What’s New on the SEC Website
September 17, 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
- Poloniex, LLC (Release No. 34-93050; File No. 3-20455)
- Ronald P. Haller (Release No. 34-93046; File No. 3-19480)
- Jaime L. Durando (Release No. 34-93044; File No. 3-20570)
- Kenneth G. Friedrich (Release No. 34-93043; File No. 3-20569)
- RBC Capital Markets, LLC (Release No. 34-93042; File No. 3-20568)
- Online Disruptive Technologies, Inc. (Release No. 34-93040; File No. 3-20567; September 16, 2021)
- Ngen Technologies Holdings Corp. (Release No. 34-93038; File No. 3-20566; September 16, 2021)
- MyDx, Inc. (Release No. 34-93031; File No. 3-20562; September 16, 2021)
- Medifirst Solutions, Inc. (Release No. 34-93028; File No. 3-20561; September 16, 2021)
- John M. Williams (Release Nos. 34-93018, AAER-4254; File No. 3-14835; September 16, 2021)
Commission Opinions and Orders
- Alpine Securities Corporation (Release No. 34-93054; File No. 3-20485)
- Scottsdale Capital Advisors CorporationScottsdale Capital Advisors Corporation, et al. (Release No. 34-93052; File No. 3-18612)
- James A. Winkelmann, Sr. and Blue Ocean Portfolios, LLC (Release Nos. 33-10982, 34-93053, IA-5866, IC-34375; File No. 3-17253)
Trading Suspensions
- Online Disruptive Technologies, Inc. (Release No. 34-93041; September 16, 2021)
See also Order - Ngen Technologies Holdings Corp. (Release No. 34-93039; September 16, 2021)
See also Order - MyDx, Inc. (Release No. 34-93032; September 16, 2021)
See also Order - Medifirst Solutions, Inc. (Release No. 34-93030; September 16, 2021)
See also Order
News and Public Statements
Press Releases
- SEC Charges Former Pharmaceutical Global IT Manager in $8 Million Insider Trading Scheme (Release No. 2021-181)
- SEC Awards $11.5 Million to Two Whistleblowers (Release No. 2021-180)
- RBC Charged With Failing to Give Priority to Retail and Institutional Investors in Municipal Offerings (Release No. 2021-179)
Regulatory Actions
Other Commission Orders, Notices, and Information
- In the Matter of Joint Industry Plan; Order Approving, as Modified, a National Market System Plan Regarding Consolidated Equity Market Data
- Order Determining Whistleblower Award Claim (Release No.: 34-93049; File No.: 2021-94)
- Order Approving The Public Company Accounting Oversight Board Supplemental Budget For Calendar Year 2021
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC Facility to Reduce the Amount of the Options Regulatory Fee ("ORF") (Release No. 34-93045; File No. SR-BOX-2021-22); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Equities Fee Schedule Relating to Disaster Recovery Facility 1 Gigabit ULL Per Connection Fee for Members (Release No. 34-93047; File No. SR-PEARL-2021-42); see also Exhibit 5