What’s New on the SEC Website
January 31, 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)
ALJ Orders
- Meridian Co., Ltd. (Release No. AP-6431; File No. 3-18188)
- China Domestica Bio-Technology Holdings, Inc. (Release No. AP-6430; File No. 3-17031)
- Gregory Reyftmann (Release No. AP-6429; File No. 3-17959)
- Robert L. Baker, et al. (Release No. AP-6428; File No. 3-17716)
- Oriental Dragon Corp. (Release No. AP-6427; File No. 3-18450)
- Angel Oak Capital Partners, LLC, et al. (Release No. AP-6426; File No. 3-17849)
- Saving2Retire, LLC and Marian P. Young (Release No. AP-6425; File No. 3-17352)
- Bluforest, Inc. (Release No. AP-6424; File No. 3-17558)
Divisions
Division of Corporation Finance
Staff No-Action, Interpretive & Exemptive Letters
- ARK ETF Trust (January 31, 2019)
Litigation
Administrative Proceedings
- Canadian Imperial Holdings, Inc. and CIBC World Market Corp. (Release No. 34-85017; File No. 3-11987)
- John L. Gathright, Jr. (Release Nos. 34-85014, IA-5105; File No. 3-18773)
- John Austin Gibson, Jr. (Release Nos. 34-85013, IA-5104; File No. 3-17856)
- Evan Louis Greebel, Esq. (Release No. 34-85012; File No. 3-18978)
- Ferne Kornfeld (Release No. 34-85011; File No. 3-18977)
- Barry M. Kornfeld (Release No. 34-85010; File No. 3-18976)
- Albert D. Klager (Release No. 34-85009; File No. 3-18975)
- Jordan E. Goodman (Release No. 34-85008; File No. 3-18974)
Litigation Releases
- David Aubel and Robert Raffa (Release No. LR-24387)
News and Public Statements
Commission Closed Meetings
Regulatory Actions
Investment Company Act Notices and Orders
- RYZZ Capital Management, LLC, et al. (Release No. IC-33362; File No. 812-14961)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule (Release No. 34-85015; File No. SR-CBOE-2019-003); see also Exhibit 5
- IEX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify the Resting Price of Discretionary Peg Orders (Release No. 34-85016; File No. SR-IEX-2018-23)
- NASDAQ: Notice of Filing of Amendment No. 3 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1, 2 and 3, to List and Trade Shares of the BrandywineGLOBAL - Global Total Return ETF (Release No. 34-85022; File No. SR-NASDAQ-2018-080)
- NYSE: Order Approving a Proposed Rule Change to Amend Rule 123C to Extend the Cut-Off Times for Order Entry and Cancellation for Participation in the Closing Auction and When the Exchange Will Begin Disseminating Order Imbalance Information for the Closing Auction (Release No. 34-85021; File No. SR-NYSE-2018-58)
- NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Rule 7.31 Relating to Discretionary Orders, Auction-Only Orders, Discretionary Modifier, and Yielding Modifier and Related Amendments to Rules 7.16, 7.34, 7.36, and 7.37 (Release No. 34-85019; File No. SR-NYSE-2018-52)
- NYSE Arca: Notice of Withdrawal of a Proposed Rule Change Regarding Investments of the REX BKCM ETF (Release No. 34-85020; File No. SR-NYSEArca-2018-40)
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule (Release No. 34-85023; File No. SR-NYSEAMER-2018-58); see also Exhibit 5