What’s New on the SEC Website
December 30, 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
Administrative Proceedings
- OTR, Inc. (Release No. 34-90828; File No. 3-20193)
Commission Opinions and Orders
- Eric S. Smith Financial Industry Regulatory Authority (Release No. 34-90825; File No. 3-20127)
Litigation Releases
- Anthony Thompson, Jr., et al. (Release No. LR-25001); see also Form USDC Final Judgment, Form USDC Final Judgment
- Gregory Altieri (Release No. LR-25000)
- Joseph Taub et al (Release No. LR-24999); see also Taub Final Judgment
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: 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 Adopt Proposed Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems) and Rescind the Rules Related to the OTC Bulletin Board Service (Release No. 34-90824; File No. SR-FINRA-2020-031)
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 1900, Registration Requirements, to Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) (Release No. 34-90830; File No. SR-MIAX-2020-42); see also Exhibit 5
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Waive Certain Fees Related to Non-Convertible Bonds (Release No. 34-90832; File No. SR-NASDAQ-2020-097); see also Exhibit 5
- NMS: Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Exchange LLC; Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Exchange, Inc. and Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, Long-Term Stock Exchange, Inc., Miami International Securities Exchange LLC, MEMX, LLC, MIAX Emerald, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The NASDAQ Stock Market LLC; and New York Stock Exchange LLC, NYSE American LLC, NYSE Arca, Inc., NYSE Chicago, Inc., and NYSE National, Inc. (Release No. 34-90826; File No. 4-698)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 as set forth in SR-NYSE-2020-76 from December 31, 2020, to April 30, 2021 (Release No. 34-90821; File No. SR-NYSE-2020-107)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 as set forth in SR-NYSEArca-2020-85 from December 31, 2020, to April 30, 2021 (Release No. 34-90820; File No. SR-NYSEArca-2020-116)
- OCC: Order Granting Accelerated Approval of Proposed Rule Change Concerning the Implementation of New Sufficiency Scenarios in The Options Clearing Corporation's Stress Testing Inventory (Release No. 34-90827; File No. SR-OCC-2020-015)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 3100, Registration Requirements, to Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) (Release No. 34-90831; File No. SR-PEARL-2020-36); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 10.9261 and 10.9830 as set forth in SR-NYSENAT-2020-31 from December 31, 2020, to April 30, 2021 (Release No. 34-90822; File No. SR-NYSENAT-2020-39)
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Change to Modify the NYSE American Options Fee Schedule (Release No. 34-90833; File No. SR-NYSEAMER-2020-87); see also Exhibit 5
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Expiration Date of the Temporary Amendments to Rules 9261 and 9830 as set forth in SR-NYSEAMER-2020-69 from December 31, 2020, to April 30, 2021 (Release No. 34-90823; File No. SR-NYSEAMER-2020-88)
- -EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rule 1900, Registration Requirements, to Adopt Temporary Interpretation and Policy .13 (Temporary Extension of the Limited Period for Registered Persons to Function as Principals) (Release No. 34-90829; File No. SR-EMERALD-2020-21); see also Exhibit 5