What’s New on the SEC Website
July 7, 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
- Exeled Holdings Inc. (Release No. 34-92327; File No. 3-20011; July 6, 2021)
Commission Opinions and Orders
- DEEP ATS, LLC (Release No. 34-92338; File No. 3-20362)
Litigation Releases
- Westport Capital Markets, LLC and Christopher E. McClure (Release No. LR-25138; Jul. 7, 2021)
- Parallax Health Sciences, Inc., Paul Arena and Nathaniel Bradley (Release No. LR-25137; Jul. 7, 2021)
News
Press Releases
- SEC Charges Company and Two Executives for Misleading COVID-19 Disclosures (Press Release No. 2021-120)
Public Statements
- Prepared Remarks Before the Asset Management Advisory Committee, by Chair Gary Gensler
- Remarks at Asset Management Advisory Committee Meeting, by Commissioner Hester M. Peirce
Regulatory Actions
Investment Company Act Notices and Orders
- Commonwealth Credit Partners BDC I, Inc., et al. (Release No. IC-34325; File No. 812-15195)
- Hartford Funds Exchange-Traded Trust, et al. (Release No. IC-34324; File No. 812-15232)
- Schwab Strategic Trust, Charles Schwab Investment Management, Inc. and Sei Investments Distribution Co. (Release No. IC-34323; File No. 812-15216)
Other Commission Orders, Notices, and Information
- Public Availability of the Securities and Exchange Commission's FY2018 Service Contract Inventory (Release No. 34-92332)
- Credit Risk Retention-Notification of Extension of Review Period (17 CFR Part 246, Release No. 34-92326; July 6, 2021; )
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- DTC: Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes (Release No. 34-92342; File No. SR-DTC-2021-011); see also Exhibit 5
- DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Reorganizations Service Guide (Release No. 34-92339; File No. SR-DTC-2021-010); see also Exhibit 5
- FICC: Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes (Release No. 34-92341; File No. SR-FICC-2021-004); see also Exhibit 5
- FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Modify the FICC Government Securities Division Rulebook, FICC Mortgage-Backed Securities Division Clearing Rules, and FICC Mortgage-Backed Securities Division EPN Rules (Release No. 34-92340; File No. SR-FICC-2021-005); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Listing Rule 5910 to Establish Entry and All-Inclusive Annual Listing Fees for Companies Listing under IM-5101-2 on the Nasdaq Global Market (Release No. 34-92345; File No. SR-NASDAQ-2021-055); see also Exhibit 5
- NASDAQ: Notice of Filing of Proposed Rule Change to Modify Listing Rule IM-5101-2 to Permit an Acquisition Company to Contribute a Portion of Its Deposit Account to Another Entity in a Spin-off or Similar Corporate Transaction (Release No. 34-92344; File No. SR-NASDAQ-2021-054); see also Exhibit 5
- NSCC: Notice of Filing of Proposed Rule Change Relating to Confidential Information, Market Disruption Events, and Other Changes (Release No. 34-92334; File No. SR-NSCC-2021-007); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List (Release No. 34-92343; File No. SR-NYSE-2021-39); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 903 to Limit Short Term Options Series Intervals (Release No. 34-92336; File No. SR-NYSEAMER-2021-32); see also Exhibit 5 (Release No. 34-92336; File No. SR-NYSEAMER-2021-32)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule (Release No. 34-92337; File No. SR-NYSEArca-2021-58); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 6.4-O to Limit Short Term Options Series Intervals (Release No. 34-92335; File No. SR-NYSEArca-2021-55); see also Exhibit 5
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the First Trust SkyBridge Bitcoin ETF Trust under NYSE Arca Rule 8.201-E (Release No. 34-92333; File No. SR-NYSEArca-2021-37)