What’s New on the SEC Website
December 17, 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
- Jason Boling, CPA (Release No. 34-90716; File No. 3-20176)
- Ronald Phillips, Esq. (Release No. 34-90715; File No. 3-20174)
- Unikrn, Inc. (Release No. 34-90700; File No. 3-20003)
- Mancera, S.C., et al. (Release Nos. 34-90699, AAER-4198; File No. 3-20173)
- Laksha Bohra (Release Nos. 34-90696, AAER-4197; File No. 3-20172)
- Santa Fe Gold Corporation and Revolution Lighting Technologies, Inc. (Release No. 34-90692; File No. 3-19841; December 16, 2020)
- Apex Global Brands Inc. and FKA Cherokee Inc. (Release Nos. 33-10907, 34-90714, AAER-4199; File No. 3-20175)
- Robinhood Financial, LLC (Release Nos. 33-10906, 34-90694; File No. 3-20171)
Commission Opinions and Orders
- Mohammed Ali Rashid (Release No. IA-5648; File No. 3-20139)
Trading Suspensions
- BoxVn Inc., formerly known as Vaccex Inc. (Release No. 34-90687; December 16, 2020)
See also Order
News and Public Statements
Commission Closed Meetings
Press Releases
- SEC Approves 2021 PCAOB Budget and Accounting Support Fee (Release No. 2020-322)
- SEC Charges Robinhood Financial With Misleading Customers About Revenue Sources and Failing to Satisfy Duty of Best Execution (Release No. 2020-321)
Public Statements
- Statement on the Renaming of the Office of Compliance Inspections and Examinations to the Division of Examinations by Chairman Jay Clayton, Commissioner Hester M. Peirce, Commissioner Elad L. Roisman, Commissioner Allison Herren Lee, Commissioner Caroline A. Crenshaw
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq GEMX, LLC (Release No. 34-90704; File No. 4-663)
- 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq MRX, LLC (Release No. 34-90703; File No. 4-697)
- 17d-2: Notice of Filing and Order Approving and Declaring Effective an Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and Nasdaq ISE, LLC (Release No. 34-90702; File No. 4-529)
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fee Schedule on the BOX Options Market LLC Facility (Release No. 34-90698; File No. SR-BOX-2020-39); see also Exhibit 5
- FINRA: Order Approving a Proposed Rule Change to Amend the FINRA Codes of Arbitration Procedure to Increase Arbitrator Chairperson Honoraria and Certain Arbitration Fees (Release No. 34-90705; File No. SR-FINRA-2020-035)
- NASDAQ: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Allow Companies to List in Connection with a Direct Listing with a Primary Offering In Which the Company Will Sell Shares Itself In the Opening Auction on the First Day of Trading on Nasdaq and to Explain How the Opening Transaction for Such a Listing Will be Effected (Release No. 34-90717; File No. SR-NASDAQ-2020-057)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to No Longer Implement the OTTO Protocol (Release No. 34-90697; File No. SR-NASDAQ-2020-089); see also Exhibit 5
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rule 6800 Series (Release No. 34-90706; File No. SR-NYSE-2020-100); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rule 11.6800 Series (Release No. 34-90709; File No. SR-NYSEArca-2020-108); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Description of the "Indicative Partnership Value" Disseminated in Connection with Trading of "Units" of the United States Oil Fund, LP (Release No. 34-90695; File No. SR-NYSEArca-2020-110)
- NYSEAMER: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rule 6800 Series (Release No. 34-90710; File No. SR-NYSEAMER-2020-83); see also Exhibit 5
- NYSECHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rule 6.6800 Series (Release No. 34-90708; File No. SR-NYSECHX-2020-32); see also Exhibit 5
- NYSENAT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Rule 6.6800 Series (Release No. 34-90707; File No. SR-NYSENAT-2020-37); see also Exhibit 5
- OCC Advance Notice: Notice of Filing of Partial Amendment No. 1 and Notice of No Objection to Advance Notice, as Modified by Partial Amendment No. 1, Related to Proposed Changes to Update The Options Clearing Corporation's Recovery and Orderly Wind-Down Plan (Release No. 34-90701; File No. SR-OCC-2020-806)