What’s New on the SEC Website
November 18, 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)
Divisions
Enforcement Investors Claims Funds
Litigation
Administrative Proceedings
- Barclays Capital Inc. (Release No. 34-90453; File No. 3-17978)
- VCAP Securities, LLC and Brett Thomas Graham (Release No. 34-90451; File No. 3-16389)
Commission Opinions and Orders
- William H. Murphy & Co. and William H. Murphy (Release No. 34-90456; File No. 3-18895)
- Aurum, Inc. and Ecosphere Technologies, Inc. (Release No. 34-90452; File No. 3-19444)
- Innocom Technology Holdings, Inc., the Pulse Beverage Corporation and Ystrategies Corp. (Release No. 34-90448; File No. 3-19443)
- Gyrotron Technology, Inc. and Nation Energy Inc. (Release No. 34-90447; File No. 3-19442)
- Billion Holding Inc. (Release No. 34-90446; File No. 3-19926)
- Ultimate Products Corporation, et al. (Release No. 34-90445; File No. 3-19872; November 17, 2020)
Regulatory Actions
Investment Company Act Notices and Orders
- Oaktree Strategic Income II, Inc., et al. (Release No. IC-34099; File No. 812-15156)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Make Qualified Contingent Cross Orders Available for FLEX Option Trading (Release No. 34-90457; File No. SR-CBOE-2020-075)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt Temporary Supplementary Material .17 (Temporary Relief to Allow Remote Inspections for Calendar Year 2020 and Calendar Year 2021) under FINRA Rule 3110 (Supervision) (Release No. 34-90454; File No. SR-FINRA-2020-040)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Technical and Conforming Amendments to Options 4, Sections 3 and 5 (Release No. 34-90450; File No. SR-ISE-2020-38); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule (Release No. 34-90449; File No. SR-PEARL-2020-25); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Pricing Schedule (Release No. 34-90455; File No. SR-MRX-2020-21); see also Exhibit 5, Exhibit 3