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.
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
- Tradition Securities and Derivatives, LLC (Release No. 34-93154; File No. 3-20606)
- John Howley (Release Nos. 34-93146, IA-5876, IC-34387; File No. 3-20605)
Commission Opinions and Orders
- Rosedale Asset Management, LLC f/k/a Princeton Advisory Wealth Management, LLC (Release No. IA-5875; File No. 3-20220; September 27, 2021)
- Alpine Securities Corporation (Release No. 34-93167; File No. 3-20535)
- CBA Florida, Inc. (f/k/a Cord Blood of America, Inc.) (Release No. 34-93152; File No. 3-20489)
- United Cannabis Corporation (Release No. 34-93151; File No. 3-20482)
- Wari, Inc. (Release No. 34-93150; File No. 3-20483)
Litigation Releases
- Jaeson Birnbaum (Release No. LR-25232)
- C3 International, Inc., Steele Clarke Smith III and Theresa Smith (Release No. LR-25231)
- Richard Xia, a/k/a Yi Xia and Fleet New York Metropolitan Regional Center, LLC, f/k/a Federal New York Metropolitan Regional Center, and Relief Defendant Julia Yue, a/k/a JiQing Yue (Release No. LR-25230)
- Michael James Ferguson Jr. Foreign Private Trust and Noble Mikhail Jabal Mohommet Firdaus El (Release No. LR-25229)
News and Public Statements
Press Releases
- SEC Atlanta Regional Office to Co-Host "Money and Markets: Trends and Risks for Retail Investors (Release No. 2021-201)
- SEC Obtains Emergency Relief Against New York Real Estate Developer Charged with EB-5 Securities Fraud (Release No. 2021-200)
- SEC Bars Two Individuals from Whistleblower Award Program (Release No. 2021-199)
- Dan Berkovitz Named SEC General Counsel; John Coates to Leave SEC (Release No. 2021-198)
Regulatory Actions
Other Commission Orders, Notices, and Information
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- Order Determining Whistleblower Award Claim (Release No. 34-93145 ; File No. 2021-98)
- Order Determining Whistleblower Award Claim
- BOX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Related to BOX Exchange LLC and BOX Holdings Group LLC Ownership Transfer Transactions (Release No. 34-93156; File No. SR-BOX-2021-19; September 28, 2021)
- CBOE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 5.4 and Make Corresponding Changes to Other Rules (Release No. 34-93159; File No. SR-CBOE-2021-046; September 28, 2021)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 4.13 to Allow the Exchange to List up to 12 Standard Monthly Expirations for Certain Index Options (Release No. 34-93134; File No. SR-CBOE-2021-055; September 27, 2021); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a New Rule Requiring Members to Input Accurate Information into BX Systems (Release No. 34-93143; File No. SR-BX-2021-042; September 28, 2021); see also Exhibit 5
- NYSE: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Changes to Amend the Fee Schedule to Add Meet-Me-Room Connectivity Services Available at the Mahwah Data Center (Release No. 34-93160; File Nos. SR-NYSE-2021-25, SR-NYSEAMER-2021-21, SR-NYSEArca-2021-24, SR-NYSECHX-2021-07, SR-NYSENAT-2021-09; September 28, 2021)
- Phlx: Order Approving a Proposed Rule Change to Permit Monday and Wednesday Expirations for Options Listed Pursuant to the Short Term Options Program on the iShares Russell 2000 ETF (IWM) (Release No. 34-93157; File No. SR-Phlx-2021-43; September 28, 2021)
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to the Exchange's Fee Schedule (Release No. 34-93149; File No. SR-CboeBZX-2021-064; September 28, 2021); see also Exhibit 5
- CboeBZX: Order Granting Approval of a Proposed Rule Change to Amend Rule 14.11(m) (Tracking Fund Shares) to Provide for the Use of Custom Baskets Consistent with the Exemptive Relief Issued Pursuant to the Investment Company Act of 1940 Applicable to a Series of Tracking Fund Shares (Release No. 34-93147; File No. SR-CboeBZX-2021-053; September 28, 2021)
- CboeBZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Allow the Invesco Focused Discovery Growth ETF and Invesco Select Growth ETF to Strike and Publish an Intra-Day NAV and an End-of-Day NAV (Release No. 34-93144; File No. SR-CboeBZX-2021-056; September 28, 2021)
- CboeBYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule (Release No. 34-93148; File No. SR-CboeBYX-2021-022; September 28, 2021); see also Exhibit 5
- Pearl: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Pearl Options Fee Schedule to Adopt a Tiered-Pricing Structure for Certain Connectivity Fees (Release No. 34-93162; File No. SR-PEARL-2021-45; September 28, 2021); see also Exhibit 5