What’s New on the SEC Website
December 11, 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)
Information for EDGAR Filers
Litigation
Commission Opinions and Orders
- Seen On Screen TV, Inc. and the Pulse Network, Inc. (Release No. 34-90648; File No. 3-19507)
- RARAN Corporation, Refco Public Commodity Pool, L.P. and Rent USA, Inc. (Release No. 34-90647; File No. 3-19505)
- FlikMedia, Inc. (Release No. 34-90641; File No. 3-19508)
Litigation Releases
- Christopher Clark and William Wright (Release No. LR-24982)
- Sequential Brands Group, Inc. (Release No. LR-24981)
News
Press Releases
- SEC Charges Sequential Brands Group Inc. with Deceiving Investors by Failing to Timely Impair Goodwill (Press Release No. 2020-315)
Public Statements
- Statement on the Departure of Director Stephanie Avakian, by Commissioner Elad L. Roisman
Regulatory Actions
Final Rules
- Adoption of Updated EDGAR Filer Manual, Proposed Collection and Comment Request for Form ID (17 CFR Part 232; Release Nos. 33-10902; 34-90637; 39-2536, IC-34137)
- Administration of the Electronic Data Gathering, Analysis, and Retrieval System (17 CFR Parts 200 and 232; Release Nos. 33-10901; 34-90636; 39-2535; IC-34136; File No. S7-11-20; RIN 3235-AM77)
Investment Company Act Notices and Orders
- KKR Income Opportunities Fund, et al. ("Release No. IC-34138; File No. 812-14951")
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule with Respect to Certain Fees Related to Qualified Contingent Cross Transactions the Exchange's LMM Incentive Programs (Release No. 34-90642; File No. SR-CBOE-2020-115); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fee Schedule with Respect to Qualified Contingent Cross ("QCC") and Solicitation Auction Mechanism ("SAM") Orders (Release No. 34-90643; File No. SR-CboeEDGX-2020-061); see also Exhibit 5
- DTC: Notice of Filings and Immediate Effectiveness of Proposed Rule Changes to Amend the Clearing Agencies Liquidity Risk Management Framework (Release No. 34-90649; File Nos. SR-DTC-2020-018, SR-FICC-2020-018, SR-NSCC-2020-021); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-90639; File No. SR-EMERALD-2020-19); see also Exhibit 5
- FINRA: Order Approving Proposed Rule Change to Modify TRACE Dissemination Protocols for Agency Pass-Through MBS or SBA-Backed ABS Traded in Specified Pool Transactions (Release No. 34-90646; File No. SR-FINRA-2020-034)
- IEX: Notice of Filing of Proposed Rule Change to Amend IEX Rule 11.510 to Reduce the Outbound Latency that Presently Applies to All Trading Messages Sent from IEX Back to Users of the Exchange (Release No. 34-90645; File No. SR-IEX-2020-18); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-90638; File No. SR-MIAX-2020-37); see also Exhibit 5
- NASDAQ: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to Exclude Special Purpose Acquisition Companies from the Requirement That at Least 50% of a Company's Round Lot Holders Each Hold Unrestricted Securities with a Market Value of at Least $2,500 (Release No. 34-90644; File No. SR-NASDAQ-2020-069)
- NYSEAMER: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE American Options Fee Schedule (Release No. 34-90650; File No. SR-NYSEAMER-2020-84); see also Exhibit 5
- NYSE Arca: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rule 8.601-E to Adopt Generic Listing Standards for Active Proxy Portfolio Shares (Release No. 34-90652; File No. SR-NYSEArca-2020-77)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Equities Fee Schedule To Adopt Connectivity Fees, Port Fees, a Technical Support Request Fee, and Historical Market Data Fee (Release No. 34-90651; File No. SR-PEARL-2020-33); see also Exhibit 5
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule (Release No. 34-90640; File No. SR-PEARL-2020-31); see also Exhibit 5