What’s New on the SEC Website
October 20, 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
Division of Trading and Markets No-Action, Exemptive, and Interpretive Letters
- Letter re Resolution Trust Company (March 29, 2005) (File No. TP 03-16; March 29, 2005)
Litigation
Administrative Proceedings
- Big Time Holdings, Inc. (Release No. 34-90221; File No. 3-20079; October 19, 2020)
Commission Opinions and Orders
- Bruce Zipper and Dakota Securities International, Inc. (Release No. 34-90225; File No. 3-19138)
- Gopi Krishna Vungarala (Release No. 34-90224; File No. 3-18881)
News
Regulatory Actions
Investment Company Act Notices and Orders
- Arca U.S. Treasury Fund and Arca Capital Management, LLC (Release No. IC-34055; File No. 812-15145)
- Primark Private Equity Investments Fund and Primark Advisors LLC (Release No. IC-34054; File No. 812-15139)
- DWS Investment Management Americas, Inc.
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 (Release No. 34-90232; File No. SR-CBOE-2020-097); see also Exhibit 5
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule to Adopt New Fee Codes Related to the Execution of Equity Legs of a Stock-option Order (Release No. 34-90229; File No. SR-CBOE-2020-095); see also Exhibit 5
- FINRA: Notice of Filing of a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees (Release No. 34-90227; File No. SR-FINRA-2020-035)
- Phlx: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to List and Trade Options on a Nasdaq-100 Volatility Index (Release No. 34-90226; File No. SR-Phlx-2020-41)
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to EDGX Rule 11.15, Clearly Erroneous Executions, to the Close of Business on April 20, 2021 (Release No. 34-90233; File No. SR-CboeEDGX-2020-051); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fees Schedule to Adopt New Fee Codes Related to the Execution of Equity Legs of a Stock-option Order (Release No. 34-90228; File No. SR-CboeEDGX-2020-048); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BZX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 2021 (Release No. 34-90231; File No. SR-CboeBZX-2020-077); see also Exhibit 5
- CboeBYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Current Pilot Program Related to BYX Rule 11.17, Clearly Erroneous Executions, to the Close of Business on April 20, 2021 (Release No. 34-90230; File No. SR-CboeBYX-2020-03); see also Exhibit 5