What’s New on the SEC Website
October 6, 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
- Anthony Goldstein (Release No. 34-90097; File No. 3-20019)
- Wells Fargo & Company (Release No. 34-90095; File No. 3-19704)
Commission Opinions and Orders
- Barton W. Stuck (Release No. IA-5608; File No. 3-19685)
- The Robare Group, Ltd., Mark L. Robare and Jack L. Jones, Jr. (Release No. IA-5606; File No. 3-16047)
- Sean Kelly (Release Nos. 34-90098, IA-5609; File No. 3-19323)
- David B. Tysk (Release No. 34-90094; File No. 3-17294r)
Litigation Releases
- McAfee et al. (Release No. LR-24941)
News and Public Statements
Commission Open Meetings
Regulatory Actions
Investment Company Act Notices and Orders
- GSO Asset Management, LLC and Blackstone Private Credit Fund (Release No. IC-34044; File No. 812-15114)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FICC: Order Approving a Proposed Rule Change to Describe Key Components of the Mortgage-Backed Securities Division Stress Testing Program (Release No. 34-90101; File No. SR-FICC-2020-010)
- NMS: Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data (Release No. 34-90096; File No. 4-757)
- OCC: Order Approving Proposed Rule Change Concerning the Commingling of Certain Non-Customer Margin Assets with Clearing Fund Contributions in The Options Clearing Corporation's Account at the Federal Reserve Bank of Chicago (Release No. 34-90100; File No. SR-OCC-2020-010)
- Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt the MIAX PEARL Equities Fee Schedule (Release No. 34-90102; File No. SR-PEARL-2020-17); see also Exhibit 5 (Release No. 34-90102; File No. SR-PEARL-2020-17)
- Notice of Filing of Proposed Rule Change Relating to the clearing of options on index credit default swaps in respect of North American indices (more specifically, CDX.NA.IG and CDX.NA.HY) (Release No. 34-90099; File No. SR-LCH SA-2020-005); see also Exhibit 5b,
- Exhibit 3 and Exhibit 5a