What’s New on the SEC Website
September 15, 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)
FOIA Program
Frequently Requested FOIA Documents
Litigation
Administrative Proceedings
- Alok Saraf and CA (Release Nos. 34-93012, AAER-4252; File No. 3-17745)
- Brightlane Corp. (Release No. 34-92979; File No. 3-20551; September 14, 2021)
- Calmare Therapeutics Incorporated (Release No. 34-92977; File No. 3-20550; September 14, 2021)
- Charles Parkinson Lloyd (Release No. 33-10980; File No. 3-20554)
Commission Opinions and Orders
- Brian Sweet, CPA (Release Nos. 34-93005, AAER-4251; File No. 3-18347)
Litigation Releases
- SHE Beverage Company, Inc. Lupe L. Rose, Sonja F. Shelby and Katherine E. Dirden (Release No. LR-25206)
- Eliseo Acosta (Release No. LR-25205)
Trading Suspensions
- Brightlane Corp. (Release No. 34-92978; September 14, 2021)
See also Order - Calmare Therapeutics Incorporated (Release No. 34-92976; September 14, 2021)
See also Order
Regulatory Actions
Investment Company Act Notices and Orders
- Point72 Employee Investment Fund, L.P. and Point72 Asset Management, L.P. (Release No. 34365A)
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No.: 34-92985; File No.: 2021-91)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.5(c) and Rule 5.6(d) in Connection with Time-in-Force Instructions Available for Bulk Messages for the Account of a Market Maker (Release No. 34-92988; File No. SR-CBOE-2021-053); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effectiveness of Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) (Release No. 34-93002; File No. SR-FINRA-2021-023)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate NOM Options 4 Rules By Reference to Nasdaq ISE, LLC Options 4 Rules (Release No. 34-93003; File No. SR-NASDAQ-2021-070); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 17, to Decommission the Exchange's Quote Removal Kill Switch Functionality (Release No. 34-93011; File No. SR-BX-2021-037); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate BX Options 4 Rules By Reference to Nasdaq ISE, LLC Options 4 Rules (Release No. 34-92987; File No. SR-BX-2021-038)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List (Release No. 34-93001; File No. SR-NYSE-2021-50); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Content of the NYSE Best Quote & Trades (Release No. 34-93000; File No. SR-NYSE-2021-51)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Teucrium Bitcoin Futures Fund under NYSE Arca Rule 8.200-E (Release No. 34-92999; File No. SR-NYSEArca-2021-53)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Incorporate the Phlx Options 4 Rules By Reference to Nasdaq ISE, LLC Options 4 Rules (Release No. 34-92990; File No. SR-Phlx-2021-53); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Phlx Options 10, Section 5, Branch Office, and Options 10, Section 17, Profit Sharing Rules (Release No. 34-92986; File No. SR-Phlx-2021-52)
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 17, to Decommission the Exchange's Quote Removal Kill Switch Functionality (Release No. 34-93010; File No. SR-GEMX-2021-09); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 17 to Decommission the Exchange's Quote Removal Kill Switch Functionality (Release No. 34-93004; File No. SR-MRX-2021-10); see also Exhibit 5
- CboeBZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the ARK 21Shares Bitcoin ETF under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares (Release No. 34-92989; File No. SR-CboeBZX-2021-051)