What’s New on the SEC Website
January 29, 2019
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
- Digital Turbine, Inc. (Release Nos. 34-84998, AAER-4018; File No. 3-18971)
- Grupo Simec S.A.B. de C.V. (Release Nos. 34-84996, AAER-4017; File No. 3-18972)
- Lifeway Foods, Inc. (Release No. 34-84995; File No. 3-18970)
- CytoDyn Inc. (Release Nos. 34-84994, AAER-4015; File No. 3-18969)
- Perry Douglas West, Esq. (Release No. 34-84993; File No. 3-18968)
Commission Opinions and Orders
- Cynthia C. Reinhart, CPA (Release No. 34-85001; File No. 3-17758)
Litigation Releases
- Daniel H. Glick, et al. (Release No. LR-24386; Jan. 29, 2019)
- Phillip Michael Carter, individually and d/b/a North Forty Development Capital Account, Bobby Eugene Guess, Richard Gregory Tilford, North-Forty Development, LLC, North Forty Development LLC, Texas Cash Cow, LLC f/k/a Texas Cash Cow Investments, LLC, and Texas First Financial, LLC, Defendants, and Frisco Wade Crossing Development Partners, LLC, McKinney Executive Suites at Crescent Parc Development Partners, LLC, Christian Custom Homes LLC, and Double Droptine Ranch, LLC, Relief Defendants (Release No. LR-24385)
News and Public Statements
Press Releases
- SEC Charges Four Public Companies With Longstanding ICFR Failures (Release No. 2019-6)
- SEC Names Manisha Kimmel as Senior Policy Advisor to the Chairman on the Consolidated Audit Trail (Release No. 2019-5)
Regulatory Actions
Investment Company Act Notices and Orders
- Hoya Capital Real Estate, LLC, et al. (Release No. IC-33359; File No. 812-14969)
- Pacific Global ETF Trust and Cadence Capital Management LLC (Release No. IC-33353; File No. 812-14933)
- Timothy Plan and Timothy Partners, Ltd. (Release No. IC-33352; File No. 812-14958)
- TigerShares Trust and Wealthn LLC (Release No. IC-33350; File No. 812-14947)
- Investment Managers Series Trust and 361 Capital, LLC (Release No. IC-33349; File No. 812-14893)
- Ai Funds, Inc. (formerly Embrace Capital LLC) and Deep A.I. ETF Trust (formerly Embrace ETF Trust) (Release No. IC-33348; File No. 812-14912)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- 17d-2: Notice of Filing of Proposed Amended Plan for the Allocation of Regulatory Responsibilities Among the Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, MIAX PEARL, LLC, and MIAX EMERALD, LLC (Release No. 34-84997; File No. 4-678)
- MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effective Date of Previously-Approved Amendments to Rule G-21 and New Rule G-40 (Release No. 34-84999; File No. SR-MSRB-2019-01)
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Nasdaq Rules 5705 and 5710 to Adopt a Disclosure Requirement for Certain Securities (Release No. 34-85000; File No. SR-NASDAQ-2018-079)