What’s New on the SEC Website
September 10, 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
- Kimberly D. Butler, Prosperity Economics Partners, LLC and Partners for Prosperity, LLC (Release No. AP-6830; File No. 3-20454; September 10, 2021)
Litigation
Administrative Proceedings
- Diastole Wealth Management, Inc. and Elizabeth D. Eden (Release No. IA-5855; File No. 3-20534; September 10, 2021)
- MML Investors Services, LLC (Release Nos. 34-92935, IA-5856; File No. 3-20536; September 10, 2021)
Commission Opinions and Orders
- Jaswant Gill (Release No. IA-5858; File No. 3-19204; September 10, 2021)
- Roy Y. Gagaza (Release No. IA-5857; File No. 3-20331; September 10, 2021)
- Scottsdale Capital Advisors CorporationScottsdale Capital Advisors Corporation, et al. (Release No. 34-92940; File No. 3-18612; September 10, 2021)
- Paul L. Chancey, Jr. (Release Nos. 34-92939, AAER-4249; File No. 3-20394; September 10, 2021)
- Worldtek Corp. (f/k/a Lundell Technologies, Inc.) (Release No. 34-92930; File No. 3-20008; September 9, 2021)
- Vilacto Bio, Inc. (Release No. 34-92925; File No. 3-20307; September 9, 2021)
- U.S.-China Biomedical Technology, Inc. (Release No. 34-92924; File No. 3-20306; September 9, 2021)
- Steri-Oss, Inc. (Release No. 34-92922; File No. 3-20005; September 9, 2021)
- Source Media Inc. (Release No. 34-92921; File No. 3-20009; September 9, 2021)
- Samdrew VII, Inc. (Release No. 34-92919; File No. 3-20004; September 9, 2021)
Litigation Releases
- Mark Ahn (Release No. LR-25202; Sep. 10, 2021)
- Todd Elliott Hitt et al. (Release No. LR-25201; Sep. 10, 2021)
- Gomes et al.; (Release No. LR-25200; Sep. 10, 2021)
- Mark J. Ahn
Regulatory Actions
Exemptive Orders
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-92931; File No. 2021-89)
- Order Determining Whistleblower Award Claim (Release No. 34-92929; File No. 2021-88)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Order Granting Approval of a Proposed Rule Change Relating to Members' Filing Requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11) (Release No. 34-92932; File No. SR-FINRA-2021-014; September 10, 2021)
- MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide a Further Extension of Time to Become Appropriately Qualified by Passing the Municipal Advisor Principal Qualification Examination (Series 54) Pursuant to MSRB Rule G-3, on Professional Qualification Requirements (Release No. 34-92938; File No. SR-MSRB-2021-05; September 10, 2021); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Order Audit Trail System Rules in the Equity 5 Series of the Exchange's Rulebook (Release No. 34-92937; File No. SR-NASDAQ-2021-071; September 10, 2021); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-92936; File No. SR-NYSEArca-2021-78; September 10, 2021)
- CBboeBYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule (Release No. 34-92933; File No. SR-CboeBYX-2021-018; September 10, 2021); see also Exhibit 5