What’s New on the SEC Website
November 4, 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
- The Registration Statements of Crest Radius, Inc. and Loyal Source Market Services, Inc. (Release No. AP-6797; File Nos. 3-20021, 3-20022)
- Loyal Source Market Services, Inc. (Release No. AP-6796; File No. 3-20022)
Divisions
Enforcement Investors Claims Funds
Litigation
Administrative Proceedings
- Atlas Resources Series 33-2013 L.P. (Release No. 34-90325; File No. 3-19970; November 3, 2020)
Commission Opinions and Orders
- Allan Michael Roth (Release No. 34-90343; File No. 3-18792)
- Performance Capital Management, LLC and Silicon Mountain Holdings, Inc. (Release No. 34-90342; File No. 3-19441)
- Oceanus Acquisition Corp., Pinkbrick Holdings Inc. and Puravita Corporation. (Release No. 34-90341; File No. 3-19440)
- Dynamic Enviro Inc. and United Restaurant Group International, Inc. (Release No. 34-90337; File No. 3-19439)
- Green Endeavors, Inc. and Sputnik Enterprises, Inc. (Release No. 34-90336; File No. 3-19438)
Litigation Releases
Regulatory Actions
Investment Company Act Notices and Orders
- Principal Diversified Select Real Asset Fund, et al. (Release No. IC-34086; File No. 812-15083)
- Snowflake, Inc. (Release No. IC-34085; File No. 812-15159)
Other Commission Orders, Notices, and Information
- Notice: Public Availability of the Securities and Exchange Commissions FY 2016 and FY 2017 Service Contract Inventory (Release No.: 34-90346)
- Notice of public meeting: Investor Advisory Committee Meeting on Thursday, December 3, 2020 from 10:00 a.m. until 4:00 p.m. (ET) (Release Nos. 33-10885; 34-90338; File No. 265-28)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule in Connection with Migration (Release No. 34-90333; File No. SR-CBOE-2020-105); see also Exhibit 5a, Exhibit 5b
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule (Release No. 34-90332; File No. SR-CBOE-2020-107); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend FINRA Rules to Reflect Name Changes to Two FINRA Departments: the Office of Dispute Resolution and the Department of Registration and Disclosure (Release No. 34-90344; File No. SR-FINRA-2020-039)
- FINRA: Notice of Designation of a Longer Period for Commission Action on 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. 34-90335; File No. SR-FINRA-2020-031)
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Listing Rules Applicable to Special Purpose Acquisition Companies whose Business Plan is to Complete One or More Business Combinations (Release No. 34-90340; File No. SR-NASDAQ-2020-062)
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, To Allow Companies To List in Connection With a Direct Listing With a Primary Offering in Which the Company Will Sell Shares Itself in the Opening Auction on the First Day of Trading on Nasdaq and To Explain How the Opening Transaction for Such a Listing Will Be Effected (Release No. 34-90331; File No. SR-NASDAQ-2020-057)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Equities Fees and Charges to Adopt an Alternative Method to Qualify for the Tier 2 Pricing Tier (Release No. 34-90334; File No. SR-NYSEArca-2020-97); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Fees at Equity 7, Section 3 (Release No. 34-90339; File No. SR-Phlx-2020-50); see also Exhibit 5