What’s New on the SEC Website
September 16, 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
- BFC Planning, Inc. (Release No. IA-5863; File No. 3-20563)
- Regal Investment Advisors LLC, et al. (Release Nos. 34-93035, IA-5865; File No. 3-20565)
- Berthel Fisher & Company Financial Services, Inc. (Release Nos. 34-93033, IA-5864; File No. 3-20564)
- General Electric Company (Release No. 34-93029; File No. 3-20165)
- Taberna Capital Management, LLC, Michael Fralin and Raphael Licht (Release No. 34-93026; File No. 3-16776)
- Maxwell Technologies, Inc., et al. (Release No. 34-93025; File No. 3-18408)
- Morgan Stanley and Co. LLC, et al. (Release No. 34-93022; File No. 3-15982)
- deVere USA, Inc. ("Release No. 34-93020; File No. 3-18527")
- Richard J. Koch, CPA (Release Nos. 34-93014, AAER-4253; File No. 3-18293)
- Citadel Exploration, Inc. (Release No. 34-93008; File No. 3-20553; September 15, 2021)
- Consumer Capital Group, Inc. (Release No. 34-93006; File No. 3-20552; September 15, 2021)
- Incoming, Inc. (Release No. 34-92997; File No. 3-20558; September 15, 2021)
- GelTech Solutions, Inc. (Release No. 34-92995; File No. 3-20557; September 15, 2021)
- LevelBlox, Inc. (Release No. 34-92993; File No. 3-20556; September 15, 2021)
- Intelligent Highway Solutions, Inc. (Release No. 34-92991; File No. 3-20555; September 15, 2021)
- Sweetwater Union High School District (Release No. 33-10981; File No. 3-20560)
Commission Opinions and Orders
- The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Release No. IA-5862; File No. 3-16047; September 15, 2021)
- Horter Investment Management, LLC and Drew K. Horter (Release No. IA-5861; File No. 3-20531; September 15, 2021)
- Consolidated Arbitration Applications (Release No. 34-93036; File Nos. 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919)
- Silver Leaf Partners, LLC (Release No. 34-93034; File No. 3-19896)
Litigation Releases
- Raquel Moura Borges, et al. (Release No. LR-25209)
- Jason Dodd Bullard, Angela Romero-Bullard, and Bullard Enterprises LLC (Release No. LR-25208)
Trading Suspensions
- Citadel Exploration, Inc. (Release No. 34-93009; September 15, 2021)
See also Order - Consumer Capital Group, Inc. (Release No. 34-93007; September 15, 2021)
See also Order - Incoming, Inc. (Release No. 34-92998; September 15, 2021)
See also Order - GelTech Solutions, Inc. (Release No. 34-92996; September 15, 2021)
See also Order - LevelBlox, Inc. (Release No. 34-92994; September 15, 2021)
See also Order - Intelligent Highway Solutions, Inc. (Release No. 34-92992; September 15, 2021)
See also Order
News and Public Statements
Press Releases
- SEC Charges School District and Former Executive with Misleading Investors in Bond Offering (Release No. 2021-178)
Regulatory Actions
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-93016; File No. 2021-93)
- Order Determining Whistleblower Award Claim (Release No. 34-93013; File No. 2021-92)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by to Amend Its Fee Schedule with Respect to Open-Close Report Data (Release No. 34-93023; File No. SR-EMERALD-2021-28); see also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide that a Reserve Order May Have (i) an Odd Lot Sized Display Quantity and (ii) an Optional Random Initial and Replenishment Display Quantity (Release No. 34-93027; File No. SR-IEX-2021-11); see also Exhibit 5
- ISE: 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. 34-93017; File No. SR-ISE-2021-19); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule with Respect to Open-Close Report Data (Release No. 34-93021; File No. SR-MIAX-2021-39); see also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change to Amend Rules 7.31, 7.35, 7.35B, 7.35C, 98, and 104 Relating to the Closing Auction (Release No. 34-93037; File No. SR-NYSE-2021-44); see also Exhibit 5
- PEARL: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Exchange Rule 2616, Priority of Orders (Release No. 34-93024; File No. SR-PEARL-2021-35)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule with Respect to Open-Close Report Data (Release No. 34-93019; File No. SR-PEARL-2021-41); see also Exhibit 5
- Phlx: 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. 34-93015; File No. SR-Phlx-2021-51); see also Exhibit 5