What’s New on the SEC Website
January 30, 2019
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
Division of Corporation Finance
Staff No-Action, Interpretive & Exemptive Letters
Litigation
Administrative Proceedings
- Robert H. Shapiro (Release No. 34-85004; File No. 3-18973)
- Biovest International, Inc., et al. (Release No. 34-85002; File No. 3-17935; Date: Jan. 29, 2019)
Commission Opinions and Orders
- Kurt Charles Jackson (Release No. 34-85006; File No. 3-18910)
- Pending Administrative Proceedings (Release Nos. 33-10603, 34-85007, IA-5103, IC-33361)
Regulatory Actions
Investment Company Act Notices and Orders
- Hercules Capital, Inc. (Release No. IC-33360; File No. 812-14910)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change Relating to FINRA Rule 4512 (Customer Account Information) (Release No. 34-85003; File No. SR-FINRA-2018-040)
- NYSE: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change Amending Sections 312.03 and 312.04 of the Listed Company Manual To Amend the Price Requirements for Certain Exceptions From the Shareholder Approval Rules (Release No. 34-85005; File No. SR-NYSE-2018-54)