What's New on the SEC Website
October 3, 2012

Division of Corporation Finance

• Sample Letter Explaining Transition to EDGAR Submission and Filing of Draft Registration Statements

Division of Enforcement

Enforcement Investors Claims Funds

• Angelo A. Alleca, Summit Wealth Management, Inc., Summit Investment Fund LP et al.

Administrative Proceedings

• John S. Morgan, Marian I. Morgan, and Thomas D. Woodcock, Jr. (Release No. 34-67974; File No. 3-14967)
   
• Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities, LLC and Shawn Patrick McMurtry (Release No. 34-67972; File No. 3-14982)
   
• eBX, LLC (Release No. 34-67969; File No. 3-15058)
   
• Alliance Bancshares California, et al. (Release No. 34-67968; File No. 3-14956)

Litigation Releases

• GEI Financial Services, Inc., Norman Goldstein, and Laurie Gatherum (Release No. LR-22504)
   
• Joseph Hilton, f/k/a Joseph Yurkin, Pacific Northwestern Energy LLC, Rock Castle Drilling Fund LP, Rock Castle Drilling Fund II LP, and New Horizon Publishing Inc. (Release No. LR-22503)

Press Releases

• SEC Charges Hedge Fund Managers with Defrauding Investors (Release No. 2012-206)
   
• SEC Charges Repeat Violator in South Florida with Fraudulently Offering Investments Tied to Oil Drilling Projects (Release No. 2012-205)
   
• SEC Charges Boston-Based Dark Pool Operator for Failing to Protect Confidential Information (Release No. 2012-204)

Investment Company Act Notices and Orders

• Prudential Short Duration High Yield Fund, Inc., and Prudential Investments LLC (Release No. IC-30226; File No. 812-13998; October 2, 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 EDGA Rule 11.5 to Add a New Order Type. (Release No. 34-67960; File No. SR-EDGA-2012-44; October 2, 2012); see also Exhibit 5
   
• EDGX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to EDGX Rule 11.5 to Add a New Order Type (Release No. 34-67959; File No. SR-EDGX-2012-44; October 2, 2012); see also Exhibit 5
   
• ICC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Schedule 502 of the ICC Rules for the September 20, 2012 and September 27, 2012 Scheduled Index Series Listings (Release No. 34-67964; File No. SR-ICC-2012-15; October 2, 2012)
   
• NASDAQ: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Establish the Market Quality Program (Release No. 34-67961; File No. SR-NASDAQ-2012-043; October 2, 2012)
   
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Members the Ability to Pay a Regulatory Fine Pursuant to an Installment Plan (Release No. 34-67967; File No. SR-BX-2012-062; October 2, 2012)
   
• NYSE Arca: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 (Release No. 34-67965; SR-NYSEArca-2012-28; October 2, 2012)
   
• NYSE Arca: Order Granting Approval of Proposed Rule Change Relating to the Listing and Trading of FlexShares Ready Access Variable Income Fund under NYSE Arca Equities Rule 8.600 (Release No. 34-67963; File No. SR-NYSEArca-2012-82; October 2, 2012)
   
• NYSE Arca: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change Proposing a Pilot Program to Create a Lead Market Maker Issuer Incentive Program for Issuers of Certain Exchange-Traded Products Listed on NYSE Arca, Inc. (Release No. 34-67962; File No. SR-NYSEArca-2012-37; October 2, 2012)
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Offer Members and Member Organizations the Ability to Pay a Regulatory Fine Pursuant to an Installment Plan (Release No. 34-67966; File No. SR-Phlx-2012-117; October 2, 2012)

 

http://www.sec.gov/news/whatsnew/2012/wn100312.shtml

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Modified: 10/04/2012