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 29, 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
- Soteira Capital, LLC; Derek Charles Clark; and Laura Santos (Release Nos. IA-5877, IC-34388; File No. 3-20607; September 28, 2021)
- Dane R. Roseman (Release No. 34-93170; File No. 3-20608)
- ARC Group, Inc. (Release No. 34-93168; File No. 3-20544; September 28, 2021)
Commission Opinions and Orders
- Richard Thomas Iannacone (Release No. 34-93199; File No. 3-20559)
- Kent Pearce (Release No. 34-93190; File No. 3-19228)
- Metatron, Inc. (Release No. 34-93180; File No. 3-18567)
- Digital Donations Technologies, Inc. (Release No. 34-93164; File No. 3-20338; September 28, 2021)
- Gemini Equipment Partners Income Fund IV LP (Release No. 34-93163; File No. 3-20335; September 28, 2021)
- Global Capital Partners, Inc. (Release No. 34-93161; File No. 3-20329; September 28, 2021)
- Generation Next Franchise Brands, Inc. (Release No. 34-93158; File No. 3-20326; September 28, 2021)
- Clic Technology, Inc. (Release No. 34-93155; File No. 3-20323; September 28, 2021)
- Chelsea Oil & Gas Ltd. (Release No. 34-93153; File No. 3-20321; September 28, 2021)
Litigation Releases
- Gregory L. Ciccone, et al. (Release No. LR-25236)
- Sky Group, et al. (Release No. LR-25234)
Regulatory Actions
Investment Company Act Notices and Orders
- Mainstay Cbre Global Infrastructure Megatrends Fund, Mainstay Mackay Defined Term Municipal Opportunities Fund, New York Life Investment Management LLC (Release No. IC-34390; File No. 812-15242)
Proposed Rules
- Proposed rule: Enhanced Reporting of Proxy Votes by Registered Management Investment Companies; Reporting of Executive Compensation Votes by Institutional Investment Managers (17 CFR Parts 232, 240, 249, 270, and 274; Release Nos.: 34-93169, IC-34389; ; File No. S7-11-21; RIN 3235-AK67)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- ICC: Notice of Filing of Proposed Rule Change Relating to the ICC CDS Instrument On-boarding Policies and Procedures (Release No. 34-93177; File No. SR-ICC-2021-019); see also Exhibit 5
- ICEEU: Order Approving Proposed Rule Change, as Modified by Partial Amendment No. 1, Relating to the ICE Clear Europe Clearing Membership Policy and Clearing Membership Procedures (Release No. 34-93178; File No. SR-ICEEU-2021-014)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Express Interface Ports (Release No. 34-93185; File No. SR-MIAX-2021-43); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Fee Schedule to Adopt a Tiered-Pricing Structure for Certain Connectivity Fees (Release No. 34-93165; File No. SR-MIAX-2021-41; September 28, 2021); see also Exhibit 5
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Valkyrie XBTO Bitcoin Futures Fund under Nasdaq Rule 5711 (g) (Release No. 34-93172; File No. SR-NASDAQ-2021-066)
- NYSE: Notice of Filing of Proposed Rule Change to Amend the Shareholder Voting Requirement Set Forth in Section 312.07 of the NYSE Listed Company Manual (Release No. 34-93192; File No. SR-NYSE-2021-53); see also Exhibit 5
- NYSE Arca: 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, to Adopt New Rules 6.1P-O, 6.37AP-O, 6.40P-O, 6.41P-O, 6.62P-O, 6.64P-O, 6.76P-O, and 6.76AP-O and Amendments to Rules 1.1, 6.1-O, 6.1A-O, 6.37-O, 6.65A-O and 6.96-O (Release No. 34-93193; File No. SR-NYSEArca-2021-47); see also Exhibit 5
- NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the NYDIG Bitcoin ETF under NYSE Arca Rule 8.201-E (Release No. 34-93191; File No. SR-NYSEArca-2021-57)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Franklin Responsibly Sourced Gold ETF under NYSE Arca Rule 8.201-E (Release No. 34-93179; File No. SR-NYSEArca-2021-73)
- NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the One River Carbon Neutral Bitcoin Trust under NYSE Arca Rule 8.201-E (Release No. 34-93171; File No. SR-NYSEArca-2021-67)
- OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees (Release No. 34-93195; File No. SR-OCC-2021-009)
- LCH SA: Order Approving Proposed Rule Change Relating to Eligible Collateral and Liquidity Risk Management (Release No. 34-93176; File No. SR-LCH SA-2021-002)
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Adopt a Tiered-Pricing Structure for Additional Limited Service MIAX Emerald Express Interface Ports (Release No. 34-93188; File No. SR-EMERALD-2021-31); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX Emerald Fee Schedule to Adopt a Tiered-Pricing Structure for Certain Connectivity Fees (Release No. 34-93166; File No. SR-EMERALD-2021-29; September 28, 2021); see also Exhibit 5
- CboeBZX: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the Kryptoin Bitcoin ETF Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares (Release No. 34-93175; File No. SR-CboeBZX-2021-029)
- CboeBZX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Global X Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares (Release No. 34-93174; File No. SR-CboeBZX-2021-052)
- CboeBZX: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the WisdomTree Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares (Release No. 34-93173; File No. SR-CboeBZX-2021-024)