What’s New on the SEC Website
September 15, 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)
Litigation
Administrative Proceedings
- Alan Fraade (Release No. 34-89873; File No. 3-20002; September 15, 2020)
- Frederick Mintz (Release No. 34-89872; File No. 3-20001; September 15, 2020)
- Unikrn, Inc. (Release No. 33-10841; File No. 3-20003; September 15, 2020)
Commission Opinions and Orders
- David Howard Welch (a/k/a David Howard Bryant) (Release No. 34-89876; File No. 3-18807; September 15, 2020)
- China Tongzilian Group Share Limited, Inc. (Release No. 34-89866; File No. 3-19329; September 14, 2020)
- China Xingbang Industry Group Inc. and Kingsmen Capital Group, Ltd. (Release No. 34-89864; File No. 3-19330; September 14, 2020)
- Greenwood Hall, Inc., PMX Communities, Inc. and SurePure, Inc. (Release No. 34-89863; File No. 3-19339; September 14, 2020)
Litigation Releases
- Gary Pryor, et al (Release No. LR-24898; Sep. 15, 2020)
- PixarBio Corp. et al. (Release No. LR-24897; Sep. 15, 2020)
News and Public Statements
Commission Open Meetings
Press Releases
Public Statements
Regulatory Actions
Investment Company Act Notices and Orders
- Principal Funds, Inc., et al. (Release No. IC-34013; File No. 812-15115; September 15, 2020)
- Owl Rock Capital Corporation II, Owl Rock Core Income Corp. and Owl Rock Capital Advisors LLC (Release No. IC-34012; File No. 812-15095; September 15, 2020)
Other Commission Orders, Notices, and Information
- Notice of Meeting; Fixed Income Market Structure Advisory Committee (Release No. 34-89868; File No. 265-30; September 15, 2020)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Standardized Membership Application Forms-Form NMA and Form CMA-to Conform to Amendments to the Membership Application Program Rules as Described in SR-FINRA-2019-030 (Release No. 34-89867; File No. SR-FINRA-2020-028; September 15, 2020)
- NASDAQ: Notice of Filing of Proposed Rule Change to Allow Companies to List in Connection with a Direct Listing with a Primary Offering In Which the Company Will Sell Shares Itself In the Opening Auction On the First Day of Trading on Nasdaq and to Explain How the Opening Transaction for Such a Listing Will be Effected (Release No. 34-89878; File No. SR-NASDAQ-2020-057; September 15, 2020); see also Exhibit 5
- NASDAQ: Notice of Filing of Proposed Rule Change, as modified by Amendment No. 1, to Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company that Switches from NYSE to Nasdaq After Announcing a Business Combination (Release No. 34-89875; File No. SR-NASDAQ-2020-060; September 15, 2020); see also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change to Establish Procedures for the Allocation of Cabinets to its Co-Located Users (Release No. 34-89879; File No. SR-NYSE-2020-73; September 15, 2020); see also Exhibit 5
- NYSE: Letter from The New York Stock Exchange LLC re: Reply Brief in Support of Motion to Lift Stay (September 11, 2020)
- NYSE: NYSE Reply Brief in Support of Motion to Lift Stay (September 15, 2020)
- NYSE Arca: Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 8.601-E to Adopt Generic Listing Standards for Active Proxy Portfolio Shares (Release No. 34-89874; File No. SR-NYSEArca-2020-77; September 15, 2020); see also Exhibit 5
- NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the Alger Mid Cap 40 ETF and Alger 25 ETF under Rule 8.900-E, Managed Portfolio Shares (Release No. 34-89869; File No. SR-NYSEArca-2020-80; September 15, 2020)
- NYSEAMER: Notice of Filing of Proposed Rule Change to Establish Procedures for the Allocation of Cabinets to its Co-Located Users (Release No. 34-89880; File No. SR-NYSEAMER-2020-66; September 15, 2020); see also Exhibit 5