What’s New on the SEC Website
September 21, 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
- Daniel B. Kamenksy (Release No. IA-5869; File No. 3-20586)
- Helikon Investments Ltd. (Release No. 34-93091; File No. 3-20587)
- Daniel B. Kamensky, Esq. (Release No. 34-93090; File No. 3-20588)
- Frederick Bauman, Esq. (Release No. 34-93089; File No. 3-20585)
- Brian Koslow (Release No. 34-93087; File No. 3-20584)
- David Waltzer (Release No. 34-93086; File No. 3-20583)
- Kevin Drost (Release No. 34-93085; File No. 3-20582)
- Mark Thomas Johnson (Release Nos. 34-93084, IA-5868; File No. 3-20581)
- Poloniex, LLC (Release No. 34-93083; File No. 3-20455)
- WorldNet, Inc. of Nevada (Release No. 34-93081; File No. 3-20578)
- HEPI Pharmaceuticals, Inc. (Release No. 34-93080; File No. 3-20579)
- Skye Life Ventures Ltd. (Release No. 34-93079; File No. 3-20577; September 20, 2021)
- Real Goods Solar, Inc. (Release No. 34-93077; File No. 3-20580; September 20, 2021)
- Stealth Technologies, Inc. (Release No. 34-93063; File No. 3-20574; September 20, 2021)
- Sports Field Holdings, Inc. (Release No. 34-93060; File No. 3-20572; September 20, 2021)
Commission Opinions and Orders
- Stockman Kast Ryan & Co. LLP; Ellen S. Fisher, CPA; and David H. Kast, CPA (Release Nos. 34-93092, IA-5870, AAER-4255; File No. 3-20395)
- Southeast Investments, N.C., Inc. and Frank Harmon Black (Release No. 34-93088; File No. 3-19185)
- Ameritek Ventures, Inc. (Release No. 34-93076; File No. 3-20291; September 20, 2021)
- Matthew R. Rossi and SJL Capital, LLC (Release Nos. 33-10986, 34-93075, IA-5867; File No. 3-19145; September 20, 2021)
Litigation Releases
- Back to Green Mining, LLC, Jos Jimnez Cruz, and Manuel Portalatin (Release No. LR-25214)
- James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt (Release No. LR-25213)
- Daniel B. Kamensky (Release No. LR-25212)
- James Wallace Nall, III, Michael Hale Smith, Michael Dwaine Smith, Robert Walter Smith and Walter Vice Tutt (Release No. LR-25213)
Trading Suspensions
- Skye Life Ventures Ltd. (Release No. 34-93082; September 20, 2021)
See also Order - Real Goods Solar, Inc. (Release No. 34-93078; September 20, 2021)
See also Order - Stealth Technologies, Inc. (Release No. 34-93064; September 20, 2021)
See also Order - Sports Field Holdings, Inc. (Release No. 34-93061; September 20, 2021)
See also Order
News and Public Statements
Press Releases
- SEC Charges Puerto Rican Company and Managing Members with Fraud (Release No. 2021-185)
- Changing Dynamics Pre-IPO and Going Public on the Agenda for the SEC’s Small Business Capital Formation Advisory Committee (Release No. 2021-184)
Regulatory Actions
Public Petitions for Rulemaking
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, in Connection with the Proposed Establishment of BSTX as a Facility of the Exchange (Release No. 34-93094; File No. SR-BOX-2021-14)
- FINRA: Order Approving a Proposed Rule Change to Amend FINRA Rules 1210 (Registration Requirements) and 1240 (Continuing Education Requirements) (Release No. 34-93097; File No. SR-FINRA-2021-015)
- ICEEU: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures (Release No. 34-93095; File No. SR-ICEEU-2021-017); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 26, Message Traffic Mitigation (Release No. 34-93069; File No. SR-NASDAQ-2021-074; September 20, 2021); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 3, Section 26, Message Traffic Mitigation (Release No. 34-93067; File No. SR-BX-2021-041; September 20, 2021); see also Exhibit 5
- NSCC: Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1 to Remove ID Net Transactions from the Required Fund Deposit Calculations and Make Other Changes to the Rules (Release No. 34-93070; File No. SR-NSCC-2021-011; September 20, 2021)
- NYSE Arca: Notice of Withdrawal of a Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-93066; File No. SR-NYSEArca-2021-52; September 20, 2021)