What’s New on the SEC Website
September 8, 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
- Horter Investment Management, LLC and Drew K. Horter (Release No. IA-5853; File No. 3-20531)
- Paradigm Wealth Advisory, LLC (Release No. IA-5852; File No. 3-20530)
- Arias Intel Corp. (Release No. 34-92891; File No. 3-20322; September 7, 2021)
- AtheroNova, Inc. (Release No. 34-92890; File No. 3-20318; September 7, 2021)
- Echo Therapeutics, Inc. (Release No. 34-92889; File No. 3-20316; September 7, 2021)
- Pledge Petroleum Corp. (Release No. 34-92888; File No. 3-20304; September 7, 2021)
- Moregain Pictures, Inc. (Release No. 34-92886; File No. 3-20303; September 7, 2021)
- Peaksoft Multinet Corp. (Release No. 34-92885; File No. 3-19993; September 7, 2021)
- Frederick Bauman (Release No. LR-25199)
- Rivetz Corp., Rivetz International SEZC, and Steven K. Sprague (Release No. LR-25198)
Commission Opinions and Orders
Litigation Releases
Regulatory Actions
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 Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 (Release No. 34-92897; File No. SR-FINRA-2021-022)
- ICC: Order Approving Proposed Rule Change Relating to the ICC Exercise Procedures (Release No. 34-92895; File No. SR-ICC-2021-016)
- ICC: Notice of Filing of Proposed Rule Change Relating to the ICC Back-Testing Framework (Release No. 34-92893; File No. SR-ICC-2021-018); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List (Release No. 34-92898; File No. SR-NYSE-2021-49); see also Exhibit 5
- MEMX:Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule (Release No. 34-92896; File No. SR-MEMX-2021-11); see also Exhibit 5
- CboeBZX: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the VanEck Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares (Release No. 34-92894; File No. SR-CboeBZX-2021-019)