What’s New on the SEC Website
September 29, 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)
About the SEC
Privacy
Divisions
Enforcement Investors Claims Funds
Litigation
Administrative Proceedings
- David C. Coggins (Release No. IA-5598; File No. 3-20095; September 29, 2020)
- Jeffrey Stebbins (Release No. 34-90040; File No. 3-20098; September 29, 2020)
- Kroll Bond Rating Agency, LLC (Release No. 34-90038; File No. 3-20097; September 29, 2020)
- Kroll Bond Rating Agency, LLC (Release No. 34-90037; File No. 3-20097; September 29, 2020)
- Kroll Bond Rating Agency, LLC (Release No. 34-90036; File No. 3-20096; September 29, 2020)
- J.P. Morgan Securities LLC ("Release Nos. 33-10858, 34-90035; File No. 3-20094; September 29, 2020")
Commission Opinions and Orders
- Alexandre S. Clug, et al. (Release Nos. 33-10859, 34-90039, IC-34032; File No. 3-16318; September 29, 2020)
Litigation Releases
- Stebbins & Jones (Release No. LR-24927; Sep. 29, 2020)
- Andrew Dale Ledbetter, Esq. (Release No. LR-24926; Sep. 29, 2020)
- Corbin L. Lambert (Release No. LR-24925; Sep. 29, 2020)
News
Press Releases
- SEC Charges Swedish National with Global Scheme Defrauding Retail Investors, Including Deaf Community Members
- J.P. Morgan Securities Admits to Manipulative Trading in U.S. Treasuries
- SEC Charges Unregistered Brokers in Penny Stock Scheme Targeting Seniors
- SEC Charges Ratings Agency With Internal Controls Failures in Connection With Ratings of CMBS and CLO Combo Notes
- SEC Charges Former Real Estate Executive With Misappropriating $26 Million in Ponzi Scheme
Regulatory Actions
Investment Company Act Deregistration Notices and Orders
Investment Company Act Notices and Orders
- Resource Credit Income Fund and Sierra Crest Investment Management LLC (Release No. IC-34033; File No. 812-15147; September 29, 2020)
- Frost Family of Funds and Frost Investment Advisors, LLC (Release No. IC-34031; File No. 812-15142; September 29, 2020)