What's New on the SEC Website
November 2, 2012

Administrative Proceedings

• Eugenio Verzili (Release No. IA-3497; File No. 3-15087)

Commission Legal Briefs

• Appellate Brief: SEC v. Alfred S. Teo, Sr., and MAAA Trust (U.S. Court of Appeals for the Third Circuit 12-1168; October, 2012)

ALJ Initial Decisions

• A-Power Energy Generation Systems, Ltd. (Initial Decision Release No. 470; File No. 3-14935)

ALJ Orders

• Miguel A. Ferrer and Carlos J. Ortiz (Administrative Proceedings Rulings Release No. 730; File No. 3-14862)

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

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-68131; File Nos. SR-CBOE-2012-101; November 1, 2012); see also Exhibit 5
   
• FICC: Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Clarify a Stated Policy With Regard to Existing Provisions of the Loss Allocation Rules of the Government Securities Division and the Mortgage-Backed Securities Division (Release No. 34-68133; File Nos. SR-FICC-2012-08; November 1, 2012)
   
• MSRB: Notice of Filing of Proposed Rule Change Consisting of Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34 (Release No. 34-68134; File Nos. SR-MSRB-2012-08; November 1, 2012)
   
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify the Annual Fees for Companies Listed on the Nasdaq Capital Market (Release No. 34-68129; File No. SR-NASDAQ-2012-120; November 1, 2012)
   
• NYSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend Those Aspects of Rules 36.20, 36.21, and 36.30 That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From October 31, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 2, 2012. (Release No. 34-68137; File Nos. SR-NYSE-2012-58; November 1, 2012)
   
• NYSE Arca: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Commentary .06 to NYSE Arca Options Rule 6.4 to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions (Release No. 34-68136; File Nos. SR-NYSEArca-2012-94; November 1, 2012)
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Amex Options LLC Fee Schedule to Amend the Fees for Specialists and eSpecialists Relating to Qualified Contingent Cross Orders (Release No. 34-68139; File No. SR-NYSEMKT-2012-56; November 1, 2012); see also Exhibit 5
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Temporarily Suspend Those Aspects of Rules 36.20 - Equities, 36.21 - Equities, and 36.30 - Equities That Would Not Permit Designated Market Makers and Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy From October 31, 2012 Until the Earlier of When Phone Service is Fully Restored or Friday, November 2, 2012 (Release No. 34-68138; File No. SR-NYSEMKT-2012-59; November 1, 2012)
   
• NYSEMKT: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend Commentary .04 to NYSE Amex Options Rule 903 to Permit the Exchange to List Additional Strike Prices Until the Close Of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions (Release No. 34-68135; File No. SR-NYSEMKT-2012-41; November 1, 2012)
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 968NY to Allow for the Split-Price Priority Provisions to Apply to Open Outcry Trading of Cabinet Trades (Release No. 34-68128; File No. SR-NYSEMKT-2012-55; November 1, 2012); see also Exhibit 5
   
• OCC: Notice of Filing of Proposed Rule Change to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities (Release No. 34-68130; File No. SR-OCC-2012-19; November 1, 2012)
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to List and Trade Option Contracts Overlying 10 Shares of Certain Securities (Release No. 34-68132; File No. SR-Phlx-2012-126; November 1, 2012)
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Branch Offices (Release No. 34-68127; File Nos. SR-Phlx-2012-124; November 1, 2012); see also Exhibit 5 and Exhibit 3