What’s New on the SEC Website
December 15, 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
- Fidelity Transfer Services, Inc. and Ruben Sanchez (Release Nos. 34-90674, IC-34142; File No. 3-19243)
- Lee C. Schlesinger (Release No. 34-90673; File No. 3-19775)
- Robert L. Bryant III (Release No. 34-90670; File No. 3-19892)
- Potomac Capital Markets, LLC (Release No. 34-90669; File No. 3-19917)
- Alexandre S. Clug, et al. (Release Nos. 33-10904, 34-90666, IC-34140; File No. 3-16318)
Litigation Releases
- Karina Chairez (Release No. LR-24986)
- CapWealth Advisors, LLC, Timothy J. Pagliara, and Timothy R. Murphy (Release No. LR-24985)
- Roland M. Mathys (Release No. LR-24984)
News
Press Releases
Regulatory Actions
Investment Company Act Notices and Orders
- Oaktree Strategic Income II, Inc., et al. (Release No. IC-34141; File No. 812-15156)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule (Release No. 34-90676; File No. SR-CBOE-2020-114); see also Exhibit 5
- NYSE: Notice of Filing of Proposed Rule Change Amending its Rules Establishing Maximum Fee Rates to be Charged by Member Organizations for Forwarding Proxy and Other Materials to Beneficial Owners (Release No. 34-90677; File No. SR-NYSE-2020-96); see also Exhibit 5
- NYSE Arca: 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. 34-90678; File No. SR-NYSEArca-2020-111); see also Exhibit 5
- NYSE Arca: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Rule 5.3-E to Exempt Registered Investment Companies that List Certain Categories of the Securities Defined as Derivative and Special Purpose Securities under NYSE Arca Rules From Having to Obtain Shareholder Approval Prior to the Issuance of Securities in Connection with Certain Acquisitions of the Stock or Assets of an Affiliated Company (Release No. 34-90675; File No. SR-NYSEArca-2020-54); see also Exhibit 4, Exhibit 5
- NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend NYSE Arca Rules 5.2-E(j)(3), 5.2-E(j)(8), 5.5-E(g)(2), 8.600-E, and 8.900-E (Release No. 34-90672; File No. SR-NYSEArca-2020-56)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Equities Fees and Charges (Release No. 34-90668; File No. SR-NYSEArca-2020-107); see also Exhibit 5
- NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade Shares of the Stance Equity ESG Large Cap Core ETF under NYSE Arca Rule 8.601-E (Release No. 34-90665; File No. SR-NYSEArca-2020-104)
- CboeBZX: 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 List and Trade Shares of the 2x Long VIX Futures ETF, a Series of VS Trust, Under Rule 14.11(f)(4) (Trust Issued Receipts) (Release No. 34-90671; File No. SR-CboeBZX-2020-053)