What’s New on the SEC Website
December 23, 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
- Request for Waiver
- Waiver request: Prudential Financial, Inc (December 21, 2020)
Staff No-Action, Interpretive & Exemptive Letters
Division of Trading and Markets No-Action, Exemptive, and Interpretive Letters
Litigation
Administrative Proceedings
- Pruco Securities, LLC (Release Nos. 34-90790, IA-5657; File No. 3-20190)
- Lantson E. Eldred, Esq. (Release No. 34-90789; File No. 3-20189)
- Tierion, Inc. (Release No. 33-10914; File No. 3-20188)
Commission Opinions and Orders
- Norman T. Reynolds, Esq. (Release No. 34-90801; File No. 3-20136)
- Jennifer A. Johnston (Release No. 34-90800; File No. 3-20120)
- Cynthia Mary Couyoumjian (Release No. 34-90799; File No. 3-20154)
Litigation Releases
- Global Investment Strategy UK Ltd. and John William Gunn (Release No. LR-24996)
- Ronnie Lee Moss, Jr., Genesis E&P, Inc., Royal Oil, LLC, and Catalyst Operating, LCC (Release No. LR-24995)
- RPM International Inc. and Edward W. Moore (Release No. LR-24994); see also Final Judgment as to Defendants Rpm International Inc. and Edward W. Moore
News
Press Releases
- SEC Issues Statement and Requests Comment Regarding the Custody of Digital Asset Securities by Special Purpose Broker-Dealers (Press Release No. 2020-340)
- SEC Chief of Staff Sean Memon Announces Plans to Conclude Tenure (Press Release No. 2020-339)
Public Statements
- Staff Statement Regarding Nasdaq Rule Proposal, by Brett Redfearn, Director, Division of Trading and Markets
- Statement on the Tenure of SEC Chairman Jay Clayton, by Commissioner Elad L. Roisman
- Statement of SEC Chairman Jay Clayton
- Staff Statement on the President’s Working Group Report on Money Market Funds, by Dalia Blass, Director, Division of Investment Management
- Statement on Primary Direct Listings, by Commissioner Allison Herren Lee and Commissioner Caroline A. Crenshaw
Regulatory Actions
Investment Company Act Deregistration Notices and Orders
- Order: Nuveen Texas Quality Municipal Income Fund (Release No. IC-34158; File No. 811-06384)
- Order: Goldman Sachs MLP Income Opportunities Fund (Release No. IC-34157; File No. 811-22856)
- Order: Eagle Growth and Income Opportunities Fund (Release No. IC-34156; File No. 811-22839)
- Order: CC Real Estate Income Master Fund (Release No. IC-34155; File No. 811-23134)
- Order: Bread & Butter Fund Inc. (Release No. IC-34154; File No. 811-21748)
- Order: Asia Pacific Fund, Inc. (Release No. IC-34153; File No. 811-04710)
- Order: AIP Macro Registered Fund P (Release No. IC-34152; File No. 811-22683)
Other Commission Orders, Notices, and Information
- Prudential Financial, Inc.: Order Under Rule 405 of the Securities Act of 1933, Granting Waiver from Being Ineligible Issuer (Release No. 33-10916)
- Tierion, Inc. (Release No. 33-10915 )
SEC Policy Statements
- Commission Statement and Request for Comment: Custody of Digital Asset Securities by Special Purpose Broker-Dealers (17 CFR Part 240; [Release No. 34-90788; File No. S7-25-20])
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Rule 16000 Series (Release No. 34-90798; File No. SR-BOX-2020-40); see also Exhibit 5
- BOX: Notice of Filing of Proposed Rule Change to Amend BOX Rule 7620 (Accommodation Transactions) (Release No. 34-90792; File No. SR-BOX-2020-38); see also Exhibit 5
- FICC: Notice of Designation of Longer Period for Commission Action and Longer Period for Comment on Proposed Rule Change to Modify the Calculation of the MBSD VaR Floor to Incorporate a Minimum Margin Amount (Release No. 34-90794; File No. SR-FICC-2020-017)
- NASDAQ: Notice of Filing of Proposed Rule Change to Amend Equity 4, Section 4703 (Release No. 34-90793; File No. SR-NASDAQ-2020-090); see also Exhibit 5
- NASDAQ OMX BX: Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to Amend Options 4, Section 5, to Limit Short Term Options Series Intervals between Strikes Which are Available for Quoting and Trading on BX (Release No. 34-90796; File No. SR-BX-2020-032)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Temporary Period for Specified Commentaries to Rules 7.35, 7.35A, 7.35B, and 7.35C and Temporary Rule Relief in Rule 36.30 (Release No. 34-90795; File No. SR-NYSE-2020-106); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Reflect a Change to the Index Underlying the United States Copper Index (Release No. 34-90791; File No. SR-NYSEArca-2020-113)
- OCC: Order Approving Proposed Rule Change to Adopt the OCC Third-Party Risk Management Framework and Retire the OCC Counterparty Credit Risk Management Framework (Release No. 34-90797; File No. SR-OCC-2020-014)