What’s New on the SEC Website
January 12, 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)
Divisions
Enforcement Investors Claims Funds
Litigation
Commission Opinions and Orders
- China Linen Textile Industry, Ltd. (Release No. 34-90892; File No. 3-17886; January 11, 2021)
- ATNA Resources, Ltd. and Orckit Communications Ltd. (Release No. 34-90889; File No. 3-19425; January 11, 2021)
Litigation Releases
- Eric C. Malley, et al. (Release No. LR-25007)
News
Press Releases
- SEC Charges Real Estate Fund Manager With Misappropriating Over $7 Million From Retail Investors (Press Release No. 2021-4)
- SEC Acting Enforcement Director Marc P. Berger to Depart the Commission (Press Release No. 2021-5)
Regulatory Actions
Investment Company Act Notices and Orders
- Natixis ETF Trust II, et al. (Release No. IC-34171; File No. 812-15157)
- Invesco Capital Management LLC, et al. (Release No. IC-34170; File No. 812-15182)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to Amend its Fees Schedule with Respect to Expiring Fee Waivers and Incentive Programs (Release No. 34-90896; File No. SR-CBOE-2021-001; January 11, 2021); see also Exhibit 5
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delete the Exchange Membership Rules and Incorporate by Reference the Membership Rules of The Nasdaq Stock Market LLC (Release No. 34-90903; File No. SR-ISE-2020-43); see also Exhibit 5, Exhibit 3b, Exhibit 3a
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule (Release No. 34-90906; File No. SR-PEARL-2020-38); see also Exhibit 5
- CboeEDGX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Policy Relating to Billing Errors (Release No. 34-90901; File No. SR-CboeEDGX-2020-064; January 11, 2021); see also Exhibit 5b, Exhibit 5a
- CboeEDGA: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Policy Relating to Billing Errors (Release No. 34-90900; File No. SR-CboeEDGA-2020-032; January 11, 2021); see also Exhibit 5
- CboeBZX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Options and Equities Fees Schedules to Adopt a Provision Relating to Billing Errors and Fee Disputes (Release No. 34-90897; File No. SR-CboeBZX-2020-094; January 11, 2021); see also Exhibit 5b, Exhibit 5a
- CboeBYX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Establish a Policy Relating to Billing Errors (Release No. 34-90899; File No. SR-CboeBYX-2020-034; January 11, 2021); see also Exhibit 5