What’s New on the SEC Website
November 3, 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
Litigation Releases
- Terrence Chalk, et al. (Release No. LR-24954; Nov. 3, 2020)
News
Meetings
Press Releases
Regulatory Actions
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-90317; File No. 2021-4; Date.modified: 2020-11-03)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt the Delta-Adjusted at Close Order Instruction (Release No. 34-90319; File No. SR-CBOE-2020-014; November 3, 2020)
- FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Government Securities Division Rulebook to Clarify Which Funds-Only Settlement Payments and Underlying Marks Are Applicable to Certain Transactions, and Make Other Changes (Release No. 34-90322; File No. SR-FICC-2020-012; November 3, 2020); see also Exhibit 5
- FINRA: Self-Regulatory Organizations; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change to Amend the By-Laws of FINRA Regulation, Inc. to Align the Grounds for Member Removal from the NAC with an Existing Provision in the FINRA By-Laws (Release No. 34-90324; File No. SR-FINRA-2020-037; November 3, 2020)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Co-Location Services to Establish Procedures for the Allocation of Cabinets to its Co-Located Users (Release No. 34-90326; File No. SR-NYSEArca-2020-82; November 3, 2020)
- NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the AdvisorShares Q Portfolio Blended Allocation ETF and AdvisorShares Q Dynamic Growth ETF under Rule 8.900-E (Release No. 34-90323; File No. SR-NYSEArca-2020-94; November 3, 2020)
- OCC: Notice of Filing of Proposed Rule Change to Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan (Release No. 34-90315; File No. SR-OCC-2020-013; November 3, 2020)
- NYSECHX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Co-Location Services to Establish Procedures for the Allocation of Cabinets to its Co-Located Users (Release No. 34-90328; File No. SR-NYSECHX-2020-26; November 3, 2020)
- NYSEAMER: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Exchange's Co-Location Services to Establish Procedures for the Allocation of Cabinets to its Co-Located Users (Release No. 34-90327; File No. SR-NYSEAMER-2020-66; November 3, 2020)