What’s New on the SEC Website
December 3, 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)
ALJ Orders
- Anton & Chia, LLP, et al. (Release No. AP-6801; File No. 3-18292)
Litigation
Commission Opinions and Orders
- Eric S. Smith (Release No. 34-90561; File No. 3-20127)
- Alpine Securities Corporation National Securities Clearing Corporation (Release No. 34-90557; File No. 3-18979)
Litigation Releases
- SCANA Corporation, et al. (Release No. LR-24976)
News and Public Statements
Press Releases
- SEC Announces New Investor Advisory Committee Members (Release No. 2020-305)
- Nekia Hackworth Jones Named Director of Atlanta Regional Office (Release No. 2020-304)
- SEC Announces Office Focused on Innovation and Financial Technology (Release No. 2020-303)
- SEC Modernizes Framework for Fund Valuation Practices (Release No. 2020-302)
Public Statements
- Opening Remarks at the December 1, 2020 Meeting of the Asset Management Advisory Committee by Chairman Jay ClaytonS
- Statement on Good Faith Determinations of Fair Value under the Investment Company Act of 1940 Final Rule by Commissioner Hester M. Peirce
- Remarks at Meeting of SEC Investor Advisory Committee by Commissioner Hester M. Peirce
Regulatory Actions
Final Rules
- Good Faith Determinations of Fair Value (17 CFR Parts 210 and 270; [Release No. IC-34128; File No. S7-07-20]; RIN 3235-AM71)
Other Commission Orders, Notices, and Information
- Ann T. Coffey Wealth Management LLC: Order Cancelling Registration Pursuant to Section 203(h) of the Investment Advisers Act of 1940 (Release No. IA-5638)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- ICEEU: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the ICE Clear Europe Delivery Procedures. (Release No. 34-90554; File No. SR-ICEEU-2020-015); see also Exhibit 5
- MEMX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Fee Schedule (Release No. 34-90555; File No. SR-MEMX-2020-14); 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 to Apply Additional Initial Listing Criteria for Companies Primarily Operating in Restrictive Markets (Release No. 34-90559; File No. SR-NASDAQ-2020-027)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Streamline the NYSE Arca Equities Fees and Charges (Release No. 34-90556; File No. SR-NYSEArca-2020-101); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Its Schedule of Fees and Rebates (Release No. 34-90560; File No. SR-NYSENAT-2020-35); see also Exhibit 5
- PEARL: Notice of Filing of a Proposed Rule Change to Amend the Exchange's By-Laws in Connection with an Equity Rights Program (Release No. 34-90563; File No. SR-PEARL-2020-30); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Exchange's Certificate of Formation (Release No. 34-90562; File No. SR-PEARL-2020-29); see also Exhibit 5
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Nasdaq PSX Rules 3213, 3301A, and 3301B (Release No. 34-90558; File No. SR-Phlx-2020-51); see also Exhibit 5