What’s New on the SEC Website
October 23, 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 Investment Management
Litigation
Administrative Proceedings
- Cory Adam Leshner (Release No. 34-90268; File No. 3-20138)
- Vortex Blockchain Technologies Inc. (Release No. 34-90254; File No. 3-20046; October 22, 2020)
- Tradenet Capital Markets Ltd. d/b/a Tradenet (Release No. 33-10878; File No. 3-20137)
Litigation Releases
- Joseph Taub, et al. (Release No. LR-24951; Oct. 23, 2020)
News
Press Releases
- SEC Charges Day-Trading Education Firm for Unregistered Security-Based Swap Transactions (Press Release No. 2020-267)
Public Statements
- Statement Regarding Tradenet Capital Markets Ltd., by Commissioner Hester M. Peirce
- CFTC-SEC Joint Meeting, by Commissioner Hester M. Peirce
- Statement at the IDC Conference and Governing Council Meeting, by Dalia Blass, Director, Division of Investment Management
Regulatory Actions
Other Commission Orders, Notices, and Information
- Advisory Committee on Small and Emerging Companies (Notice of Meeting) ("Release Nos. 33-10877; 34-90260; File No. 265-32")
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 Rule 5.1 (Release No. 34-90267; File No. SR-CBOE-2020-102)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Operation of its SPXPM Pilot Program (Release No. 34-90263; File No. SR-CBOE-2020-100)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Renew its Nonstandard Expirations Pilot Program (Release No. 34-90262; File No. SR-CBOE-2020-101)
- FINRA: Notice of Filing of a Proposed Rule Change to Modify TRACE Dissemination Protocols Regarding Agency Pass-Through MBS or SBA-Backed ABS Traded in Specified Pool Transactions (Release No. 34-90264; File No. SR-FINRA-2020-034)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Pilot Period for the Exchange's Nonstandard Expirations Pilot Program (Release No. 34-90265; File No. SR-ISE-2020-34); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-90266; File No. SR-NYSEArca-2020-93); see also Exhibit 5