What’s New on the SEC Website
September 17, 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 Investment Management No-Action Letters
Litigation
Administrative Proceedings
- Steven Fitzgerald Brown (Release No. IA-5583; File No. 3-20019)
- Gilder Gagnon Howe & Co. LLC and Bonnie M. Haupt (Release Nos. IA-5582, IC-34014; File No. 3-20014)
- WCAS Management Corporation (Release No. 34-89914; File No. 3-20020)
- Navian Capital Securities LLC and Robert P. Jenkins (Release No. 34-89903; File No. 3-20013)
- Coordinated Capital Securities, Inc. (Release Nos. 34-89900, IA-5581; File No. 3-20012)
- ExeLED Holdings Inc. (Release No. 34-89894; File No. 3-20011; September 16, 2020)
- Vape Holdings, Inc. (Release No. 34-89892; File No. 3-20010; September 16, 2020)
- Smartag International, Inc. (Release No. 34-89887; File No. 3-20007; September 16, 2020)
Litigation Releases
- John Geraci (Release No. LR-24904)
- Steven J. Sheinfeld (Release No. LR-24903)
- Scott Allen Fries (Release No. LR-24902)
Trading Suspensions
- ExeLED Holdings Inc. (Release No. 34-89895; September 16, 2020)
See also Order - Vape Holdings, Inc. (Release No. 34-89893; September 16, 2020)
See also Order - Smartag International, Inc. (Release No. 34-89888; September 16, 2020)
See also Order
News and Public Statements
Press Releases
- SEC Awards Almost $250,000 to Joint Whistleblowers (Release No. 2020-214)
- SEC Charges Former CEO of Technology Company With Raising $123 Million in Fraudulent Offerings (Release No. 2020-213)
Speeches
- Investor-Focused, Nimble and Vigorous Enforcement at the SEC by Chairman Jay Clayton
- Lucy’s Human: Remarks at Virtual Roundtable on The Role of Asset Management in ESG Investing Hosted By Harvard Law School and the Program on International Financial Systems by Commissioner Hester M. Peirce
Regulatory Actions
Exemptive Orders
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-89912; File No. 2020-31)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeBZX: Notice of Filing of a Proposed Rule Change to List and Trade Shares of the -1x Short VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) ("Trust Issued Receipts") (Release No. 34-89901; File No. SR-CboeBZX-2020-070)