What’s New on the SEC Website
September 2, 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)
ALJ Orders
- Elaine A. Dowling, Esq. (Release No. AP-6828; File No. 3-20378)
Litigation
Administrative Proceedings
- VIVI Holdings, Inc. (Release No. 34-92858; File No. 3-20520)
- Infinity Distribution Inc. (Release No. 34-92857; File No. 3-20519)
- Sylios Corp. (Release No. 34-92855; File No. 3-20517)
- AMAZING ENERGY OIL AND GAS, CO. (Release No. 34-92850; File No. 3-20516; September 1, 2021)
Commission Opinions and Orders
- Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Release Nos. 34-92859, IA-5844, AAER-4246; File No. 3-20395)
- Stratabase (Release No. 34-92856; File No. 3-20042)
- BioHemp International, Inc. (Release No. 34-92853; File No. 3-20285; September 1, 2021)
- Apotheca Biosciences, Inc. (Release No. 34-92852; File No. 3-20284; September 1, 2021)
Litigation Releases
- Jason Dodd Bullard, Angela Romero-Bullard, and Bullard Enterprises LLC (Release No. LR-25194)
Trading Suspensions
- AMAZING ENERGY OIL AND GAS, CO. (Release No. 34-92851; September 1, 2021)
See also Order
News and Public Statements
Press Releases
- SEC Investor Advisory Committee to Meet Remotely on Sept. 9 (Release No. 2021-173)
Regulatory Actions
Other Commission Orders, Notices, and Information
- SEC Small Business Capital Formation Advisory Committee (Notice of Meeting) (Release Nos. 33-10976; 34-92872; File No. 265-32)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- DTC: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Provide Settlement Services for Transactions Entered Into Under the Proposed Securities Financing Transaction Clearing Service of the National Securities Clearing Corporation (Release No. 34-92861; File No. SR-DTC-2021-014)
- IEX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Eliminate IEX Rule 11.420 (Order Audit Trail System ("OATS") Requirements) to Reflect the September 1, 2021 Retirement of OATS (Release No. 34-92868; File No. SR-IEX-2021-10); see also Exhibit 5
- NASDAQ: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund under Nasdaq Rule 5711(g) (Release No. 34-92865; File No. SR-NASDAQ-2021-066)
- NMS: Notice of Designation of a Longer Period for Commission Action on a Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-92854; File No. 4-698)
- NSCC: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Establish the Securities Financing Transaction Clearing Service and Make Other Changes (Release No. 34-92860; File No. SR-NSCC-2021-010)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Sprott ESG Gold ETF under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) (Release No. 34-92867; File No. SR-NYSEArca-2021-65)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Various Phlx Rules (Release No. 34-92873; File No. SR-Phlx-2021-48); see also Exhibit 5