What’s New on the SEC Website
November 2, 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
ALJ Orders
- Joshua D. Mosshart (Release No. AP-6795; File No. 3-18422)
Administrative Proceedings
- Super Micro Computer, Inc., Howard Hideshima ("Release No. 34-90313; File No. 3-19927, 3-19928")
Commission Opinions and Orders
- Atna Resources, Ltd. and Orckit Communications Ltd. (Release No. 34-90306; File No. 3-19425)
- Atlas Technology International, Inc., Centenary International Corporation and Dynacq Healthcare, Inc. (Release No. 34-90305; File No. 3-19423)
- Emmanuel Kouyoumdjian a/k/a "Manny K," (Release No. 34-90304; File No. 3-20055)
- Activecare, et al. (Release No. 34-90303; File No. 3-19424)
- Erhc Energy, Inc. and Iddriven, Inc. (Release No. 34-90301; File No. 3-19419)
News
Commission Open Meetings
Press Releases
- SEC Division of Enforcement Publishes Annual Report for Fiscal Year 2020 (Release No. 2020-274)
- SEC Harmonizes and Improves “Patchwork” Exempt Offering Framework (Release No. 2020-273)
Public Statements
- Statement on Harmonizing, Simplifying and Improving the Exempt Offering Framework; Benefits to Small and Medium-Sized Business and Their Investors by Chairman Jay Clayton
- Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets by Commissioner Hester M. Peirce
- Statement on Amendments to the Exempt Offering Framework by Commissioner Allison Herren Lee
- Statement on Harmonization of Securities Offering Exemptions by Commissioner Caroline A. Crenshaw
- Statement at Open Meeting on Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets by Commissioner Elad L. Roisman
Regulatory Actions
Exemptive Orders
- Order Granting Exemptions from Sections 8 and 15(a)(1) of the Securities Exchange Act of 1934 and Rules 3b-13(b)(2), 8c-1, 10b-10, 15a-1(c), 15a-1(d) and 15c2-1 Thereunder in Connection with the Revision of the Definition of Security to Encompass Security-Based Swaps and Determining the Expiration Date for a Temporary Exemption from Section 29(b) of the Securities Exchange Act of 1934 in Connection with Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants (Release No. 34-90308; File Nos. S7-27-11 and S7-24-11; )
Final Rules
- Final rule: Use of Derivatives by Registered Investment Companies and Business Development Companies (17 CFR Parts 239, 249, 270, and 274; [Release No. IC-34084; File No. S7-24-15])
- Final rule: Facilitating Capital Formation and Expanding Investment Opportunities by Improving Access to Capital in Private Markets (17 CFR Parts 227, 229, 230, 239, 240, 249, 270, and 274; [Release Nos. 33-10884; 34-90300; IC-34082; File No. S7-05-20]; RIN 3235-AM27)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Notice of Filing of Proposed Amendments to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) that Would Require Members to File Retail Communications Concerning Private Placement Offerings that are Subject to Those Rules' Filing Requirements (Release No. 34-90302; File No. SR-FINRA-2020-038)
- NYSE: Notice of Filing of Proposed Rule Change to Amend Rule 7.31 (Release No. 34-90309; File No. SR-NYSE-2020-87); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List (Release No. 34-90307; File No. SR-NYSE-2020-88); see also Exhibit 5
- NYSENAT: Notice of Filing of Proposed Rule Change to Amend Rule 7.31 (Release No. 34-90314; File No. SR-NYSENAT-2020-34)see also: Exhibit 5