What’s New on the SEC Website
October 8, 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
- Francis V. Lorenzo (Release Nos. 33-10872, 34-90110; File No. 3-15211)
Commission Opinions and Orders
- Nicholi Mandracken (Release No. 34-90109; File No. 3-19222)
Litigation Releases
News and Public Statements
Press Releases
- SEC Charges Seismic Data Company, Former Executives With $100 Million Accounting Fraud (Release No. 2020-251)
Public Statements
- Joint Statement Regarding New FAQs for Form CRS by Chairman Jay Clayton; Dalia Blass, Director, Division of Investment Management; Brett Redfearn Director, Division of Trading and Markets
Speeches
- An Update on FY 2020 Results – Remarks at SEC Speaks by Chairman Jay Clayton
- Remarks At SEC Speaks 2020 by Commissioner Elad L. Roisman
Testimony
- Testimony before the Subcommittee on Diversity and Inclusion, Committee on Financial Services by Pamela Gibbs, Director, Office of Minority and Women Inclusion
Regulatory Actions
Other Commission Orders, Notices, and Information
- Regulatory Flexibility Agenda (17 CFR Ch. II; Release Nos. 33-10873, 34-90131, IA-5610, IC-34047, File No. S7-14-20)
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 Rule 5.1 (Release No. 34-90132; File No. SR-CBOE-2020-091)
- CboeBYX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Maker Transaction Fees (Release No. 34-90122; File No. SR-CboeBYX-2020-029); see also: Exhibit 5
- CboeBYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.18 (Release No. 34-90121; File No. SR-CboeBYX-2020-028) see also: Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 11.18 (Release No. 34-90126; File No. SR-CboeBZX-2020-074); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rebate Tiers in the Fee Schedule (Release No. 34-90123; File No. SR-CboeBZX-2020-073) see also: Exhibit 5
- CboeEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 11.16 (Release No. 34-90127; File No. SR-CboeEDGA-2020-026); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-90142; File No. SR-CboeEDGX-2020-046); see also Exhibit 5
- FINRA: Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change to Delete the FINRA Order Audit Trail System (OATS) Rules (Release No. 34-90129; File No. SR-FINRA-2020-024)
- ICC: Notice of Filing of Proposed Rule Change, Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules (Release No. 34-90138; File No. SR-ICC-2020-011); see also Exhibit 5
- LTSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Date of the Pilot Related to the Market-Wide Circuit Breaker in Rule 11.280 (Release No. 34-90125; File No. SR-LTSE-2020-18); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 7.12 (Release No. 34-90134; File No. SR-NYSE-2020-84); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 7.12-E (Release No. 34-90136; File No. SR-NYSEArca-2020-89); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 7.12E (Release No. 34-90135; File No. SR-NYSEAMER-2020-74); see also Exhibit 5
- NYSECHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 7.12 (Release No. 34-90140; File No. SR-NYSECHX-2020-30); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Harmonize Rules 10.9261 and 10.9830 with Recent Changes by the Financial Industry Regulatory Authority, Inc. (Release No. 34-90137; File No. SR-NYSENAT-2020-31)
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 7.12 (Release No. 34-90133; File No. SR-NYSENAT-2020-33); see also Exhibit 5
- OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Concerning The Options Clearing Corporation's Synthetic Futures Model (Release No. 34-90139; File No. SR-OCC-2020-012)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot related to the Market-wide Circuit Breaker in Exchange Rule 2622 (Release No. 34-90124; File No. SR-PEARL-2020-20); see also Exhibit 5