What’s New on the SEC Website
November 5, 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
- Capitol Securities Management, Inc. (Release Nos. 34-90361, IA-5625; File No. 3-20144)
- Michael J. Pires (Release No. 34-90360; File No. 3-20143)
- Conrad A. Coggeshall (Release Nos. 34-90358, IA-5623; File No. 3-20142)
- David F. Bandimere (Release No. 34-90349; File No. 3-15124)
- Kroll Bond Rating Agency, LLC (Release No. 34-90348; File No. 3-20097)
- Logitech International, S.A. Michael Doktorczyk and Sherralyn Bolles, CPA (Release No. 34-90347; File No. 3-17212)
- Escondido Innovations, Inc. (Release No. 34-90345; File No. 3-19984; November 4, 2020)
Commission Opinions and Orders
- Consolidated Arbitration Applications (Release No. 34-90362; File Nos. 3-18616, 3-18617, 3-18877, 3-18879, 3-18883, 3-18910, 3-18919, 3-18934, 3-18988, 3-19013, 3-19016, 3-19017, 3-19219, 3-19228, 3-19405, 3-19573, 3-19574, 3-19588, 3-19611)
- J.W. Korth & Company, LP (Release No. 34-90353; File No. 3-19206)
Litigation Releases
- Ieremenko et al. (Release No. LR-24956)
News and Public Statements
Press Releases
- SEC Awards More Than $3.6 Million and $750,000 in Separate Whistleblower Awards (Release No. 2020-278)
Public Statements
- Opening Remarks at the November 5, 2020 Special Meeting of the Asset Management Advisory Committee by Chairman Jay Clayton
- Opening remarks at the November 5, 2020 Meeting of the Asset Management Advisory Committee by Commissioner Hester M. Peirce
Speeches
- Playing the Long Game: The Intersection of Climate Change Risk and Financial Regulation by Commissioner Allison Herren Lee
Regulatory Actions
Investment Advisers Act Notices Orders and Releases
- Arena Holdings Management LLC (IA-5624, File No. 803-00252)
Other Commission Orders, Notices, and Information
- Ann T. Coffey Wealth Management LLC: Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 (Release No. IA-5622)
- Order Determining Whistleblower Award Claim (Release No. 34-90351; File No. 2021-6)
- Order Determining Whistleblower Award Claim (Release No. 34-90350; File No. 2020-5)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeBZX: Notice of Filing and Immediate Effectiveness of Proposed Rule to Eliminate the Listing Fee Waiver for Issuers of Certain ETPs (Release No. 34-90356; File No. SR-CboeBZX-2020-082); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Equity Transaction Fee Rebate Tiers (Release No. 34-90352; File No. SR-CboeBZX-2020-078); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Increase the Number of Additional Limited Service MIAX Express Interface Ports Available to Market Makers (Release No. 34-90354; File No. SR-MIAX-2020-34); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Temporary Supplementary Material .13 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) under Nasdaq Rule 1.1210 (Release No. 34-90359; File No. SR-NASDAQ-2020-073)
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Treat as an Eligible Switch, for Purposes of IM-5900-7, an Acquisition Company that Switches from NYSE to Nasdaq After Announcing a Business Combination (Release No. 34-90357; File No. SR-NASDAQ-2020-060)
- NASDAQ: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Nasdaq Rule 5704 (Release No. 34-90355; File No. SR-NASDAQ-2020-017)