Newsroom

What’s New on the SEC Website

November 12, 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.
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Litigation

Commission Opinions and Orders

Saul Daniel Suster (Release No. 34-90401; File No. 3-18866)

News and Public Statements

Press Releases

Mike Willis Named Associate Director in Division of Economic and Risk Analysis (Release No. 2020-280)

Public Statements

Statement on Staff Bulletin Related to Risks Associated with Offshore Omnibus Accounts Transacting in “Penny Stocks” and other Low-Priced U.S. Securities by Chairman Jay Clayton

Regulatory Actions

Exemptive Orders

Order Granting a Temporary Conditional Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 ("Exchange Act") and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Certain Activities on the Floor of National Securities Exchanges and Certain Activities by Industry Members Off Exchange Floors, as Required by Section 6.4(d) of the National Market System Plan Governing the Consolidated Audit Trail (Release No. 34-90405)

Investment Company Act Notices and Orders

AdvisorShares Trust, et al. (Release No. IC-34092; File No. 812-15146)

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 Certain Fees Related to Transactions in Mini-SPX Index ("XSP") Options (Release No. 34-90404; File No. SR-CBOE-2020-108); see also Exhibit 5
CboeBZX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule to Correct Drafting Error in a Footnote (Release No. 34-90403; File No. SR-CboeBZX-2020-084); see also Exhibit 5
FINRA: Order Approving Proposed Rule Change Relating to Granularity of Timestamps in Trade Reports Submitted to FINRA's Equity Trade Reporting Facilities (Release No. 34-90396; File No. SR-FINRA-2020-029)
ICEEU: Notice of filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures. (Release No. 34-90402; File No. SR-ICEEU-2020-014); see also Exhibit 5
NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical and Conforming Amendments to The Nasdaq Options Market Rules at Options 4 (Release No. 34-90395; File No. SR-NASDAQ-2020-075); see also Exhibit 5
NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE BBO and NYSE Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE Trades by Adopting a Waiver Applicable to the Redistribution Fee (Release No. 34-90407; File No. SR-NYSE-2020-91); see also Exhibit 5a, Exhibit 3d, Exhibit 3c, Exhibit 3b, Exhibit 3a
NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the Fees for NYSE American BBO and NYSE American Trades by Modifying the Application of the Access Fee and Amending the Fees for NYSE American Trades by Adopting a Waiver Applicable to the Redistribution Fee (Release No. 34-90408; File No. SR-NYSEAMER-2020-79); see also Exhibit 5, Exhibit 3d, Exhibit 3c, Exhibit 3b
OCC: Notice of Filing of Proposed Rule Change to Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework (Release No. 34-90406; File No. SR-OCC-2020-014); see also Exhibit 5a
PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Equities Fee Schedule (Release No. 34-90400; File No. SR-PEARL-2020-24); see also Exhibit 5