What’s New on the SEC Website
October 31, 2019
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
- Lei (Lily) Lei (Release No. 34-87429; File No. 3-19593)
- Cameron G. High (Release Nos. 34-87426, IA-5405; File No. 3-19591)
- LD Holdings, Inc., Mansfield-Martin Exploration Mining, Inc. and RadTek, Inc. (Release No. 34-87418; File No. 3-19383; October 30, 2019)
- IMC Holdings, Inc., Microphase Corporation and Wintahenderson International, Inc. (Release No. 34-87417; File No. 3-19344; October 30, 2019)
- XBT Corp Sarl d/b/a First Global Credit (Release Nos. 33-10723, 34-87428; File No. 3-19592; October 31, 2019)
Litigation Releases
- Kevin B. Merrill, et al. (Release No. LR-24655)
- Bovorn Rungruangnavarat (Release No. LR-24654)
- PixarBio Corp. et al. (Release No. LR-24653)
Trading Suspensions
- FormCap Corp. a/k/a Matrix Ventures Corp. (Release No. 34-87420; October 30, 2019)
See also Order
News and Public Statements
Press Releases
- SEC Charges International Security-Based Swaps Dealer That Targeted U.S. Investors (Release No. 2019-226)
- SEC Issues Agenda for Nov. 4 Meeting of the Fixed Income Market Structure Advisory Committee (Release No. 2019-225)
Regulatory Actions
Other Commission Orders, Notices, and Information
- MEMX LLC: Notice of Filing of Application, as Amended, for Registration as a National Securities Exchange under Section 6 of the Securities Exchange Act of 1934 (Release No. 34-87436; File No. 10-237)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CboeEDGX: Notice of Filing of a Proposed Rule Change to Adopt Rule 21.23 (Complex Solicitation Auction Mechanism) (Release No. 34-87435; File No. SR-CboeEDGX-2019-064); see also Exhibit 5
- EMERALD: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-87433; File No. SR-EMERALD-2019-35); see also Exhibit 5, Exhibit 3
- MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Its Fee Schedule (Release No. 34-87431; File No. SR-MIAX-2019-46); see also Exhibit 5, Exhibit 3
- NYSE Arca: Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, Relating to the Listing and Trading of Shares of the Innovator MSCI EAFE Power Buffer ETFs and Innovator MSCI Emerging Markets Power Buffer ETFs, Series of the Innovator ETFs Trust, Under NYSE Arca Rule 8.600-E (Release No. 34-87437; File No. SR-NYSEArca-2019-62)
- NYSE Arca: Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 2, to List and Trade Shares of the iShares Commodity Curve Carry Strategy ETF Under NYSE Arca Rule 8.600-E (Release No. 34-87434; File No. SR-NYSEArca-2019-12)
- PEARL: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the MIAX PEARL Fee Schedule (Release No. 34-87432; File No. SR-PEARL-2019-33); see also Exhibit 5, Exhibit 3