What's New on the SEC Website
September 13, 2012

Administrative Proceedings

• R. Jeffrey Rooks, CPA (Release Nos. 34-67856, AAER-3405; File No. 3-15022)

Litigation Releases

• Joseph M. Braas, et al. (Release No. LR-22480)
   
• Deer Hill Financial Group, LLC, et al. (Release No. LR-22479)

Press Releases

• SEC Charges Connecticut-Based Broker with Stealing Investor Funds to Pay Mortgage and Shopping Bills (Release No. 2012-188)

Investment Company Act Notices and Orders

• Wells Fargo Funds Trust, et al. (Release No. IC-30201; File No. 812-13967; September 12, 2012)

Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans

• EDGA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGA Exchange, Inc. Fee Schedule (Release No. 34-67839; File No. SR-EDGA-2012-41; September 12, 2012); see also Exhibit 5
   
• EDGX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule (Release No. 34-67840; File No. SR-EDGX-2012-41; September 12, 2012); see also Exhibit 5
   
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Customer Rebate to Add Liquidity and Non-Customer Fees for Removing Liquidity in Penny Pilot Options (Release No. 34-67843; File No. SR-NASDAQ-2012-104; September 12, 2012); see also Exhibit 5
   
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Pricing of Options on Facebook, Inc., Google, Inc. and Groupon, Inc. (Release No. 34-67837; File No. SR-NASDAQ-2012-102; September 12, 2012); see also Exhibit 5
   
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Sections 902.02 and 902.03 of the Listed Company Manual of the New York Stock Exchange LLC (Release No. 34-67847; File No. SR-NYSE-2012-43; September 12, 2012); see also Exhibit 5
   
• NYSE: Notice of Filing of Proposed Rule Change Amending Section 907.00 of the Listed Company Manual, Which Describes Certain Complimentary Products and Services that are Offered to Certain Issuers (Release No. 34-67846; File No. SR-NYSE-2012-44; September 12, 2012); see also Exhibit 5
   
• NYSE Arca: Order Approving a Proposed Rule Change Amending NYSE Arca Equities Rule 7.37(c) to Provide that the Tracking Order Process is Available Only for Orders that are Eligible to Route to an Away Market (Release No. 34-67844; File No. SR-NYSEArca-2012-75; September 12, 2012)
   
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Equities Rule 7.31(d) To Provide that an Inside Limit Order Designated as a Primary Until 9:45 Order or a Primary After 3:55 Order Will Follow the Order Processing of an Inside Limit Order Only When the Order is On the NYSE Arca Book (Release No. 34-67841; File No. SR-NYSEArca-2012-99; September 12, 2012); see also Exhibit 5
   
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend NYSE Arca Options Rule 6.96 by Adding a New Paragraph (c) that Addresses the Authority of the Exchange or Archipelago Securities LLC (Arca Securities) To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account for Arca Securities (Release No. 34-67836; File No. SR-NYSEArca-2012-100; September 12, 2012); see also Exhibit 5
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 993NY by Adding a New Paragraph (c) that Addresses the Authority of the Exchange or Archipelago Securities LLC (Arca Securities) To Cancel Orders When a Technical or Systems Issue Occurs and To Describe the Operation of an Error Account for Arca Securities (Release No. 34-67838; File No. SR-NYSEMKT-2012-46; September 12, 2012); see also Exhibit 5
   
• OCC: Notice of Filing of Proposed Rule Change Relating to the Clearance and Settlement of Over-the-Counter Options (Release No. 34-67835; File No. SR-OCC-2012-14; September 12, 2012)