What’s New on the SEC Website
November 28, 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)
ALJ Initial Decisions
- Lynn Tilton; Patriarch Partners, et al. (Release Nos. IA-4815, IC-32926; File No. 3-16462)
Enforcement Investors Claims Funds
- Wells Fargo Brokerage Services, LLC n/k/a/ Wells Fargo Securities, LLC, et al.
- Sarkauskas and Associates, Inc., et al.
- Quantek Asset Management, LLC, et al.
- Peter R. Kohli, et al.
- Orthofix International N.V.
- North East Capital, et al.
- Walter Ng, et al.
- Morgan Stanley and Co. LLC, et al.
- Mergenet Medical Inc., et al.
- Logitech International, S.A., et al.
- Laurence I. Balter d/b/a Oracle Investment Research
- Jeremy A. Licht d/b/a JL Capital Management
- Donald Matthew Greth, et al.
- GMB Capital Management LLC, et al.
- GLG Partners, Inc., et al.
- Robert Dobbins, et al.
- Credit Suisse Securities (USA) LLC
- Centaur Management Co. LLC
- Christopher Freeman Brogdon
- BNY Mellon Securities LLC
- Barry B. Clare
Investment Company Act Deregistration Notices and Orders
- Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940 (Release No. IC-32921; November 27, 2017)
Investment Company Act Notices and Orders
- Brandes Investment Trust, et al. (Release No. IC-32925; File No. 812-14809)
- Reinhart Partners, Inc., et al. (Release No. IC-32924; File No. 812-14830)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Clarify How the Options Regulatory Fee is Assessed and Collected (Release No. 34-82163; File No. SR-C2-2017-031); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Clarifying How the Options Regulatory Fee is Assessed and Collected (Release No. 34-82164; File No. SR-CBOE-2017-074); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rule 19.6, Series of Options Contracts Open for Trading (Release No. 34-82160; File No. SR-CboeBZX-2017-002); see also Exhibit 5
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Implementation Delay of Qualified Contingent Cross Order Functionalities (Release No. 34-82159; File No. SR-GEMX-2017-53); see also Exhibit 5
- OCC: Notice of Filing of Proposed Rule Change Related to The Options Clearing Corporation's Margin Methodology (Release No. 34-82161; File No. SR-OCC-2017-022)
- Notice of Filing of Proposed Rule Change to Amend Rule 971.1NY to Amend the Duration of a Customer Best Execution Auction (Release No. 34-82162; File No. SR-NYSEAMER-2017-26); see also Exhibit 5