What’s New on the SEC Website
November 24, 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
- Craig Rumbaugh (Release Nos. 34-90508, IA-5634; File No. 3-20156)
- Dougherty's Pharmacy, Inc. (Release No. 34-90493; File No. 3-20155; November 23, 2020)
- Genesis Financial, Inc. (Release No. 34-90491; File No. 3-20043; November 23, 2020)
- Zenergy Brands, Inc. (Release No. 34-90489; File No. 3-20034; November 23, 2020)
Commission Opinions and Orders
- ERHC Energy, Inc. and IDDriven Inc. (Release No. 34-90517; File No. 3-19419)
- Swissinso Holding, Inc., SYDYS Corporation and UnifiedOnline, Inc. (Release No. 34-90516; File No. 3-18782)
- Thomas Christophe Prentice (Release No. 34-90511; File No. 3-18894)
- Tryon Alpha, Inc. and Tundra Resources, Inc. (Release No. 34-90500; File No. 3-19489)
- Sea Breeze Power Corp. and 1701 Productions, Inc. (Release No. 34-90499; File No. 3-19488)
- R-Tec Holding, Inc., Rtr, Inc. and Scapple Inc. (Release No. 34-90497; File No. 3-19487)
- Ezagoo Inc. (Release No. 34-90496; File No. 3-19483)
Litigation Releases
- Rumbaugh et al (Release No. LR-24969; Nov. 24, 2020)
Trading Suspensions
- Doughertys Pharmacy, Inc. (Release No. 34-90494; November 23, 2020)
See also Order
News and Public Statements
Commission Open Meetings
- Asset Management Advisory Committee, December 1, 2020
- Sunshine Act Meeting Notice: Closed Meeting, 2:00 p.m. on Wednesday, December 2, 2020
Press Releases
- SEC Investor Advisory Committee to Meet Remotely on Dec. 3
- SEC Proposes Amendments to Modernize Framework for Securities Offerings and Sales to Workers
- SEC Proposes Temporary Rules to Facilitate Measured Participation by Certain "Platform Workers" in Compensatory Offerings Under Rule 701 and Form S-8
Public Statements
Regulatory Actions
Exemptive Orders
- Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (Exchange Act) with Respect to Futures Contracts on the SPIKESTM Index (Release No. 34-90510)
Other Commission Orders, Notices, and Information
Proposed Rules
- Temporary Rules to Include Certain Platform Workers in Compensatory Offerings under Rule 701 and Form S-8 (17 CFR 230; 239; and 240; Release Nos. 33-10892; 34-90948; File No. S7-19-20; RIN 3235-AM79)
- Modernization of Rules and Forms for Compensatory Securities Offerings and Sales (17 CFR Parts 229, 230, and 239; Release No. 33-10891; File No. S7-18-20; RIN 3235-AM38; )
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, a Proposed Rule Change in Connection with the Proposed Establishment of the Boston Security Token Exchange LLC as a Facility of the Exchange (Release No. 34-90513; File No. SR-BOX-2020-16)
- BOX: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC (Release No. 34-90512; File No. SR-BOX-2020-14)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule (Release No. 34-90504; File No. SR-CBOE-2020-111); see also Exhibit 5
- ICC: Order Approving Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules (Release No. 34-90505; File No. SR-ICC-2020-011)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to an Amendment to Options 7, Section 4, Related to Complex Orders Fees and Rebates, and Options 7, Section 9 (Release No. 34-90501; File No. SR-ISE-2020-39); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay Implementation of an Amendment to Rule 518, Complex Orders, to Permit Legging Through the Simple Market (Release No. 34-90507; File No. SR-MIAX-2020-36)
- NSCC: Order Approving a Proposed Rule Change to Enhance National Securities Clearing Corporation's Haircut-Based Volatility Charge Applicable to Illiquid Securities and UITs and Make Certain Other Changes to Procedure XV (Release No. 34-90502; File No. SR-NSCC-2020-003)
- NYSE: Notice of Filing of Proposed Rule Change to Make Permanent Commentaries to Rule 7.35A and Commentaries to Rule 7.35B and Make Related Changes to Rules 7.32, 7.35C, 46B, and 47 (Release No. 34-90495; File No. SR-NYSE-2020-95); see also Exhibit 5
- MRX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Pricing Schedule at Options 7 for Orders Entered Into the Exchange's Price Improvement Mechanism (Release No. 34-90503; File No. SR-MRX-2020-18); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend its Early Trading Session (Release No. 34-90509; File No. SR-CboeEDGX-2020-056); see also Exhibit 5