What’s New on the SEC Website
September 30, 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 Corporation Finance
Staff No-Action, Interpretive & Exemptive Letters
Litigation
Administrative Proceedings
- Transamerica Asset Management, Inc. (Release Nos. IA-5599, IC-34035; File No. 3-20105)
- Meredith A. Simmons, Esq. (Release Nos. 34-90061, IA-5603, IC-34038; File No. 3-20114)
- Benjamin Durant, III (Release Nos. 34-90056, IA-5601; File No. 3-20111)
- Gerald Allan Eaton (Release Nos. 34-90053, IA-5600; File No. 3-20110)
- Hilton Worldwide Holdings Inc. (Release Nos. 34-90052, AAER-4182; File No. 3-20109)
- Milton J. Dosal, Jr. (Release No. 34-90051; File No. 3-20108)
- Vitro Diagnostics, Inc. (Release No. 34-90047; File No. 3-20104; September 29, 2020)
- Morgan Stanley & Co. LLC (Release No. 34-90046; File No. 3-20103)
- Players Network, Inc. (Release No. 34-90041; File No. 3-20017; September 29, 2020)
- Great Plains Trust Company, Inc. (Release Nos. 33-10869, IC-34037; File No. 3-20113)
- HP Inc. (Release Nos. 33-10868, 34-90060, AAER-4183; File No. 3-20112)
- BGC Partners, Inc. (Release Nos. 33-10867, 34-90050, AAER-4181; File No. 3-20107)
- Salt Blockchain Inc. f/k/a Salt Lending Holdings, Inc. (Release No. 33-10865; File No. 3-20106)
Commission Opinions and Orders
- Application of Timothy Arthur Vanderver for Review of Action Taken by Financial Industry Regulatory Authority (Release No. 34-90058; File No. 3-19019)
- Application of Maurice James Ariche for Review of Action Taken by Financial Industry Regulatory Authority (Release No. 34-90055; File No. 3-19786)
Litigation Releases
- Drew Morgan Ciccarelli (Release No. LR-24940)
- Rand Heckler and Rand Heckler, Inc. (Release No. LR-24938)
- Johnson, Everett, Ekejija, and NVC Fund, LLC (Release No. LR-24937)
- Mason D. Newman, Christian J. Baquerizo and Kevin Cardenas (Release No. LR-24936)
- Joel Stohlman, et al. (Release No. LR-24935)
- Robert McCabe et al. (Release No. LR-24934)
- Michael Staisil (Release No. LR-24933)
- Roger Nils-Jonas Karlsson (Release No. LR-24932)
- Todd W. Mixon (Release No. LR-24931)
- Thomas J. Gity, et al. (Release No. LR-24930)
- Sebastian Silea, Christian Kranenberg, and KS Cartel LLC (Release No. LR-24929)
Trading Suspensions
- Vitro Diagnostics, Inc. (Release No. 34-90048; September 29, 2020)
See also Order
News and Public Statements
Commission Open Meetings
Regulatory Actions
Investment Company Act Notices and Orders
- 1WS Credit Income Fund, et al. (Release No. IC-34036; File No. 812-14997)
Other Commission Orders, Notices, and Information
- Sagent Wealth Management: Notice of Intention to Cancel Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 (Release No. IA-5602)
- Order Determining Whistleblower Award Claim (Release No. 34-90059; File No. 2020-39)
- Order Determining Whistleblower Award Claim (Release No. 34-90057; File No. 2020-38)
- Order Determining Whistleblower Award Claim (Release No. 34-90054; File No. 2020-37)
- Order Determining Whistleblower Award Claim (Release No. 34-90049)
- In the Matter of Salt Blockchain Inc. : Order Under Rule 506(d)(2)(ii) of the Securities Act Of 1933 Granting a Waiver of the Rule 506(d)(1)(v)(B) Disqualification Provision (Rel. No.: 33-10866 )
- In the Matter of Aegon N.V.: Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer (Rel. No.: 33-10864)
Public Petitions for Rulemaking