What’s New on the SEC Website
September 2, 2020
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
- Victor Alfaya (Release No. ID-1402; File No. 3-17874)
Litigation
Administrative Proceedings
- Bethany Liou and Golden California Regional Center, LLC (Release No. 34-89755; File No. 3-19597)
- Bethany Liou and Golden California Regional Center, LLC (Release No. 34-89755; File No. 3-19597)
- Anton Senderov and Lior Barbazara (Release No. 34-89738; File No. 3-19954)
- Green Technology Solutions, Inc. (Release No. 34-89728; File No. 3-19953; September 1, 2020)
- US VR Global.Com Inc. (Release No. 34-89726; File No. 3-19952; September 1, 2020)
Commission Opinions and Orders
- Daniel Paul Motherway (Release No. 34-89740; File No. 3-19897)
- MaryJane Group, Inc., Omega Commercial Finance Corp. and Redpoint Bio Corp. (Release No. 34-89735; File No. 3-18827; September 1, 2020)
Litigation Releases
- Steven M. Sexton (Release No. LR-24883)
- Gary S. Wykle and Alejandro Cortes (Release No. LR-24882)
Trading Suspensions
- Green Technology Solutions, Inc. (Release No. 34-89729; September 1, 2020)
See also Order - US VR Global.com Inc. (Release No. 34-89727; September 1, 2020)
See also Order
Regulatory Actions
Investment Company Act Notices and Orders
- Federated Hermes Adviser Series, et al. (Release No. IC-34002; File No. 812-15055)
- Resource Credit Income Fund and Sierra Crest Investment Management LLC (Release No. IC-34001; File No. 812-15147)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to List and Trade Options that Overlie the S&P 500 ESG Index (Release No. 34-89749; File No. SR-CBOE-2020-080)
- CBOE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Authorize for Trading Flexible Exchange Options on Full-Value Indexes with a Contract Multiplier of One (Release No. 34-89743; File No. SR-CBOE-2020-034)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Amend FINRA Rules 1015, 9261, 9524 and 9830 to Permit Hearings Under Those Rules to Be Conducted by Video Conference (Release No. 34-89737; File No. SR-FINRA-2020-027)
- NASDAQ: Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend the Procedures Governing the Introduction of Legal Arguments and Material Information by Companies in a Proceeding Before a Hearings Panel (Release No. 34-89745; File No. SR-NASDAQ-2020-002)
- NASDAQ: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend IM-5101-1 (Use of Discretionary Authority) to Deny Listing or Continued Listing or to Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market (Release No. 34-89739; File No. SR-NASDAQ-2020-028)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List (Release No. 34-89754; File No. SR-NYSE-2020-71); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the NYSE Arca Options Fee Schedule (Release No. 34-89741; File No. SR-NYSEArca-2020-79); see also Exhibit 5
- Phlx: Notice of Filing of Proposed Rule Change to List and Trade Options on a Nasdaq-100 Volatility Index (Release No. 34-89725; File No. SR-Phlx-2020-41; September 1, 2020); see also Exhitit 3-1, Exhibit 3-2, Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 2613 Usage of Data Feeds (Release No. 34-89747; File No. SR-PEARL-2020-11)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Designation of Members for Mandatory Disaster Recovery Testing Pursuant to Regulation SCI for Calendar Year 2020 (Release No. 34-89736; File No. SR-PEARL-2020-14); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 13.4(a), Stating It Will Utilize MEMX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes (Release No. 34-89751; File No. SR-CboeEDGX-2020-042); see also Exhibit 5
- CboeEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 13.4(a), Stating It Will Utilize MEMX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes (Release No. 34-89750; File No. SR-CboeEDGA-2020-024); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 11.26(a), Stating It Will Utilize MEMX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes (Release No. 34-89752; File No. SR-CboeBZX-2020-067); see also Exhibit 5
- CboeBYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Update Rule 11.26(a), Stating It Will Utilize MEMX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, Execution, and Related Compliance Processes (Release No. 34-89753; File No. SR-CboeBYX-2020-024); see also Exhibit 5