What’s New on the SEC Website
October 7, 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)
ALJ Orders
- Loyal Source Market Services, Inc. (Release No. AP-6792; File No. 3-20022)
Litigation
Commission Opinions and Orders
- LD Holdings, et al. (Release No. 34-90108; File No. 3-19383)
- Bakken Resources, Inc.; Ireland Inc.; and Worlds Mall, Inc. (Release No. 34-90107; File No. 3-19382)
- Adama Technologies Corp.; Geobio Energy, Inc.; and Powerdyne International, Inc. (Release No. 34-90106; File No. 3-19375)
- Diadexus, et al. (Release No. 34-90105; File No. 3-19376)
Regulatory Actions
Exemptive Orders
Final Rules
- Fund of Funds Arrangements (17 CFR Parts 270 and 274; [Release Nos. 33-10871; IC-34045; File No. S7-27-18]; RIN 3235-AM29)
Investment Company Act Notices and Orders
- Rand Capital Corporation, et al. (Release No. IC-34046; File No. 812-15108)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule with Respect to its Strategy Fee Cap (Release No. 34-90103; File No. SR-CBOE-2020-089); see also Exhibit 5
- FINRA: Order Approving a Proposed Rule Change To Adopt FINRA Rule 3241 (Registered Person Being Named a Customer's Beneficiary or Holding a Position of Trust for a Customer) (Release No. 34-90116; File No. SR-FINRA-2020-020)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Temporary Commentary .10 under NYSE Rule 1210 (Release No. 34-90111; File No. SR-NYSE-2020-80)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Temporary Commentary .10 under NYSE Arca Rule 2.1210 (Release No. 34-90113; File No. SR-NYSEArca-2020-87)
- NYSE Arca: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, Amending NYSE Arca Rule 8.900-E to Adopt Generic Listing Standards for Managed Portfolio Shares (Release No. 34-90104; File No. SR-NYSEArca-2020-84); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Temporary Commentary .10 under NYSE National Rule 2.1210 (Release No. 34-90117; File No. SR-NYSENAT-2020-30)
- NYSECHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Temporary Interpretation and Policy .10 under NYSE Chicago Article 6, Rule 13 (Release No. 34-90114; File No. SR-NYSECHX-2020-28)
- NYSEAMER-: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt Temporary Commentary .10 under NYSE American Rule 2.1210 (Release No. 34-90115; File No. SR-NYSEAMER-2020-71)
- MEMX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Shorten the Exchange's Post-Market Session to End at 5:00 p.m. Eastern Time (Release No. 34-90119; File No. SR-MEMX-2020-11); see also Exhibit 5 (Release No. 34-90119; File No. SR-MEMX-2020-11)
- CboeBZX: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) (Release No. 34-90118; File No. SR-CboeBZX-2020-053)