What’s New on the SEC Website
December 18, 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)
About the SEC
Reports and Publications
- Annual Report to Congress on Nationally Recognized Statistical Rating Organizations - June 26, 2019 - June 25, 2020 (Office of Credit Ratings)
- 2020 Summary Report of Commission Staff’s Examinations of Each Nationally Recognized Statistical Rating Organization (Office of Credit Ratings)
- 2020 OASB Annual Report (Office of the Advocate for Small Business)
ALJ Orders
- Och-Ziff Capital Management Group LLC, et al. (Release No. AP-6804; File No. 3-17595)
Litigation
Administrative Proceedings
- John G. Wright, Jr. (Release No. 34-90727; File No. 3-20177)
- Robert Todd Seth (Release Nos. 34-90725, IA-5650; File No. 3-20179)
- Roger E. Dobrovodsky (Release Nos. 34-90724, IA-5649; File No. 3-20178)
Commission Opinions and Orders
- William H. Murphy & Co. and William H. Murphy (Release No. 34-90733; File No. 3-18895)
Litigation Releases
- Barton S. Ross (Release No. LR-24989; Dec. 18, 2020)
- SAExploration Holdings, Inc., et al. (Release No. LR-24988)
News
Press Releases
- SEC Charges Biotech Company and CEO With Fraud Concerning COVID-19 Blood Testing Device (Press Release No. 2020-327)
- SEC Releases 2020 Office of Credit Rating Reports (Press Release No. 2020-326)
- SEC Issues Multiple Whistleblower Awards Totaling Over $3.6 Million (Press Release No. 2020-325)
- Small Business Advocate Releases Annual Report for Fiscal Year 2020 (Press Release No. 2020-324)
- SEC Announces the Creation of the Security-Based Swaps Joint Venture, Led by Division of Examinations and Division of Trading and Markets (Press Release No. 2020-323)
Public Statements
- Statement after the Enactment of the Holding Foreign Companies Accountable Act by Chairman Jay Clayton
Regulatory Actions
Investment Advisers Act Notices Orders and Releases
- Lewis Family Advisors, LLC (File No. 803-00247)
Investment Company Act Notices and Orders
- Citadel Enterprise Americas LLC (Formerly Citadel LLC) and Ceif LLC (Release No. IC-34143; File No. 813-00397)
Other Commission Orders, Notices, and Information
- Order Determining Whistleblower Award Claim (Release No. 34-90721; File No. 2020-18)
- Order Determining Whistleblower Award Claim (Release No. 34-90720; File No. 2020-17)
- Order Determining Whistleblower Award Claim (Release No. 34-90718; File No. 2020-16)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Order Disapproving Proposed Rule Change, as Modified by Amendment No. 1, to Adopt Rules Governing the Trading of Equity Securities on the Exchange Through a Facility of the Exchange Known as the Boston Security Token Exchange LLC (Release No. 34-90735; File No. SR-BOX-2020-14)
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend EDGX Rule 11.8(g), which Describes the Handling of MidPoint Discretionary Orders Entered on the Exchange (Release No. 34-90713; File No. SR-CboeEDGX-2020-063; December 17, 2020); see also Exhibit 5
- FINRA: Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change, as modified by Amendment No. 1, to Amend the Codes of Arbitration Procedure Relating to Requests to Expunge Customer Dispute Information, Including Creating a Special Arbitrator Roster to Decide Certain Expungement Requests (Release No. 34-90734; File No. SR-FINRA-2020-030)
- FINRA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Securities Transaction Credits Applicable to FINRA/Nasdaq TRF Participants (Release No. 34-90728; File No. SR-FINRA-2020-044); see also Exhibit 5
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Chapter XVII, Audit Trail Compliance Rule (Release No. 34-90711; File No. SR-MIAX-2020-38; December 17, 2020); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Transaction Credits and Charges at Equity 7, Sections 114 and 118 (Release No. 34-90719; File No. SR-NASDAQ-2020-087); see also Exhibit 5
- NYSE: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rule 7.35C (Release No. 34-90726; File No. SR-NYSE-2020-89)
- NYSE: Self-Regulatory Organizations; New York Stock Exchange LLC, Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Rules 7.35 and 7.35A (Release No. 34-90723; File No. SR-NYSE-2020-93)
- NYSEAMER: 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 9216 and an Uncontested Offer of Settlement under Rule 9270(f) Becomes Final (Release No. 34-90722; File No. SR-NYSEAMER-2020-86); see also Exhibit 5
- OCC: Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Partial Amendment No. 1, to Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan (Release No. 34-90712; File No. SR-OCC-2020-013; December 17, 2020)