What’s New on the SEC Website
September 23, 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
- Jonestrading Institutional Services LLC (Release No. 34-89975; File Nos. 3-20050)
- LHI Acquisition Corporation (Release No. 34-89966; File No. 3-20049)
- TSLC I, Inc. (Release No. 34-89965; File No. 3-20048)
- Vortex Blockchain Technologies Inc. (Release No. 34-89959; File No. 3-20046; September 22, 2020)
- Core Lithium Corp. (Release No. 34-89957; File No. 3-20045; September 22, 2020)
- International Leaders Capital Corporation (Release No. 34-89955; File No. 3-20044; September 22, 2020)
- Genesis Financial, Inc. (Release No. 34-89953; File No. 3-20043; September 22, 2020)
- Alan J. Kau (Release Nos. 33-10848, 34-89977; File No. 3-20052)
- Daniel C. Masters (Release Nos. 33-10847, 34-89976; File No. 3-20051)
Litigation Releases
- Edward T. Kelly (Release No. LR-24912)
- Roger Duffield, et al. (Release No. LR-24911)
See also: Final Judgment - Duffield , Final Judgment - Plandai
Trading Suspensions
- Vortex Blockchain Technologies Inc. (Release No. 34-89960; September 22, 2020)
See also Order - Core Lithium Corp. (Release No. 34-89958; September 22, 2020)
See also Order - International Leaders Capital Corporation (Release No. 34-89956; September 22, 2020)
See also Order - Genesis Financial, Inc. (Release No. 34-89954; September 22, 2020)
See also Order
Regulatory Actions
Final Rules
- Procedural Requirements and Resubmission Thresholds under Exchange Act Rule 14a-8 (Release No. 34-89964; File No. S7-23-19)
- Whistleblower Program Rules (Release No. 34-89963; File No. S7-16-18)
Investment Company Act Deregistration Notices and Orders
- Order: SSGA Master Trust (Release No. IC-34024; File No. 811-22705)
- Order: Nuveen Mortgage and Income Fund (Release No. IC-34023; File No. 811-23433)
- Order: Nuveen Impact Bond 2025 Term Fund (Release No. IC-34022; File No. 811-23337)
- Order: Nuveen High Income December 2019 Target Term Fund (Release No. IC-34021; File No. 811-23141)
- Order: Nuveen Energy MLP Total Return Fund (Release No. IC-34020; File No. 811-22482)
- Order: Nuveen All Cap Energy MLP Opportunities Fund (Release No. IC-34019; File No. 811-22877)
Investment Company Act Notices and Orders
- Spinnaker ETF Series, Obp Capital LLC and Capital Investment Group, Inc. (Release No. IC-34018; File No. 812-15123)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., NYSE Chicago, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., MEMX LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., Investors' Exchange LLC, and Long-Term Stock Exchange, Inc. Relating to the Surveillance, Investigation, and Enforcement of Insider Trading Rules (Release No. 34-89972; File No. 4-566)
- FINRA: Notice of Filing of Proposed Rule Change Relating to Granularity of Timestamps in Trade Reports Submitted to FINRA's Equity Trade Reporting Facilities (Release No. 34-89973; File No. SR-FINRA-2020-029); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 2618, Risk Settings and Trading Risk Metrics (Release No. 34-89971; File No. SR-PEARL-2020-16); see also Exhibit 5 (
- PEARL: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Exchange Rule 1014, Imposition of Fines for Minor Rule Violations (Release No. 34-89969; File No. SR-PEARL-2020-15); see also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.110 Concerning the CQ Remove Fee (Release No. 34-89968; File No. SR-IEX-2020-15); see also Exhibit 5
- IEX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Transaction Fees Pursuant to IEX Rule 15.110 Concerning D-Limit Orders (Release No. 34-89967; File No. SR-IEX-2020-14); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-89927; File No. SR-EMERALD-2020-07; September 21, 2020); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-89970; File No. SR-CboeEDGX-2020-045); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-89974; File No. SR-CboeBZX-2020-071); see also Exhibit 5