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What's New on the SEC Website
November 6, 2012
This page contains the latest in events, developments, and updates to the SEC website check back here often. The links listed here indicate the date the content was posted, not the official release date. Bookmark this page to keep up with the latest at the SEC!
ALJ Initial Decisions
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to System Access, Connectivity, and Testing (Release No. 34-68154; File Nos. SR-C2-2012-036; November 5, 2012)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to System Access, Connectivity, and Testing (Release No. 34-68155; File No. SR-CBOE-2012-100; November 5, 2012)
- FINRA: Order Approving Proposed Rule Change to Amend the By-Laws of FINRA Dispute Resolution, Inc. to Clarify that Services Provided by Mediators Should Not Cause Them to be Classified as Industry Members under the By-Laws (Release No. 34-68142; File No. SR-FINRA-2012-040; November 2, 2012)
- ICEEU: Notice of Filing of Proposed Rule Change to Provide for a Customer Clearing Model for CDS Products and to Amend, Clarify and Consolidate Certain Rules and Procedures (Release No. 34-68152; File No. SR-ICEEU-2012-09; November 5, 2012)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Amend Several NASDAQ Rules to Reflect Changes to Rules of the Financial Industry Regulatory Authority ("FINRA") (Release No. 34-68153; File No. SR-NASDAQ-2012-124; November 5, 2012)
- NSCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Rule 52 (Mutual Fund Services) and Addendum A (NSCC's Fee Structure) (Release No. 34-68159; File No. SR-NSCC-2012-08; November 5, 2012)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Make Changes to Certain Fees and Credits within the New York Stock Exchange LLC Price List (Release No. 34-68150; File No. SR-NYSE-2012-56; November 5, 2012); see also Exhibit 5
- NYSE Arca: Order Granting Approval of Proposed Rule Change to List and Trade Shares of the PowerShares S&P 500 Downside Hedged Portfolio under NYSE Arca Equities Rule 8.600 (Release No. 34-68158; File No. SR-NYSEArca-2012-101; November 5, 2012)
- NYSE Arca: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Remove Dividend Spreads from the List of Strategy Executions for which Fee Caps Apply (Release No. 34-68157; File No. SR-NYSEArca-2012-119; November 5, 2012); see also Exhibit 5
- NYSEMKT: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE Amex Options Fee Schedule to Remove Dividend Spreads from the List of Strategy Executions for which Fee Caps Apply (Release No. 34-68156; File No. SR-NYSEMKT-2012-57; November 5, 2012); see also Exhibit 5
- OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Clarify the Applicability of OCC's Rules Governing Delivery of Treasury Securities Underlying Treasury Futures Contracts to Futures on Treasury Securities with Maturities of Greater than 25 Years (Release No. 34-68151; File No. SR-OCC-2012-20; November 5, 2012)
http://www.sec.gov/news/whatsnew/2012/wn110612.shtml
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