What’s New on the SEC Website
November 9, 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 Initial Decisions
- William J. Sears (Release No. ID-1405; File No. 3-17547)
Divisions
Enforcement Investors Claims Funds
- Plexcorps Final Judgment
- Logitech International, S.A. Michael Doktorczyk and Sherralyn Bolles, CPA (Release No. 34-90347; File No. 3-17212)
Litigation
Administrative Proceedings
- Joshua Stephens-Anselm (Release No. 34-90374; File No. 3-20147)
Commission Opinions and Orders
- Mark Feathers (Release No. 34-90380; File No. 3-15755)
- Integral Technologies, Inc. (Release No. 34-90375; File No. 3-20037)
Litigation Releases
- Guy Gentile (Release No. LR-24962)
- Douglas A. Roth (Release No. LR-24961)
- Robert C. Morgan (Release No. LR-24960)
- David C. Coggins, et al. (Release No. LR-24959)
- Hughe Duwayne Graham, Donald Lee Howard, Larry Louis Matyas (Release No. LR-24958)
- Mohammed Ali Rashid (Release No. LR-24957)
News and Public Statements
Press Releases
- SEC Publishes Notice of German Substituted Compliance Application and Proposed Order (Release No. 2020-279)
Public Statements
- Staff Statement on WY Division of Banking’s “NAL on Custody of Digital Assets and Qualified Custodian Status” Division of Investment Management Staff in Consultation with FinHub Staff
- Remarks: Small Business Capital Formation Advisory Committee Meeting by Chairman Jay Clayton
- Remarks at Meeting of the SEC Small Business Capital Formation Advisory Committee, Proposed Conditional Exemption for Finders; COVID-19 Updates and Discussion by Commissioner Hester M. Peirce
- Remarks at the November 5, 2020 Meeting of the Asset Management Advisory Committee by Dalia Blass, Director, Division of Investment Management
Regulatory Actions
Investment Company Act Notices and Orders
- Upstart Holdings, Inc. (Release No. IC-34088; File No. 812-15177)
Other Commission Orders, Notices, and Information
- Notice of Substituted Compliance Application submitted by the Bundesanstalt fr Finanzdienstleistungsaufsicht in connection with Certain Requirements Applicable to Security-Based Swap Entities subject to regulation in the Federal Republic of Germany; Proposed Order (Release No. 34-90378; ; File No.: S7-16-20)
- Asset Management Advisory Committee: Notice of Meeting (Release No. 34-90376; File No. 265-33)
Public Petitions for Rulemaking
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Add Certain Fees Related to the Listing and Trading of Options Contracts on the Mini-SPX Index ("XSP") and Update Certain other Language in the Fee Schedule (Release No. 34-90381; File No. SR-CboeBZX-2020-080); See also: Exhibit 5
- CboeBZX:Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule (Release No. 34-90379; File No. SR-CboeBZX-2020-079; November 9, 2020); See also: Exhibit 5 (Release No. 34-90379; File No. SR-CboeBZX-2020-079; November 9, 2020)
- NASDAQ OMX BX: Notice of Filing of Proposed Rule Change to Amend Options 4, Section 5, to Limit Short Term Options Series Intervals between Strikes Which are Available for Quoting and Trading on BX (Release No. 34-90384; File No. SR-BX-2020-032); See also Exhibit 5
- NASDAQ OMX BX: Notice of Filing of Proposed Rule Change to Utilize the FIX Protocol to Submit Orders to BX's Price Improvement Auction Mechanism (Release No. 34-90383; File No. SR-BX-2020-033); See also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change to Amend the Requirement Applicable to Special Purpose Acquisition Companies Upon Consummation of a Business Combination Concerning Compliance with the Round Lot Shareholder Requirement (Release No. 34-90382; File No. SR-NYSE-2020-90); See also Exhibit 5