What’s New on the SEC Website
June 5, 2018
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)
Division of Trading and Markets No-Action, Exemptive, and Interpretive Letters
- The Royal Bank of Scotland Group plc (June 4, 2018)
- Gary W. Freeman (Release Nos. 34-83382, IA-4935, IC-33116; File No. 3-18532)
- China Education Alliance, Inc., DoMark International, Inc. and East Coast Diversified Corp. (Release No. 34-83375; File No. 3-18333; June 4, 2018)
- Altona Resources, Inc., Apex 10, Inc. and Clone Algo, Inc. (Release No. 34-83374; File No. 3-18339; June 4, 2018)
- Constant Contact, Inc. and Endurance International Group Holdings, Inc. (Release Nos. 33-10504, 34-83377; File No. 3-18531)
- Alderson, et al. (Release No. LR-24157)
- Paul Gilman, Oil Migration Group, LLC, Wavetech29, LLC, and GilmanSound, LLC (Release No. LR-24156)
News and Public Statements
Commission Open Meetings
- Sunshine Act Meeting Notice: Open Meeting on Tuesday, June 5, 2018
- Open Meeting Agenda, Tuesday, June 5, 2018
- SEC Modernizes the Delivery of Fund Reports and Seeks Public Feedback on Improving Fund Disclosure (Release No. 2018-103)
Speeches and Public Statements
- Opening Remarks to the Elder Justice Coordinating Council by Chairman Jay Clayton, Washington, D.C.
- Statement at Open Meeting on Inter-Agency Proposal for Amendments to the Volcker Rule by Chairman Jay Clayton, Washington, D.C.
- Statement on Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds by Commissioner Kara M. Stein, Washington, D.C.
- Proposed Amendments to the Volcker Rule by Commissioner Robert J. Jackson, Jr., Washington, D.C.
- Statement on Investment Company Design, Delivery and Disclosures Rulemaking Package by Chairman Jay Clayton, Washington, D.C.
- Optional Internet Availability of Investment Company Shareholder Reports by Commissioner Hester M. Pierce, Washington, D.C.
- Statement on Investment Company Rule 30e-3, Enabling Optional Internet Availability of Shareholder Reports by Commissioner Michael S. Piwowar, Washington, D.C.
- Statement on Final Rule on the Optional Internet Availability of Investment Company Shareholder Reports, Request for Comment on the Investor Experience, and Request for Comment on Intermediary Fees by Commissioner Kara M. Stein, Washington, D.C.
- Testimony before the Financial Services and General Government Subcommittee of the Senate Committee on Appropriations by Chairman Jay Clayton, Washington, D.C.
- Proposed Revisions to Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds
- Optional Internet Availability of Investment Company Shareholder Reports (Release Nos. 33-10506; 34-83380; IC-33115; File No. S7-08-15)
Investment Company Act Notices and Orders
- U.S. Global Investors, Inc. and U.S. Global Investors ETF Trust (Release No. IC-33118; File No. 812-14869)
- Franklin Alternative Strategies Funds, et al. (Release No. IC-33117; File No. 812-14819)
Other Commission Orders, Notices, and Information
- Request for Comment on Fund Retail Investor Experience and Disclosure (Release Nos. 33-10503; 34-83376; IC-33113; File No. S7-12-18)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- GEMX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Reorganize Chapter IV of the GEMX Schedule of Fees (Release No. 34-83369; File No. SR-GEMX-2018-18; June 4, 2018); see also Exhibit 5
- ICEEU: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures (Release No. 34-83372; File No. SR-ICEEU-2018-008; June 4, 2018); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend and Reorganize Chapter V of the ISE Schedule of Fees (Release No. 34-83370; File No. SR-ISE-2018-48; June 4, 2018); see also Exhibit 5
- NASDAQ: Notice of Withdrawal of Proposed Rule Change to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination (Release No. 34-83383; File No. SR-NASDAQ-2017-087)
- NYSEAMER: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish an Electronic Price Improvement Auction for Complex Orders (Release No. 34-83384; File No. SR-NYSEAMER-2018-05)
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the Natixis Loomis Sayles Short Duration Income ETF (Release No. 34-83385; File No. SR-NYSEArca-2018-25)
- NYSE Arca: Notice of Filing of Proposed Rule Change Relating to the Index Methodology Applicable to Indexes Underlying iShares California AMTFree Muni Bond ETF and iShares New York AMT-Free Muni Bond ETF (Release No. 34-83381; File No. SR-NYSEArca-2018-38)