What’s New on the SEC Website
September 1, 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)
Divisions
Enforcement Investors Claims Funds
Litigation
Administrative Proceedings
- Covia Holdings Corp., Fairmount Santrol Holdings Inc. and Now Known as Bison Merger Sub I, LLC (Release No. 34-92846; File No. 3-20163)
- Nostalgia Family Brands, Inc. (Release No. 34-92843; File No. 3-20515)
- Ironclad Encryption Corporation (Release No. 34-92842; File No. 3-20514)
- Mancera, et al. (Release No. 34-92841; File No. 3-20173)
- American Retail Group, Inc. (Release No. 34-92838; File No. 3-20513)
- Advanced Bioenergy, LLC (Release No. 34-92836; File No. 3-20512)
- Jonathan Brett Woodard (Release Nos. 34-92835, AAER-4245; File No. 3-20511)
- Jade Global Holdings, Inc. (f/k/a Media Analytics Corporation) (Release No. 34-92832; File No. 3-20510; August 31, 2021)
- Emarine Global Inc. (Release No. 34-92831; File No. 3-20509; August 31, 2021)
- Prime Global Capital Group Incorporated (Release No. 34-92823; File No. 3-20507; August 31, 2021)
- Theron Resource Group (Release No. 34-92821; File No. 3-20506; August 31, 2021)
Litigation Releases
- Dawson L. Davenport, Elite Aerospace Group, Inc., Robert A. Gunton, Andrea J. Lindstrom, Michael P. Owens, Dustin B. Tillman, Julie A. Yale, and Zeeshawn S. Zia (Release No. LR-25193)
- Alexander Kon (Release No. LR-25192)
- Douglas E. Elstun (Release No. LR-25191)
- Douglas E. Elstun (Release No. LR-25191)
Trading Suspensions
- Jade Global Holdings, Inc. (Release No. 34-92833; August 31, 2021)
See also Order - Emarine Global Inc. (Release No. 34-92830; August 31, 2021)
See also Order - Prime Global Capital Group Incorporated (Release No. 34-92824; August 31, 2021)
See also Order - Theron Resource Group (Release No. 34-92822; August 31, 2021)
See also Order
Regulatory Actions
Investment Company Act Notices and Orders
- Investment Managers Series Trust and Hamilton Lane Advisors, L.L.C. (Release No. IC-34370; File No. 812-15229)
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 Dates of FINRA Rules 0180 (Application of Rules to Security-Based Swaps) and 4240 (Margin Requirements for Credit Default Swaps) and Amend FINRA Rule 4240 to add Supplementary Material .02. (Release No. 34-92837; File No. SR-FINRA-2021-021)
- NYSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delete the Order Audit Trail System Rules in the Rule 7400 Series (Release No. 34-92845; File No. SR-NYSE-2021-48); see also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change to Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual to Allow an Acquisition Company to Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-off the New Acquisition Company to Its Shareholders (Release No. 34-92839; File No. SR-NYSE-2021-42); see also Exhibit 5
- NYSE: Self-Regulatory Organizations; New York Stock Exchange LLC; 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.
- NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the Franklin Responsibly Sourced Gold ETF under NYSE Arca Rule 8.201-E (Release No. 34-92840; File No. SR-NYSEArca-2021-73)
- MEMX: Notice of Filing of a Proposed Rule Change to Establish a Retail Midpoint Liquidity Program (Release No. 34-92844; File No. SR-MEMX-2021-10)
- LTSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate LTSE Rule 11.420 (Order Audit Trail System ("OATS") Requirements) (Release No. 34-92847; File No. SR-LTSE-2021-05)); see also Exhibit 5 (Release No. 34-92847; File No. SR-LTSE-2021-05)