What’s New on the SEC Website
October 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)
Litigation
Administrative Proceedings
- Alejandro Cortes (Release No. 34-90069; File No. 3-20115)
Commission Opinions and Orders
- Donald Anthony Wojnowski (Release No. 34-90064; File No. 3-19014)
- Curtis Richard Edmark (Release No. 34-90063; File No. 3-19594)
News and Public Statements
Press Releases
- SEC Issues Agenda for Oct. 5 Meeting of the Fixed Income Market Structure Advisory Committee (Release No. 2020-243)
Regulatory Actions
Investment Company Act Notices and Orders
- Invesco Capital Management LLC, et al. (Release No. IC-34041; File No. 812-15141)
- Federated Hermes Adviser Series, et al. (Release No. IC-34040; File No. 812-15055)
- Horizon Funds and Horizon Investments, LLC (Release No. IC-34039; File No. 812-15089)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Make Qualified Contingent Cross Orders Available for FLEX Trading (Release No. 34-90062; File No. SR-CBOE-2020-075)
- FINRA: Notice of Filing of a Proposed Rule Change to Adopt FINRA Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Delete the Rules Related to the OTC Bulletin Board Service (Release No. 34-90067; File No. SR-FINRA-2020-031); see also Exhibit 5
- MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Consisting of Amendments to the By-Laws of the Municipal Securities Rulemaking Board to Reflect Recent Changes to MSRB Rules A-3, A-4, and A-6 (Release No. 34-90066; File No. SR-MSRB-2020-07); see also Exhibit 5
- NMS: Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS to Add MIAX PEARL, LLC as a Participant (Release No. 34-90070; File No. 4-518)
- NMS: Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Address Extraordinary Market Volatility to Add MIAX PEARL LLC as a Participant (Release No. 34-90068; File No. 4-631)
- OCC: Notice of Filing of Proposed Rule Change to Adopt a New Second Amended and Restated Cross-Margining Agreement Between The Options Clearing Corporation and The Chicago Mercantile Exchange (Release No. 34-90065; File No. SR-OCC-2020-011)