Wednesday - June 16, 2021
Federal Regulatory Agencies

News releases, reports, statements and associated documents from federal regulatory agencies ranging from the Securities Exchange Commission to the Commodities Futures Trading Commission

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SEC Issues Order Involving Samdrew VII
WASHINGTON, June 15 -- The Securities and Exchange Commission issued the following order (Admin. Proc. File No. 3-20004) involving Samdrew VII:

In the Matter of SAMDREW VII, INC.

ORDER TO SHOW CAUSE

The Securities and Exchange Commission ("Commission") issued an Order Instituting Proceedings ("OIP") on September 15, 2020, against Samdrew VII, Inc. ("Respondent") pursuant to Section 12(j) of the Securities Exchange Act of 1934./1

On December 31, 2020, the Division of Enforcement filed a Declaration of Victor Tabak, which established that, pursuant to Commission Rule of Practice 141(a)(2)(ii),/2 ... Show Full Article

SEC Issues Order Involving Larry Feinblum
WASHINGTON, June 15 -- The Securities and Exchange Commission issued the following order (Admin. Proc. File No. 3-14407) involving Larry Feinblum:

In the Matter of LARRY FEINBLUM

ORDER VACATING MUNICIPAL SECURITIES DEALER, MUNICIPAL ADVISOR, TRANSFER AGENT, AND NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION BARS

Larry Feinblum has requested that we vacate certain collateral bars that were imposed in an administrative order, dated May 31, 2011 (the "Order"), and subject to a right to reapply after two years./1

The bars were imposed based solely on conduct occurring prior to July 22, 2010, ... Show Full Article

SEC Commissioner Roisman Issues Statement on Regulatory Agenda
WASHINGTON, June 15 -- The Securities and Exchange Commission issued the following joint statement by Commissioners Elad L. Roisman and Hester M. Peirce on Chair Gary Gensler's regulatory agenda:

* * *

Last Friday, the Office of Information and Regulatory Affairs released the Spring 2021 Unified Agenda of Regulatory and Deregulatory Action ("Agenda"), which includes the SEC Chair's Agenda.[1]

While there are important and timely items on the list, including rules related to transfer agents and government securities alternative trading systems, the Agenda is missing some other important rulemakings, ... Show Full Article

Renee Jones to Join SEC as Director of Corporation Finance
WASHINGTON, June 15 -- The Securities and Exchange Commission issued the following news release on June 14, 2021:

The Securities and Exchange Commission today announced that Renee Jones has been appointed Director of the Division of Corporation Finance. John Coates, the Division's current Acting Director, has been named SEC General Counsel. Both appointments are effective June 21, 2021.

Renee Jones

Jones most recently served as Professor of Law and Associate Dean for Academic Affairs at Boston College Law School, where she taught courses in corporations, securities regulation, startup company ... Show Full Article

NRC Issues Event Notification for Advent Health Orlando
WASHINGTON, June 15 -- The Nuclear Regulatory Commission issued the following event notification (No. 55294) involving Advent Health Orlando:

EN Revision Imported Date: 6/14/2021

EN Revision Text: The following was received from the Florida Department of Health via email:

"Center for Diagnostic Pathology discovered a lost source on June 3. It was a seed that was implanted in breast tissue on May 24 and removed on May 25. Two specimens with seeds were removed and one was processed in the Operating Room. The pathologist thought the seed was removed but it was discovered that a biopsy clip was ... Show Full Article

Jury in EEOC Suit Finds That RockAuto Discriminated Against Applicant Because of His Age
MADISON, Wisconsin, June 15 -- The Equal Employment Opportunity Commission issued the following news release on June 14, 2021:

A jury has determined that RockAuto, a Madison, Wis.-headquartered internet-based auto parts seller, violated federal law when it failed to hire a qualified job applicant because of his age, the U.S. Equal Employment Opportunity Commission (EEOC) announced today.

According to the EEOC's lawsuit, the applicant, Glenn McKewen, applied for a position as a supply chain manager at the company's Madison headquarters in 2016. McKewen had years of relevant experience as well ... Show Full Article

FCC Media Bureau Issues Order on Karen L. Toole
WASHINGTON, June 15 -- The Federal Communications Commission's Media Bureau issued the following order (FRN No. 0030296222) on Karen L. Toole:

In re Applications of Karen L. Toole, Personal Representative, Estate of Robert Cummings Toole, For Renewal of Licenses for Station KBCK(AM), Deer Lodge, Montana, Station KQRV(FM), Deer Lodge, Montana, and FM Translator Station K257AF, Butte, Montana

ORDER

Adopted: June 14, 2021 Released: June 14, 2021

By the Chief, Audio Division, Media Bureau:

1. In this Order, we adopt the attached Consent Decree entered into by the Media Bureau (Bureau) and Karen ... Show Full Article