-20494)
- Roger E. Dobrovodsky (Release Nos. 33-10970, 34-92804, IA-5837; File No. 3-20493)
- Michael R. Arbuckle (Release Nos. 33-10969, 34-92803, IA-5835, IC-34367; File No. 3-20492)
Litigation Releases
- Michael A. Bressman (Release No. LR-25188)
- Guillaume David Boccara (Release No. LR-25187)
- Donald G. Blakstad, et al. (Release No. LR-25186)
News
Press Releases
- SEC Announces Three Actions Charging Deficient Cybersecurity Procedures (Release No. 2021-169)
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FICC: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Add the Sponsored GC Service and Make Other Changes (Release No.34-92808 ; File No. SR-FICC-2021-003)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35A and 7.35C and Temporary Rule Relief in Rule 36.30 (Release No. 34-92802; File No. SR-NYSE-2021-46; ); see also Exhibit 5