What’s New on the SEC Website
September 16, 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
- David F. Bandimere (Release No. 34-89896; File No. 3-15124)
- Source Media Inc. (Release No. 34-89890; File No. 3-20009)
- Worldtek Corp. (f/k/a Lundell Technologies, Inc.) (Release No. 34-89889; File No. 3-20008)
- Kenneth A. Stromsland (Release No. 34-89885; File No. 3-20006)
- Steri-Oss, Inc. (Release No. 34-89882; File No. 3-20005; September 15, 2020)
- Samdrew VII, Inc. (Release No. 34-89881; File No. 3-20004; September 15, 2020)
Litigation Releases
- Estate of Richard Ventrilla and Cygnus Capital Management, LLC (Release No. LR-24901)
- Henry Sargent et al. (Release No. LR-24900); see also Final Judgment as to Defendants Frederick Mintz and Alan Fraade
Regulatory Actions
Final Rules
- Final Rule: Publication or Submission of Quotations Without Specified Information (17 CFR Parts 230 and 240; [Release Nos. 33-10842; 34-89891; File No. S7-14-19]; RIN 3235–AM54)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- NASDAQ: Notice of Filing of Proposed Rule Change to Amend Listing Rules Applicable to Special Purpose Acquisition Companies whose Business Plan is to Complete One or More Business Combinations (Release No. 34-89897; File No. SR-NASDAQ-2020-062); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 4759 (Release No. 34-89871; File No. SR-BX-2020-026; September 15, 2020); see also Exhibit 5
- NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rule 5.2-E(j)(6) Relating to Options-Linked Securities (Release No. 34-89898; File No. SR-NYSEArca-2020-46)
- NYSE Arca: Notice of Filing of Proposed Rule Change to Establish Procedures for the Allocation of Cabinets to its Co-Located Users (Release No. 34-89883; File No. SR-NYSEArca-2020-82); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Rule 3304 (Release No. 34-89870; File No. SR-Phlx-2020-44; September 15, 2020); see also Exhibit 5
- NYSENAT: Notice of Filing of Proposed Rule Change to Establish Procedures for the Allocation of Cabinets to its Co-Located Users (Release No. 34-89884; File No. SR-NYSENAT-2020-28); see also Exhibit 5
- NYSECHX: Notice of Filing of Proposed Rule Change to Establish Procedures for the Allocation of Cabinets to its Co-Located Users (Release No. 34-89886; File No. SR-NYSECHX-2020-26); see also Exhibit 5
- MEMX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Manner in which the Exchange will Designate Members to Participate in its Mandatory Disaster Recovery Testing for Calendar Year 2020 (Release No. 34-89899; File No. SR-MEMX-2020-07); see also Exhibit 5
- LTSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 11.410 (a) (Release No. 34-89877; File No. SR-LTSE-2020-16; September 15, 2020}; see also Exhibit 5