What’s New on the SEC Website
October 16, 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
- Crest Radius, Inc. (Release No. AP-6794; File No. 3-20021)
Litigation
Administrative Proceedings
- Consorteum Holdings, Inc. and Coates International Ltd. (Release No. 34-90199; File No. 3-19842; October 15, 2020)
Commission Opinions and Orders
- Saving2Retire, LLC and Marian P. Young (Release No. IA-5615; File No. 3-17352)
- Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies (Release No. IA-5614; File No. 3-18890)
- Shawn K. Dicken (Release No. 34-90215; File No. 3-18831)
- Africa Growth Corporation and Gold Dynamics Corp. (Release No. 34-90214; File No. 3-19263)
Litigation Releases
- Rudden, et al. (Release No. LR-24946; Oct. 16, 2020)
News
Press Releases
- SEC Updates Auditor Independence Rules (Press Release No. 2020-261)
- SEC Releases Agenda for October 26 Roundtable on Regulation Best Interest and Form CRS (Press Release No. 2020-260)
Public Statements
- Promoting an Effective Auditor Independence Framework, by Chairman Jay Clayton
- Who Watches the Watchers?* Joint Statement on Auditor Independence Amendments, by Commissioners Allison Herren Lee and Caroline A. Crenshaw
- Statement on Order Approving a Wireless Fee Schedule Setting Forth Available Wireless Bandwidth Connections and Wireless Market Data Connections, by Commissioner Hester M. Peirce
Regulatory Actions
Final Rules
- Qualifications of Accountants (17 CFR Part 210; Release No. 33-10876; 34-90210; FR-88; IA-5613; IC-34052; File No. S7-26-19; RIN: 3235-AM63)
Other Commission Orders, Notices, and Information
- Notice of Meeting: Asset Management Advisory Committee (Release No. 34-90211; File No. 265-33)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance its Drill-Through Protections and Make Other Clarifying Changes (Release No. 34-90213; File No. SR-CBOE-2020-094); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.34 in Connection with its Debit/Credit Price Reasonability Check (Release No. 34-90212; File No. SR-CBOE-2020-099); see also Exhibit 5
- CBOE: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Authorize for Trading Flexible Exchange Options on Full-Value Indexes with a Contract Multiplier of One (Release No. 34-90204; File No. SR-CBOE-2020-034; October 15, 2020)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend the Definition of "Current Market Value" with Respect to Certain Index Options for Purposes of Calculating Margin Requirements (Release No. 34-90195; File No. SR-CBOE-2020-090; October 15, 2020)
- DTC: Notice of Filing of Proposed Rule Change to Adopt a New Service Guide to Establish the ClaimConnect Service and Update the Settlement Service Guide (Release No. 34-90203; File No. SR-DTC-2020-012; October 15, 2020); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule To Adopt One-Time Membership Application Fees and Monthly Trading Permit Fees (Release No. 34-90196; File No. SR-EMERALD-2020-11; October 15, 2020); see also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add an Offset Peg Order Type (Release No. 34-90197; File No. SR-IEX-2020-16; October 15, 2020); see also Exhibit 5
- LCH SA: Order Approving Proposed Rule Change Relating to the Clearing of Single Name Credit Default Swaps Referencing Monoline Insurance Companies and the Amendment of LCH SA's Rules in Accordance With its Risk Policies (Release No. 34-90207; File No. SR-LCH SA-2020-004; October 15, 2020)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 11890 (Clearly Erroneous Transactions) (Release No. 34-90202; File No. SR-NASDAQ-2020-070; October 15, 2020); see also Exhibit 5
- NASDAQ: Order Approving a Proposed Rule Change to Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel (Release No. 34-90201; File No. SR-NASDAQ-2020-002; October 15, 2020)
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to BX Rule 11890 (Release No. 34-90206; File No. SR-BX-2020-031; October 15, 2020); see also Exhibit 5
- NYSE Arca: Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 3, to Amend NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and to Permit the Listing and Trading of Shares of the Wilshire wShares Enhanced Gold Trust Under Amended NYSE Arca Rule 8.201-E (Release No. 34-90216; File No. SR-NYSEArca-2020-59); see also Exhibit 5
- NYSENAT: Order Approving a Proposed Rule Change to Establish Fees for the NYSE National Integrated Feed (Release No. 34-90217; File No. SR-NYSENAT-2020-05)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Phlx Rule 3312 (Release No. 34-90205; File No. SR-Phlx-2020-47; October 15, 2020); see also Exhibit 5