What’s New on the SEC Website
November 27, 2017
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)
- Rosalind Herman (Release No. AP-5239; File No. 3-17828)
Enforcement Investors Claims Funds
Investment Company Act Notices and Orders
- Horizon Technology Finance Corporation, et al. (Release No. IC-32923; File No. 812-14738)
- Ausdal Unit Investment Trust and Ausdal Financial Partners, Inc. (Release No. IC-32922; File No. 812-14786)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- OCC: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund (Release No. 34-82156; File No. SR-OCC-2017-019)
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rules 2.220(a)(7) and 11.410(a) to Reflect the Name Change of Bats BZX Exchange, Inc. to Cboe BZX Exchange, Inc., Bats EDGA Exchange, Inc. to Cboe EDGA Exchange, Inc., Bats EDGX Exchange, Inc. to Cboe EDGX Exchange, Inc., and Bats BYX Exchange, Inc. to Cboe BYX Exchange, Inc. (Release No. 34-82155; File No. SR-IEX-2017-42); see also Exhibit 5