What’s New on the SEC Website
October 13, 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
Enforcement Investors Claims Funds
Litigation
Administrative Proceedings
- Vitro Diagnostics, Inc. (Release No. 34-90149; File No. 3-20104; October 9, 2020)
Commission Opinions and Orders
- Calhoun Asset Management, LLC and Krista Lynn Ward a/k/a Krista Lynn Karnezis (Release No. 34-90162; File No. 3-14680)
News
Press Release
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Related to the Market-wide Circuit Breaker in Rule 6.32.01 (Release No. 34-90158; File No. SR-C2-2020-015); see also Exhibit 5
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Period Related to FINRA Rule 6121.02 (Market-wide Circuit Breakers in NMS Stocks) (Release No. 34-90160; File No. SR-FINRA-2020-033); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 114 and Equity 7, Section 118 of the Fee Schedule (Release No. 34-90164; File No. SR-NASDAQ-2020-067); see also Exhibit 4
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Equity 7, Section 118 (a) (Release No. 34-90163; File No. SR-NASDAQ-2020-066); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List (Release No. 34-90161; File No. SR-NYSE-2020-81); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10-E (Release No. 34-90155; File No. SR-NYSEArca-2020-88); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10 (Release No. 34-90157; File No. SR-NYSENAT-2020-32); see also Exhibit 5
- NYSECHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10 (Release No. 34-90156; File No. SR-NYSECHX-2020-29); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Current Pilot Program Related to Rule 7.10E (Release No. 34-90154; File No. SR-NYSEAMER-2020-73); see also Exhibit 5
- MEMX: 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 and Amend Rule 11.16(b)(2) Concerning the Resumption of Trading Following a Level 3 Market-Wide Circuit Breaker Halt (Release No. 34-90159; File No. SR-MEMX-2020-12); see also Exhibit 5