What’s New on the SEC Website
What’s New page will no longer be updated after September 30, 2021. To stay current on the most recent materials posted to the SEC website, please subscribe to the SEC RSS feeds.
September 23, 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
- Fifth Third Bancorp and Daniel Poston (Release No. 34-93110; File No. 3-15635)
- Fred Alger Management, Inc. and Fred Alger & Company, Incorporated (Release No. 34-93109; File No. 3-12540)
- Fiat Chrysler Automobiles N.V. (Release No. 34-93106; File No. 3-20092); see also Proposed Plan of Distribution
- Paula Permenter (Release No. 34-93105; File No. 3-20593)
Commission Opinions and Orders
- Horter Investment Management, LLC and Drew K. Horter (Release No. IA-5871; File No. 3-20531)
Litigation Releases
- Choice Advisors, LLC and Matthias O'Meara (Release No. LR-25220; Sep. 23, 2021)
- James R. Collins and Robert F. DiMeo (Release No. LR-25219; Sep. 23, 2021)
- Michael F. Shillin (Release No. LR-25218; Sep. 23, 2021)
- Biogenic, Inc., Diagnostic Link Ltd, LLC, Vital Systems Ltd LLC, BioTek Holdings LLC, Tek Wellness Inc., Capital Care Management LLC, Susann Ashley Cargnino a/k/a Susann Ashley Walker a/k/a Ashley Walker, Zachari Alan Cargnino a/k/a Zach Alan, Julie Ann Youssef a/k/a Julie Ann a/k/a Julie Joseph, and Gary Youssef a/k/a Gary Joseph (Release No. LR-25217; Sep. 23, 2021)
- Frantz Simeon and First Black Enterprises, Inc. (Release No. LR-25216; Sep. 23, 2021)
News and Public Statements
Press Releases
- SEC Issues Agenda for Sept. 27 Meeting of the Asset Management Advisory Committee (Release No. 2021-190)
- SEC Charges Principals of Subprime Automobile Finance Company with Fraud (Release No. 2021-189)
- SEC Charges Firm and Two Principals in First-Ever Actions Enforcing Rule on Duties of Municipal Advisors (Release No. 2021-188)
- SEC Charges U.K.-Based Father and Son, and Two Others in Transatlantic Microcap Fraud Scheme (Release No. 2021-187)
- SEC Charges Quant Analyst in Multimillion Dollar Front-Running Scheme (Release No. 2021-186)
Regulatory Actions
Public Company Accounting Oversight Board
- Public Company Accounting Oversight Board; Notice of Filing of Proposed Rule on Board Determinations Under the Holding Foreign Companies Accountable Act (Release No.: 34-93112; File No.: PCAOB-2021-01)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., The Nasdaq Stock Market LLC, and Nasdaq BX, Inc. (Release No. 34-93114; File No. 4-575)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118 of the Fee Schedule (Release No. 34-93111; File No. SR-NASDAQ-2021-072); see also Exhibit 5
- NYSE: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Each of the Exchange's Fee Schedules Related to Co-Location (Release No. 34-93107; File Nos. SR-NYSE-2021-15, SR-NYSEAMER-2021-13, SR-NYSEArca-2021-15, SR-NYSENAT-2021-05, SR-NYSECHX-2021-04)
- NYSEArca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect an Amendment to the Application and Exemptive Order Governing the Fidelity Women's Leadership ETF and Fidelity Sustainability U.S. Equity ETF (Release No. 34-93108; File No. SR-NYSEArca-2021-81)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Pricing Schedule at Equity 7, Section 3(a) (Release No. 34-93113; File No. SR-Phlx-2021-55); see also Exhibit 5