What’s New on the SEC Website
October 9, 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
Commission Opinions and Orders
- Quantumsphere, Inc. and Shenzhen Yidian Double Way of Innovation Culture Media Corp. (Release No. 34-90152; File No. 3-19264; October 9, 2020)
- John Christopher Polit (Release Nos. 34-90150, IA-5611; File No. 3-19838; October 9, 2020)
- Crescent Airways Corp., Electronic Manufacturing Services Group Inc. and M&M Financial Corp. (Release No. 34-90148; File No. 3-19401; October 9, 2020)
- Alexandre S. Clug, et al. (Release Nos. 33-10874, 34-90143, IC-34048; File No. 3-16318; October 9, 2020)
Litigation Releases
- SAExploration Holdings, Inc., et al. (Release No. LR-24943; Oct. 9, 2020)
News
Speeches
- The Car Talk of Capital Raising, by Martha Miller, Advocate for Small Business Capital Formation
- Volume, Value, and Impact: Remarks by the SEC Ombudsman, by Tracey L. McNeil, Ombudsman
- Investing in the Public Option: Promoting Growth in Our Public Markets, Remarks at The SEC Speaks in 2020, by Commissioner Allison Herren Lee, October 8, 2020
Regulatory Actions
Investment Company Act Notices and Orders
- Snowflake, Inc. (Release No. IC-34049; File No. 812-15159; October 9, 2020)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeEDGX: 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. 34-90147; File No. SR-CboeEDGX-2020-047; October 9, 2020); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Fee Schedule (Release No. 34-90146; File No. SR-MIAX-2020-32); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Related to the Market-wide Circuit Breaker in Rule 4121 (Release No. 34-90144; File No. SR-NASDAQ-2020-068); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend Rule 4121 (Release No. 34-90145; File No. SR-BX-2020-029); see also Exhibit 5
- NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate the fee for BX's TradeInfo Interface in Options 7 (Release No. 34-90120; File No. SR-BX-2020-028); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7 (Release No. 34-90151; File No. SR-NYSE-2020-83; October 9, 2020); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to extend the pilot related to the market-wide circuit breaker in Rule 3101 (Release No. 34-90153; File No. SR-Phlx-2020-46; October 9, 2020); see also Exhibit 5