What’s New on the SEC Website
December 1, 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
Commission Opinions and Orders
- Fantastic Financial Corporation, et al. (Release No. 34-90540; File No. 3-19396)
- Briarwood Holdings Group, Inc., Heyu Leisure Holidays Corporation and TJ Roasters Inc. (Release No. 34-90539; File No. 3-19394)
- Veris Gold Corp. (Release No. 34-90538; File No. 3-19385)
Litigation Releases
- Mark Alan Lisser a/k/a Mark Alan a/k/a Mark Allen (Release No. LR-24972)
News and Public Statements
Press Releases
- SEC Awards Over $6 Million to Joint Whistleblowers
- SEC Charges Boiler Rooms Operator with Defrauding Retail Investors
- SEC Charges Unregistered Investment Adviser with Defrauding Puerto Rico Municipality
Public Statements
- Opening Remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee Chairman Jay Clayton
- Opening remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee Commissioner Hester M. Peirce
Regulatory Actions
Investment Company Act Notices and Orders
- First Eagle Credit Opportunities Fund, et al. (Release No. IC-34126; File No. 812-15144)
- Principal Diversified Select Real Asset Fund, et al. (Release No. IC-34125; File No. 812-15083)
- Upstart Holdings, Inc. (Release No. IC-34124; File No. 812-15177)
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-90537; File No. 2021-11)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- DTC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Guide to the DTC Fee Schedule (Release No. 34-90546; File No. SR-DTC-2020-014); see also Exhibit 5
- FICC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Modify the Clearance Maintenance Fee, Reduce the End of Day Position Fee of the Government Securities Division, and Describe the Current Rebate Policy (Release No. 34-90544; File No. SR-FICC-2020-014); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Exempt Proxy Portfolio Shares from Certain Governance Requirements and Include Proxy Portfolio Shares to the List of Products Covered Under Nasdaq Rule 4120 (Limit Up-Limit Down Plan and Trading Halts) (Release No. 34-90542; File No. SR-NASDAQ-2020-078); see also Exhibit 5
- NSCC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Fee Structure (Release No. 34-90543; File No. SR-NSCC-2020-018); see also Exhibit 5
- LCH SA: Order Approving Proposed Rule Change Relating to the Amendments to LCH SA's Liquidity Risk Modelling Framework (Release No. 34-90541; File No. SR-LCH SA-2020-006)