What’s New on the SEC Website
January 5, 2021
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
- The Registration Statements of Crest Radius, Inc. and Loyal Source Market Services, Inc. (Release No. ID-1406; File No. 3-20021)
Divisions
Division of Corporation Finance
Staff No-Action, Interpretive & Exemptive Letters
Litigation
Administrative Proceedings
- Barry F. Connell (Release Nos. 34-90848, IA-5661; File No. 3-20197)
- Can-Cal Resources Ltd. (Release No. 34-90840; File No. 3-18017; January 4, 2021)
Commission Opinions and Orders
- Trevor Michael Saliba and Arthur Mansourian (Release No. 34-90847; File Nos. 3-18989, 3-18990; January 4, 2021)
Litigation Releases
- Barry F. Connell (Release No. LR-25004)
- Final Judgment: Barry F. Connell (Case 1:17-cv-00831; December 30, 2020)
Regulatory Actions
Investment Company Act Deregistration Notices and Orders
- RMR Mortgage Trust (Release No. IC-34163; File No. 811-22260; October 5, 2021)
Investment Company Act Notices and Orders
- KKR Income Opportunities Fund, et al., (Release No. IC-34164; File No. 812-14951)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing of a Proposed Rule Change to Amend Certain Rules to Accommodate the Listing and Trading of Index Options with an Index Multiplier of One (Release No. 34-90853; File No. SR-CBOE-2020-117); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 (Release No. 34-90852; File No. SR-FINRA-2020-046)
- MEMX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 11.8(b) Relating to the Handling of Limit Orders When the National Best Bid or Offer is Not Available (Release No. 34-90849; File No. SR-MEMX-2020-17); see also Exhibit 5