What’s New on the SEC Website
October 14, 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
- J&F Investimentos, S.A., JBS, S.A., Joesley Batista, Wesley Batista (Release Nos. 34-90170, AAER-4189; File No. 3-20124)
- Allen Garner (Release Nos. 34-90168, AAER-4188; File No. 3-20123)
- Daniel O'Neal (Release Nos. 34-90167, AAER-4187; File No. 3-20122)
- James Depalma, CPA (Release Nos. 34-90166, AAER-4186; File No. 3-20121)
Commission Opinions and Orders
- Advanced Voice Technologies, Inc., American Pharmaceutical Company and Apollo Eye Group, Inc. (Release No. 34-90172; File No. 3-19399)
- Aztech International Ltd., Bev-Tyme, Inc. and Concord Energy Incorporated (Release No. 34-90171; File No. 3-19400)
Litigation Releases
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Order Granting Approval of a Proposed Rule Change to Adopt Position Compression Cross ("PCC") Orders for SPX (Release No. 34-90179; File No. SR-CBOE-2020-074)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Rule 5.24 (Release No. 34-90174; File No. SR-CBOE-2020-092)
- CBOE: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish a Priority Queue for Auction Response Messages (Release No. 34-90173; File No. SR-CBOE-2020-072)
- FICC: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Charge in the VaR Charges (Release No. 34-90182; File No. SR-FICC-2020-009)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adjust FINRA Fees to Provide Sustainable Funding for FINRA's Regulatory Mission (Release No. 34-90176; File No. SR-FINRA-2020-032); see also Exhibit 3, Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Basic to Internal Professional Subscribers as Set Forth in the Equity 7 Pricing Schedule, Section 147, and the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Last Sale to Professional Subscribers at Equity 7, Section 139 (Release No. 34-90177; File No. SR-NASDAQ-2020-065); see also Exhibit 5
- NSCC: Notice of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge (Release No. 34-90181; File No. SR-NSCC-2020-016)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Price List (Release No. 34-90180; File No. SR-NYSE-2020-82); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and Historical Market Data Fee (Release No. 34-90186; File No. SR-PEARL-2020-19); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule (Release No. 34-90185; File No. SR-NYSEAMER-2020-75); see also Exhibit 5
- NYSEAMER: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Modify Rules 971.1NY and 971.2NY Regarding CUBE Auctions (Release No. 34-90178; File No. SR-NYSEAMER-2020-64)
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule To Adopt Port Fees and Increase Certain Network Connectivity Fees (Release No. 34-90184; File No. SR-EMERALD-2020-12); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule To Adopt Application Programming Interface ("API") Testing and Certification Fees and Network Connectivity Testing and Certification Fees (Release No. 34-90183; File No. SR-EMERALD-2020-09); see also Exhibit 5
- DTC-AN: Notice of Filing of an Advance Notice to Amend Rule 4 (Release No. 34-90169; File No. SR-DTC-2020-801; see also Exhibit 5