What’s New on the SEC Website
December 2, 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
- Kimm C. Hannan (Release No. IA-5637; File No. 3-19245)
- Mohammed Ali Rashid (Release No. IA-5636; File No. 3-20139)
- Enumeral Biomedical Holdings, Inc., International Cigar Holdings, Inc. and Lepora Holdings, Inc. (Release No. 34-90548; File No. 3-19393)
Litigation Releases
- Eugenio Garcia Jimenez, Jr. (Release No. LR-24975)
- Bajic et al. (Release No. LR-24974)
- Richard J. Rubin and Thomas J. Craft, Jr. (Release No. LR-24973)
News and Public Statements
Commission Open Meetings
Regulatory Actions
Investment Advisers Act Notices Orders and Releases
- Arena Holdings Management LLC (Release no. IA-5635)
Investment Company Act Notices and Orders
- Invesco Capital Management LLC, Invesco Distributors, Inc. and Invesco Actively Managed Exchange-Traded Fund Trust (Release No. IC-34127; File No. 812-15070)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FICC: Notice of Filing of Proposed Rule Change to Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division's Delivery-Versus-Payment Service, and Make Other Changes (Release No. 34-90551; File No. SR-FICC-2020-015); see also Exhibit 5
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1 and 2, to Adopt a New Requirement Related to the Qualification of Management for Companies From Restrictive Markets (Release No. 34-90553; File No. SR-NASDAQ-2020-026)
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend IM-5101-1 (Use of Discretionary Authority) to Deny Listing or Continued Listing or to Apply Additional and More Stringent Criteria to an Applicant or Listed Company Based on Considerations Related to the Company's Auditor or When a Company's Business Is Principally Administered in a Jurisdiction That Is a Restrictive Market (Release No. 34-90549; File No. SR-NASDAQ-2020-028)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt New Rule 6.78A-O Regarding In-Kind Exchanges of Options Positions in Connection with Exchange-Traded Fund Shares and Unit Investment Trust Interests (Release No. 34-90552; File No. SR-NYSEArca-2020-102); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Availability of Information for the iShares Gold Trust and the iShares Silver Trust under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) and iShares S&P GSCI Commodity-Indexed Trust under Rule 8.203-E (Commodity Index Trust Shares) (Release No. 34-90547; File No. SR-NYSEArca-2020-99)