What’s New on the SEC Website
September 28, 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)
About the SEC
Privacy
Litigation
Administrative Proceedings
- Gary Edward Haynes (Release No. IA-5597; File No. 3-20086)
- Benjamin Mekawy (Release No. 34-90032; File No. 3-20093)
- Fiat Chrysler Automobiles N.V. (Release No. 34-90031; File No. 3-20092)
- Casimer Anthony Polanchek (Release No. 34-90030; File No. 3-20091)
- Brian Buckley (Release No. 34-90029; File No. 3-20090)
- Kanako Matsumoto, CPA (Release Nos. 34-90025, AAER-4176; File No. 3-16783)
- Fulton Financial Corporation (Release Nos. 34-90017, AAER-4174; File No. 3-20084)
- Scott Eugene Bachman (Release Nos. 33-10857, 34-90028; File No. 3-20089)
- David Taylor (Release Nos. 33-10856, 34-90027; File No. 3-20088)
- Raymond Allan Fine (Release Nos. 33-10855, 34-90026; File No. 3-20087)
- Interface, Inc., et al. (Release Nos. 33-10854, 34-90018, AAER-4175; File No. 3-20085)
Litigation Releases
- Clifton Curtis Sneed, Jr. (Release No. LR-24924)
- Laksha Bohra, Viky Bohra, and Gotham Bohra (Release No. LR-24923)
- Lindner Capital Advisors, Inc. and Robert J. Lindner (Release No. LR-24922)
- Marcus Beam (Release No. LR-24921)
- Todd Zinkwich (Release No. LR-24920)
News
Commission Open Meetings
- Sunshine Act Meeting Notice: Fixed Income Market Structure Advisory Committee on Monday, October 5, 2020
- Sunshine Act Meeting Notice Cancellation: Open Meeting on Wednesday, September 30, 2020
Press Releases
- SEC Staff to Host October 26 Roundtable on Regulation Best Interest and Form CRS (Press Release No. 2020-229)
- SEC Charges Amazon Finance Manager and Family With Insider Trading (Press Release No. 2020-228)
- SEC Proposes Rules to Extend Regulations ATS and SCI to Treasuries and Other Government Securities Markets (Press Release No. 2020-227)
- SEC Charges Companies, Former Executives as Part of Risk-Based Initiative (Press Release No. 2020-226)
Public Statements
- Statement on Measures to Enhance the Fixed Income Markets by Commissioner Elad L. Roisman
Regulatory Actions
Investment Company Act Deregistration Notices and Orders
- Notice of Applications for Deregistration under Section 8(f) of the Investment Company Act of 1940 (Release No. IC-33029)
Investment Company Act Notices and Orders
- Blackrock ETF Trust III, Blackrock Fund Advisors and Blackrock Investments, LLC (Release No. IC-34030; File No. 812-15133)
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-90021; File No. 2020-35)
Proposed Rules
- Proposed Rule: Regulation ATS for ATSs that Trade U.S. Government Securities, NMS Stock, and Other Securities; Regulation SCI for ATSs that Trade U.S. Treasury Securities and Agency Securities; and Electronic Corporate Bond and Municipal Securities Markets (17 CFR Parts 240, 242, 249; [Release No. 34-90019; File No. S7-12-20]; RIN 3235-AM45)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- MEMX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to MEMX Rule 11.15, Clearly Erroneous Executions (Release No. 34-90022; File No. SR-MEMX-2020-09 see also: Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Rules 9261 and 9830 with Recent Changes by the Financial Industry Regulatory Authority, Inc. (Release No. 34-90024; File No. SR-NYSE-2020-76); see also Exhibit 5
- NYSE: Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Article IV, Section 4.05 of the Thirteenth Amended and Restated Operating Agreement of the Exchange (Release No. 34-90023; File No. SR-NYSE-2020-67)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend its Waiver of the Application of Certain of the Shareholder Approval Requirements in Section 312.03 of the NYSE Listed Company Manual Through December 31, 2020 Subject to Certain Conditions (Release No. 34-90020; File No. SR-NYSE-2020-79)