What’s New on the SEC Website
January 11, 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)
Litigation
Administrative Proceedings
- Wells Fargo & Company (Release No. 34-90898; File No. 3-19704); See also Distribution Plan
Commission Opinions and Orders
- American Patriot Brands, Inc. a/k/a The Grilled Cheese Truck, Inc. and Big Tree Group, Inc. (Release No. 34-90888; File No. 3-19433)
- ABN Amro Clearing Chicago LLC Chicago Board Options Exchange, Inc. and C2 Options Exchange, Inc. (Release No. 34-90886; File No. 3-17906r)
- Scottsdale Capital Advisors Corporation, et al. (Release No. 34-90884; File No. 3-18612)
- Activecare, et al. (Release No. 34-90877; File No. 3-19424)
- Atlas Technology International, Inc., Centenary International Corporation and Dynacq Healthcare, Inc. (Release No. 34-90876; File No. 3-19423)
Litigation Releases
- Justin Robert King, et al. (Release No. LR-25006)
Regulatory Actions
Investment Company Act Notices and Orders
- ETF Series Solutions and Distillate Capital Partners LLC (Release No. IC-34169; File No. 812-15171)
Other Commission Orders, Notices, and Information
- SEC Small Business Capital Formation Advisory Committee: Notice of Meeting (Release Nos. 33-10919; 34-90882; File No. 265-32)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- DTC: Order Approving a Proposed Rule Change to Allow for the Deposit of Electronic Certificates of Deposit and Technical Changes (Release No. 34-90895; File No. SR-DTC-2020-017)
- FINRA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) Relating to Allocation Reporting Requirements (Release No. 34-90887; File No. SR-FINRA-2021-001;); see also Exhibit 5
- MIAX Pearl: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee Schedule Regarding Tape B Securities (Release No. 34-90894; File No. SR-PEARL-2020-37); see also Exhibit 5
- NASDAQ: Notice of Filing of Proposed Rule Change to Modify the Quorum Requirement for Non-U.S. Companies Under Certain Limited Circumstances (Release No. 34-90883; File No. SR-NASDAQ-2020-100)
- NMS: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a National Market System Plan Regarding Consolidated Equity Market Data (Release No. 34-90885; File No. 4-757)
- NYSE: Order Granting Approval of Proposed Rule Change to Amend Section 907.00 of the Manual to Extend the Period of Time for the Entitlement of Certain Eligible Issuers to Receive Complimentary Products and Services Under that Rule (Release No. 34-90893; File No. SR-NYSE-2020-94)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Price List to Extend a Waiver of New Firm Application Fees for Certain Applications and of Bond Trading License Fees (Release No. 34-90891; File No. SR-NYSE-2021-03); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 902.02 of the NYSE Listed Company Manual (Release No. 34-90890; File No. SR-NYSE-2020-103); see also Exhibit 5