What’s New on the SEC Website
September 9, 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
Enforcement Investors Claims Funds
- Wilmington Trust Corporation (Release No. 34-89758; File No. 3-16098; September 3, 2020); see also Wilmington Trust Corporation
- Wilmington Trust Corporation (Release No. 34-89287; File No. 3-16098; July 10, 2020); see also Wilmington Trust Corporation
Litigation
Administrative Proceedings
- AFH Acquisition IX, Inc. (Release No. 34-89791; File No. 3-19966)
Litigation Releases
- Kirk Sperry and Sperry and Sons Capital Investments, LLC (Release No. LR-24889)
Regulatory Actions
Investment Company Act Deregistration Notices and Orders
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- NASDAQ: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets (Release No. 34-89799; File No. SR-NASDAQ-2020-027)
- NASDAQ: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets (Release No. 34-89794; File No. SR-NASDAQ-2020-026)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List (Release No. 34-89798; File No. SR-NYSE-2020-72); see also Exhibit 5
- NYSE: Petition of Council of Institutional Investors for Review of an Order, Issued by Delegated Authority, Granting Approval of a Proposed Rule (September 8, 2020); see also Notice of Intention to Petition for Review (August 31, 2020) and Brief of Petitioner Council of Institutional Investors in Opposition to Motion of New York Stock Exchange LLC to Lift the Automatic Stay (September 8, 2020)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-89797; File No. SR-NYSEArca-2020- 81); see also Exhibit 5
- OCC-AN: Notice of No Objection to Advance Notice Concerning Proposed Changes to Enhance OCC's Stock Loan Close-Out Process (Release No. 34-89792; File No. SR-OCC-2020-805)
- NSCC: Response to the Commissions Request for Additional information (File No. SR-NSCC-2020-802)
- LCH SA: Order Approving Proposed Rule Change, as Modified by Amendment No. 1, Relating to LCH SA's Governance Arrangements (Release No. 34-89793; File No. SR-LCH SA-2020-003)
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct Two Typographical Errors in IEX Rules 2.220(a)(7) and 11.410 (a) (Release No. 34-89796; File No. SR-IEX-2020-13); see also Exhibit 5
- CboeBZX: Notice of Withdrawal of a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of the -1x Short VIX Futures ETF Under BZX Rule 14.11(f)(4), Trust Issued Receipts (Release No. 34-89795; File No. SR-CboeBZX-2020-003)