What’s New on the SEC Website
December 10, 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
- Och-Ziff Capital Management Group LLC, et al. (Release No. AP-6803; File No. 3-17595)
Divisions
Division of Trading and Markets No-Action, Exemptive, and Interpretive Letters
- Securities Industry and Financial Markets Association (December 9, 2020)
Litigation
Administrative Proceedings
- Mark E. Watson III (Release Nos. 34-90630, AAER-4195; File No. 3-20167)
- Ravi Iyer (Release Nos. 34-90628, IC-34135; File No. 3-20166)
- Bethany Liou and Golden California Regional Center, LLC (Release No. 34-90625; File No. 3-19597); see also Distribution Plan
Commission Opinions and Orders
- Mohammed Ali Rashid (Release No. IA-5645; File No. 3-20139)
- Scottsdale Capital Advisors Corporation, et al. (Release No. 34-90634; File No. 3-18612)
- Green Ballast, Inc. and Lithium Exploration Group, Inc. (Release No. 34-90633; File No. 3-19506)
- Pro Squared, Inc. and Protech Global Holdings Corp. (Release No. 34-90632; File No. 3-19504)
- Nexus Resources Corporation and Private Access, Inc. (Release No. 34-90631; File No. 3-19503)
- Africa Growth Corporation and Gold Dynamics Corp. (Release No. 34-90618; File No. 3-19263; December 9, 2020)
- Aztech International Ltd., Bev-Tyme, Inc. and Concord Energy Incorporated (Release No. 34-90614; File No. 3-19400; December 9, 2020)
- Advanced Voice Technologies, Inc., American Pharmaceutical Company and Apollo Eye Group, Inc. (Release No. 34-90613; File No. 3-19399; December 9, 2020)
News and Public Statements
Commission Closed Meetings
Press Releases
- Enforcement Director Stephanie Avakian To Conclude Tenure After Four Years Leading the Division (Release No. 2020-314)
- SEC Staff Supplements Quarterly Private Funds Statistics (Release No. 2020-313)
Speeches
- Liberty’s Loss - Remarks to The Federalist Society’s Capital Conversations: A Teleforum Series by Commissioner Hester M. Peirce
Regulatory Actions
Final Rules
- Delegation of Authority to Director of the Division of Enforcement (17 CFR Part 200; Release No. 33-10900; 34-90623; IA-5644; IC-34134)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- DTC: Notice of Filings and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agency Operational Risk Management Framework (Release No. 34-90626; File Nos. SR-DTC-2020-015, SR-FICC-2020-016, SR-NSCC-2020-019)
- FINRA: Order Approving a Proposed Rule Change, as Modified by Amendment No. 1, to Address Brokers with a Significant History of Misconduct (Release No. 34-90635; File No. SR-FINRA-2020-011)
- ICEEU: Order Approving Proposed Rule Change Relating to the ICE Clear Europe Investment Management Procedures (Release No. 34-90627; File No. SR-ICEEU-2020-013)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Modifying the NYSE Arca Options Fee Schedule Regarding the Criteria to Qualify for the Market Maker Incentive for Penny Issues (Release No. 34-90629; File No. SR-NYSEArca-2020-109); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Shorten the Time Period Before a Letter of Acceptance, Waiver, and Consent under Rule 10.9216 and an Uncontested Offer of Settlement under Rule 10.9270(f) (Release No. 34-90624; File No. SR-NYSENAT-2020-36); see also Exhibit 5