What’s New on the SEC Website
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September 30, 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)
Divisions
Division of Corporation Finance
Staff No-Action, Interpretive & Exemptive Letters
Litigation
Administrative Proceedings
- Naseem Mohammed Salamah (Release No. IA-5884; File No. 3-20618)
- Richard Vu Nguyen (Release No. IA-5882; File No. 3-20616)
- Redwood Wealth Management, LLC and Benjamin Lincoln (Release No. IA-5880; File No. 3-20611)
- Chad Thomas Mackland (Release Nos. 34-93220, IA-5883; File No. 3-20617)
- Spar Street (Release No. 34-93207; File No. 3-20615)
- Victoria Chan, Esq. (Release No. 34-93202; File No. 3-20613)
- Adam Heimann, et al. (Release Nos. 33-10994, 34-93205; File No. 3-20614)
- LPL Financial LLC (Release Nos. 33-10992, 34-93201, IA-5881; File No. 3-20612)
- Robert D. Press (Release Nos. 33-10991, 34-93200, IA-5879, IC-34391, AAER-4263; File No. 3-20610)
- Donna M. Silverman (Release Nos. 33-10990, IA-5878, AAER-4262; File No. 3-20609)
Commission Opinions and Orders
- Aeon Global Health Corp. (Release No. 34-93226; File No. 3-20540)
- Blair Edwards Olsen (Release No. 34-93216; File No. 3-19629)
- Infinity Distribution Inc. (Release No. 34-93213; File No. 3-20519)
- Vivi Holdings, Inc. (Release No. 34-93211; File No. 3-20520)
- Marathon Capital of IIIinois, LLC (Release No. 34-93208; File No. 3-20484)
- Gemini Equipment Partners Income Fund IX LP (Release No. 34-93198; File No. 3-20343; September 29, 2021)
- Gemini Equipment Partners Income Fund VIII LP (Release No. 34-93197; File No. 3-20342; September 29, 2021)
- General Builders Corp. (Release No. 34-93196; File No. 3-20341; September 29, 2021)
- Gemini Equipment Partners Income Fund X (Release No. 34-93194; File No. 3-20340; September 29, 2021)
- Morris Business Development Co. (Release No. 34-93189; File No. 3-20337; September 29, 2021)
- CathayOnline, Inc. (f/k/a Lazzara Financial Asset Recovery, Inc.) (Release No. 34-93184; File No. 3-20339; September 29, 2021)
Litigation Releases
- Punch TV Studios. Inc., et al. (Release No. LR-25237)
- Mark Allan Plummer, Emilio Barrera, Jr. (a/k/a Mike Barrera), PRT Consulting, LLC d/b/a Petroleum Resources of Texas, Richmond Engineering, Inc., Todd J. Prince, George Rauch (f/k/a George B. Fasciano), and Todd Stuart Breitling (Release No. LR-25235)
News and Public Statements
Press Releases
- SEC Charges Rogue Trader Who Bankrupted His Firm (Release No. 2021-205)
- SEC Charges Former Executives of Registered Investment Adviser with Fraud (Release No. 2021-204)
Regulatory Actions
Exemptive Orders
- Order Granting Application of Investors Exchange LLC for a Limited Exemption from Rule 602 of Regulation NMS for its Retail Price Improvement Program (Release No. 34-93217); see also Application for Exemptive Relief
Other Commission Orders, Notices, and Information
- Request for Comment on Potential Technical Changes to EDGAR Filer Access and Filer Account Management Processes (Release No. 33-10993, 34-93204, 39-2541, IC-34392; File No. S7-12-21)
Public Petitions for Rulemaking
- XYPN Solely Incidental Petition - Final (File No. 4-777)/li>
- Request restrictions on use of certain names and titles under Section 208(c) (File No. 4-776)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Exempt Certain Categories of Investment Companies Registered under the Investment Company Act of 1940 from the Requirement to Obtain Shareholder Approval Prior to the Issuance of Securities in Connection with Certain Acquisitions of the Stock or Assets of an Affiliated Registered Investment Company (Release No. 34-93218; File No. SR-CboeBZX-2021-059); see also Exhibit 5
- FINRA: Notice of Filing of a Proposed Rule Change to Amend FINRA Rule 2231 (Customer Account Statements) (Release No. 34-93215; File No. SR-FINRA-2021-024)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish an Administration and Delivery Fee for the Municipal Advisor Principal Examination (Release No. 34-93206; File No. SR-FINRA-2021-025)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by Miami International Securities Exchange, LLC to Amend Exchange Rule 402, Criteria for Underlying Securities, Rule 403, Withdrawal of Approval of Underlying Securities, Rule 404, Series of Option Contracts Open for Trading, Rule 404A, Select Provisions of Options Listing Procedures Plan, Rule 503, Openings on the Exchange, Rule 515A, MIAX Price Improvement Mechanism ("PRIME") and PRIME Solicitation Mechanism, and Rule 518, Complex Orders (Release No. 34-93210; File No. SR-MIAX-2021-40); see also Exhibit 5
- NASDAQ: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify Nasdaq 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. 34-93219; File No. SR-NASDAQ-2021-054)
- NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend the Requirements of Section 102.06 of the NYSE Listed Company Manual to Allow an Acquisition Company to Contribute a Portion of Its Trust Account to a New Acquisition Company and Spin-off the New Acquisition Company to Its Shareholders (Release No. 34-93222; File No. SR-NYSE-2021-42)
- NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Proposing to Adopt Listing Standards for Subscription Warrants Issued by a Company Organized Solely for the Purpose of Identifying an Acquisition Target (Release No. 34-93221; File No. SR-NYSE-2021-45)
- NYSE: Order Disapproving Proposed Rule Changes, as Modified by Partial Amendment No. 1, to Amend Each Exchanges Fee Schedule to Add Two Partial Cabinet Bundles Available in Co-location and Establish Associated Fees (Release No. 34-93214; File Nos. SR-NYSE-2021-05, SR-NYSEAMER-2021-04)
- NYSE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt on a Permanent Basis the Pilot Program for Market-Wide Circuit Breakers in Rule 7.12 (Release No. 34-93212; File No. SR-NYSE-2021-40)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 7.12 (Release No. 34-93203; File No. SR-NYSE-2021-57); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Rule 7.2 (Release No. 34-93183; File No. SR-NYSE-2021-56); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Rules 7.2-E and 7.2-O (Release No. 34-93186; File No. SR-NYSEArca-2021-85); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE American Rule 7.2E (Release No. 34-93187; File No. SR-NYSEAMER-2021-39); see also Exhibit 5
- NYSECHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Chicago Rule 7.2 (Release No. 34-93182; File No. SR-NYSECHX-2021-13); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE National Rule 7.2 (Release No. 34-93181; File No. SR-NYSENAT-2021-18); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change by MIAX PEARL, LLC to Amend Exchange Rule 100, Definitions, Rule 402, Criteria for Underlying Securities, Rule 403, Withdrawal of Approval of Underlying Securities, Rule 404, Series of Option Contracts Open for Trading, Rule 404A, Select Provisions of Options Listing Procedures Plan, Rule 406, Long-Term Option Contracts, Rule 500, Access to and Conduct on the Exchange, Rule 503, Openings on the Exchange, Rule 515, Execution of Orders, and Rule 519, MIAX Pearl Order Monitor ("MOM") (Release No. 34-93209; File No. SR-PEARL-2021-43); see also Exhibit 5