What’s New on the SEC Website
December 9, 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 Corporation Finance
Staff No-Action, Interpretive & Exemptive Letters
Litigation
Administrative Proceedings
- ICE Data Pricing & Reference Data, LLC (Release No. IA-5643; File No. 3-20164)
- General Electric Company (Release Nos. 33-10899, 34-90620, AAER-4194; File No. 3-20165)
Commission Opinions and Orders
- Blackcraft Cult, Inc. and Unified Signal, Inc. (Release No. 34-90605; File No. 3-19289; December 8, 2020)
- Quantumsphere, Inc. and Shenzhen Yidian Double Way of Innovation Culture Media Corp. (Release No. 34-90602; File No. 3-19264; December 8, 2020)
- Crescent Airways Corp., Electronic Manufacturing Services Group Inc. and M&M Financial Corp. (Release No. 34-90599; File No. 3-19401; December 8, 2020)
- Gold Lakes Corp. and Novagen Ingenium Inc. (Release No. 34-90595; File No. 3-19262; December 8, 2020)
Litigation Releases
- Amir Bruno Elmaani (Release No. LR-24980)
- Gomes et al.; (Release No. LR-24979)
- J. Jeremy Barbera, Carl Smith, and Nanobeak Biotech Inc. (Release No. LR-24978)
Regulatory Actions
Final Rules
- Final Rule: Market Data Infrastructure (17 CFR Parts 240, 242, and 249; Release No. 34-90610, File No. S7-03-20; RIN 3235-AM61)
Investment Company Act Notices and Orders
- Northern Funds and Northern Trust Investments, Inc. (Release No. IC-34133; File No. 812-15155)
Other Commission Orders, Notices, and Information
- Intercontinental Exchange, Inc.: Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer (Release No. 33-10898)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Expiration Date of the Temporary Amendments Set Forth in SR-FINRA-2020-015 and SR-FINRA-2020-027 (Release No. 34-90619; File No. SR-FINRA-2020-042)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend the Effective Date of the Temporary Amendments set forth in SR-FINRA-2020-026 from December 31, 2020 to April 30, 2021 (Release No. 34-90617; File No. SR-FINRA-2020-043); see also Exhibit 5
- MSRB: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Provide Additional Regulatory Relief on a Temporary Basis to Dealers and Municipal Advisors Due to the Sustained Coronavirus (COVID-19) Pandemic (Release No. 34-90621; File No. SR-MSRB-2020-09); see also Exhibit 5
- MSRB: Order Granting Approval of a Proposed Rule Change to Amend MSRB Form G-32 (Release No. 34-90611; File No. SR-MSRB-2020-08)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Options 1, Section 1; Options 2, Section 5; Options 3, Sections 5, 7, 10, 15 and 23 (Release No. 34-90622; File No. SR-NASDAQ-2020-083); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Lower the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Basic to Internal Professional Subscribers as Set Forth in the Equity 7 Pricing Schedule, Section 147, and the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Last Sale to Professional Subscribers at Equity 7, Section 139 (Release No. 34-90616; File No. SR-NASDAQ-2020-086)ccExhibit 5
- NASDAQ: Notice of Withdrawal of Proposed Rule Change to Lower the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Basic to Internal Professional Subscribers as Set Forth in the Equity 7 Pricing Schedule, Section 147, and the Enterprise License Fee for Broker-Dealers Distributing Nasdaq Last Sale to Professional Subscribers at Equity 7, Section 139 (Release No. 34-90615; File No. SR-NASDAQ-2020-065)
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule to Establish Market Data Fees (Release No. 34-90612; File No. SR-EMERALD-2020-16); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule To Adopt Port Fees and Increase Certain Network Connectivity Fees (Release No. 34-90600; File No. SR-EMERALD-2020-17; December 8, 2020); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule To Adopt a One-Time Membership Application Fee, Application Programming Interface ("API") Testing and Certification Fees, and Network Connectivity Testing and Certification Fees (Release No. 34-90597; File No. SR-EMERALD-2020-15; December 8, 2020); see also Exhibit 5