What’s New on the SEC Website
January 8, 2021
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)
ALJ Initial Decisions
- Ascension Asset Management, LLC and Grenville M. Gooder, Jr. (Finality Order; Release Nos. IA-5665, IC-34168; File No. 3-19024; January 8, 2021)
- Talman Harris (Finality Order;Release No. 34-90881; File No. 3-17874; January 8, 2021)
ALJ Orders
- Och-Ziff Capital Management Group LLC, et al. (Release No. AP-6807; File No. 3-17595)
Divisions and Offices
Division of Investment Management Archive 13(f) Lists
Office of Municipal Securities
Litigation
Administrative Proceedings
- Deutsche Bank AG (Release Nos. 34-90875, AAER-4201; File No. 3-20200)
Commission Opinions and Orders
- Donald Anthony Wojnowski (Release No. 34-90879; File No. 3-19014)
- Maurice Acriche (Release No. 34-90878; File No. 3-19876)
- ERHC Energy, Inc. and IDdriven, Inc. (Release No. 34-90870; File No. 3-19419; January 7, 2021)
- Comarco, Inc. and Eco-Shift Power Corp. (Release No. 34-90869; File No. 3-19417; January 7, 2021)
Litigation Releases
- ConTXT, Inc, Thomas J. Robbins, Daniel J. Merriman, Mark W. Wiseman, and Clark J. Madsen (Release No. LR-25005)
News
Press Releases
- SEC Charges Deutsche Bank With FCPA Violations Related to Third-Party Intermediaries (Press Release No. 2021-3)
Regulatory Actions
Investment Company Act Notices and Orders
- Palmer Square Capital Bdc Inc., et al. (Release No. IC-34167; File No. 812-15113)
Other Commission Orders, Notices, and Information
- Adjustments to Civil Monetary Penalty Amounts (Release Nos. 33-10918; 34-90874; IA-5664; IC-34166)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- Phlx: Notice of Filing of Proposed Rule Change to Modify Phlx Options 8, Section 26, "Trading Halts, Business Continuity and Disaster Recovery" (Release No. 34-90880; File No. SR-Phlx-2021-03); see also Exhibit 5