What’s New on the SEC Website
September 3, 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)
Divisions
Division of Corporation Finance
Staff No-Action, Interpretive & Exemptive Letters
Litigation
Administrative Proceedings
- Signature Financial Services, Ltd. (Release No. IA-5571; File No. 3-19963)
- Vladislav Khalupsky (Release No. IA-5570; File No. 3-19962)
- Wilmington Trust Corporation (Release No. 34-89758; File No. 3-16098); see also Plan of Distribution
- Yue Li (Release No. 34-89757; File No. 3-19959)
- Rorine International Holding Corporation (Release No. 34-89744; File No. 3-19956; September 2, 2020)
- Unifunds Limited (Release No. 34-89742; File No. 3-19955; September 2, 2020)
- Covalent Collective, Inc. (Release No. 33-10833; File No. 3-19961)
- National Financial Services LLC (Release Nos. 33-10832, 34-89756, IA-5569; File No. 3-19958)
- FuelCell Energy, Inc. (Release No. 33-10831; File No. 3-19957)
Litigation Releases
- Steven Fitzgerald Brown (Release No. LR-24888)
- Geoffrey Thompson (Release No. LR-24887)
- John M. Fife, Chicago Venture Partners, L.P., Iliad Research and Trading, St. George Investments LLC, Tonaquint, Inc., and Typenex Co-Investment, LLC (Release No. LR-24886)
- Phillip W. Conley (Release No. LR-24885)
- Peter DiChiara (Release No. LR-24884)
Trading Suspensions
- Rorine International Holding Corporation (Release No. 34-89748; September 2, 2020)
See also Order - Unifunds Limited (Release No. 34-89746; September 2, 2020)
See also Order
News and Public Statements
Press Releases
- SEC Charges Fund Manager for Fraud in Securities Offering in Neiman Marcus Bankruptcy (Release No. 2020-203)
Regulatory Actions
Other Commission Orders, Notices, and Information
- Europa Investment Bank Inc. (Rel. No. IA-5568; File No. 801-74257; September 2, 2020)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- LTSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Continue Suspending the Application of Order Price Collars in Rule 11.190(f)(1) Until October 8, 2020 (Release No. 34-89766; File No. SR-LTSE-2020-15)
- MEMX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Corporate Documents of the Exchange's Parent Company (Release No. 34-89763; File No. SR-MEMX-2020-05); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Proposed Rule Change to Amend The NASDAQ Options Market LLC Pricing Schedule at Options 7, Section 2 and Update Other Rule Text Within Options 7, Section 1 and Options 7, Section 5 (Release No. 34-89767; File No. SR-NASDAQ-2020-056); see also Exhibit 5