What’s New on the SEC Website
September 11, 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)
Litigation
Administrative Proceedings
- William D. King, CPA (Release Nos. 34-89848, IA-5579, IC-34007; File No. 3-19991; September 11, 2020)
- Steven D. Rodemer (Release Nos. 34-89843, IA-5577; File No. 3-19989; September 11, 2020)
- Samdrew IX, Inc. (Release No. 34-89842; File No. 3-19988; September 11, 2020)
- Royale Globe Holding Inc. (Release No. 34-89841; File No. 3-19987; September 11, 2020)
- Reach Genetics, Inc. (Release No. 34-89840; File No. 3-19986; September 11, 2020)
- Franklin Hill Acquisition Corporation (Release No. 34-89839; File No. 3-19985; September 11, 2020)
- Escondido Innovations, Inc. (Release No. 34-89838; File No. 3-19984; September 11, 2020)
- Clontech Laboratories, Inc. n/k/a Takara Bio USA, Inc. (Release No. 34-89837; File No. 3-19983; September 11, 2020)
- Dominic Tropiano (Release No. 34-89829; File No. 3-19982)
- American Blockchain Biochar Corporation (Release No. 34-89827; File No. 3-19942; September 10, 2020)
- IHO-Agro International, Inc. n/k/a Grandwon Corp. (Release No. 34-89821; File No. 3-19981; September 10, 2020)
- Clifford Harris, Jr. (Release No. 33-10836; File No. 3-19990; September 11, 2020)
Commission Opinions and Orders
- John Christopher Polit (Release Nos. 34-89844, IA-5578; File No. 3-19838; September 11, 2020)
Trading Suspensions
- IHO-Agro International Inc. n/k/a Grandwon Corp. (Release No. 34-89822; September 10, 2020)
See also Order
News
Press Releases
- SEC Charges Film Producer, Rapper, and Others for Participation in Two Fraudulent ICOs (Press Release 2020-207)
- SEC Issues Agenda for September 16 Meeting of the Asset Management Advisory Committee (Press Release 2020-206)
- SEC Modernizes Disclosures for Banking Registrants (Press Release 2020-205)
- SEC Announces Final Distribution in WG Trading Investment Fraud, Totaling Over $1 Billion Returned to Harmed Investors (Press Release 2020-204)
Regulatory Actions
Final Rules
- Update of Statistical Disclosures for Bank and Savings and Loan Registrants (17 CFR Parts 210, 229, and 249; [Release No. 33-10835; 34-89835; File No. S7-02-17]; RIN 3235-AL79)
Investment Company Act Notices and Orders
- Rand Capital Corporation, et al. (Release No. IC-34006; File No. 812-15108; September 11, 2020)
Other Commission Orders, Notices, and Information
- MEMX: Order Declaring Effective a Minor Rule Violation Plan (Release No. 34-89836; File No. 4-764; September 11, 2020)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule (Release No. 34-89828; File No. SR-C2-2020-013; September 11, 2020); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule with Respect to its Strategy Fee Cap (Release No. 34-89831; File No. SR-CBOE-2020-084; September 11, 2020); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Adopt Fees for a Recently Adopted New Version of the Silexx Platform (Release No. 34-89830; File No. SR-CBOE-2020-085; September 11, 2020); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37 to Specify the Exchange's Source of Data Feeds from MIAX PEARL, LLC (Release No. 34-89832; File No. SR-NYSE-2020-74; September 11, 2020); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 7.37E to Specify the Exchange's Source of Data Feeds from MIAX PEARL, LLC (Release No. 34-89833; File No. SR-NYSEAMER-2020-67; September 11, 2020); see also Exhibit 5
- NYSE Arca: Notice of Filing of Proposed Rule Change to Amend NYSE Arca Rule 5.3-E to Exempt Issuers of Certain Derivative and Special Purpose Securities From Having to Obtain Shareholder Approval Prior to the Issuance of Securities in Connection with Certain Acquisitions of the Stock or Assets of an Affiliated Company (Release No. 34-89834; File No. SR-NYSEArca-2020-54; September 11, 2020); see also Exhibit 5