What’s New on the SEC Website
October 22, 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
- Paul Horton Smith, Sr. (Release No. IA-5618; File No. 3-20134)
- EDG Management Company, LLC (Release No. IA-5617; File No. 3-20133)
- Norman T. Reynolds, Esq. (Release No. 34-90259; File No. 3-20136)
- Mustafa David Sayid, Esq. (Release No. 34-90258; File No. 3-20135)
- The Goldman Sachs Group, Inc. (Release Nos. 34-90243, AAER-4191; File No. 3-20132)
Commission Opinions and Orders
- Abn Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Release No. 34-90252; File No. 3-17906r)
- Bradley C. Reifler (Release No. 34-90249; File No. 3-19589)
Litigation Releases
- Paul Horton Smith, Sr.; Northstar Communications, LLC; Planning Services, Inc.; and eGate, LLC (Release No. LR-24950)
Trading Suspensions
- Uneeqo, Inc. (Release No. 34-90242)
See also Order
News and Public Statements
Press Releases
- SEC Issues Record $114 Million Whistleblower Award (Release No. 2020-266)
- SEC Charges Goldman Sachs With FCPA Violations (Release No. 2020-265)
- At Joint Open Meeting, SEC and CFTC Approve Final Rule on Security Futures Margin and Request for Comment on Portfolio Margining (Release No. 2020-264)
- SEC to Host Panel with Women Entrepreneurs of Color on Oct. 28 (Release No. 2020-263)
Public Statements
Regulatory Actions
Final Rules
- Customer Margin Rules Relating to Security Futures (17 CFR Part 242; [Release No. 34-90244; File No. S7-09-19]; RIN 3235-AM55)
Investment Company Act Deregistration Notices and Orders
- UST Global Private Markets Fund, LLC (Release No. IC-34070; File No. 811-22069; Date; 2020-10-21)
- USAA ETF Trust (Release No. IC-34069; File No. 811-23271; Date; 2020-10-21)
- Resource Real Estate Diversified Income Fund (Release No. IC-34068; File No. 811-22749; Date; 2020-10-21)
- Oppenheimer Integrity Funds (Release No. IC-34067; File No. 811-03420; Date; 2020-10-21)
- Nuveen Mortgage Opportunity Term Fund 2 (Release No. IC-34066; File No. 811-22374; Date; 2020-10-21)
- Miller/Howard Funds Trust (Release No. IC-34065; File No. 811-23111; Date; 2020-10-21)
- Harvest Volatility Edge Trust (Release No. IC-34064; File No. 811-23286; Date; 2020-10-21)
- First Investors Tax Exempt Funds (Release No. IC-34063; File No. 811-03690; Date; 2020-10-21)
- First Investors Life Series Funds (Release No. IC-34062; File No. 811-04325; Date; 2020-10-21)
- First Investors Income Funds (Release No. IC-34061; File No. 811-03967; Date; 2020-10-21)
- First Investors Equity Funds (Release No. IC-34060; File No. 811-06618; Date; 2020-10-21)
- CSOP ETF Trust (Release No. IC-34059; File No. 811-22998; Date; 2020-10-21)
- CC Real Estate Income Fund-C (Release No. IC-34058; File No. 811-23310; Date; 2020-10-21)
- Capital Group Emerging Markets Total Opportunities Fund (Release No. IC-34057; File No. 811-22605; Date; 2020-10-21)
- BMT Investment Funds, et al. (Release No. IC-34056; File No. 811-23234; Date; 2020-10-21)
Investment Company Act Notices and Orders
- Goldman Sachs (Malaysia) Sdn. Bhd., et al. (Release No. IC-34071; File No. 812-15172)
Other Commission Orders, Notices, and Information
- Portfolio Margining of Uncleared Swaps and Non-Cleared Security-Based Swaps (17 CFR Part 240; [Release No. 34-90246; File No. S7-15-20]; RIN 3235-AM64)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options (Release No. 34-90255; File No. SR-CboeBZX-2020-076); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Pilot Programs in Connection with the Listing and Trading of P.M.-Settled Series on Certain Broad-Based Index Options (Release No. 34-90253; File No. SR-CboeEDGX-2020-050); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Enhance its Drill-through Protections and make other Clarifying Changes (Release No. 34-90250; File No. SR-CboeEDGX-2020-049); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot on the Nasdaq-100 Reduced Value Index (Release No. 34-90257; File No. SR-ISE-2020-33); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to amend Exchange Rule 518, Complex Orders and Rule 519A, Risk Protection Monitor (Release No. 34-90251; File No. SR-MIAX-2020-33); see also Exhibit 5
- MSRB: Notice of Filing of a Proposed Rule Change to Amend MSRB Form G-32 (Release No. 34-90248; File No. SR-MSRB-2020-08); see also Exhibit 5
- NASDAQ: Notice of Filing of Proposed Rule Change, as Modified by Amendment No. 1, to Exclude Special Purpose Acquisition Companies from the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities with a Market Value of at Least $2,500 (Release No. 34-90245; File No. SR-NASDAQ-2020-069); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Exchange's Nonstandard Expirations Pilot Program (Release No. 34-90256; File No. SR-Phlx-2020-48); see also Exhibit 5