What’s New on the SEC Website
September 1, 2020
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)
ALJ Orders
- William J. Sears (Release No. AP-6786; File No. 3-17547)
Divisions
Enforcement Investors Claims Funds
- SEC v. Facebook, Inc. Case No. 3:19-cv-04241-JD (N.D. Cal)
Litigation
Administrative Proceedings
- Sean R. Stewart (Release Nos. 34-89720, IA-5567; File No. 3-19951)
- Oncolix, Inc. (Release No. 34-89716; File No. 3-19950; August 31, 2020)
- Northsight Capital Inc. (Release No. 34-89714; File No. 3-19949; August 31, 2020)
Commission Opinions and Orders
- Silver Leaf Partners, LLC (Release No. 34-89734; File No. 3-19896)
- Robert L. Bryant III (Release No. 34-89733; File No. 3-19892)
Litigation Releases
- Matthew O. Clason (Release No. LR-24881; Sep. 1, 2020)
Trading Suspensions
- Oncolix, Inc. (Release No. 34-89717; August 31, 2020)
See also Order - Northsight Capital, Inc. (Release No. 34-89715; August 31, 2020)
See also Order
News and Public Statements
Commission Open Meetings
Press Releases
- SEC Awards Over $2.5 Million to Joint Whistleblowers for Detailed Analysis That Led to Multiple Successful Actions (Press Release No. 2020-201)
- SEC Investor Advisory Committee to Meet Virtually on September 24 (Press Release No. 2020-202)
Regulatory Actions
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Rel. No. 34-89721; File No.: 2020-28)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Adopt (1) Supplementary Material .12 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) under FINRA Rule 1210 and (2) Supplementary Material .07 (Temporary Extension of the Limited Period for Persons to Function as Operations Professionals) under FINRA Rule 1220 (Release No. 34-89732; File No. SR-FINRA-2020-026)
- NASDAQ OMX BX: Order Approving Proposed Rule Change to Amend BX's Opening Process in Connection with a Technology Migration (Release No. 34-89731; File No. SR-BX-2020-016)
- NYSE: Order Granting Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to Amend Chapter One of the Listed Company Manual to Modify the Provisions Relating to Direct Listings, Securities Exchange Act of 1934 (Release No. 89684, August 26, 2020)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to Permit the Listing and Trading of Shares of the United States Gold and Treasury Investment Trust Under NYSE Arca Rule 8.201-E (Release No. 34-89724; File No. SR-NYSEArca-2020-59)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Implement a Second Equity Rights Program (Release No. 34-89730; File No. SR-PEARL-2020-10)
- NYSEAMER: Notice of Filing of Proposed Rule Change to Modify Rules 971.1NY and 971.2NY (Release No. 34-89723; File No. SR-NYSEAMER-2020-64) see also; Exhibit 5
- NSCC-AN: Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge (Release No. 34-89719; File No. SR-NSCC-2020-804)
- FICC-AN: Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charges (Release No. 34-89718; File No. SR-FICC-2020-802)
- CboeBZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Accommodate Exchange Listing and Trading of Options-Linked Securities (Release No. 34-89722; File No. SR-CboeBZX-2020-042)