What's New on the SEC Website
November 14, 2012

• 2012 Federal Employee Viewpoint Survey - Securities and Exchange Commission Headquarters: 2nd Level Subagency Comparison Report (Federal workers; human resources; OPM; FedView; Securities and Exchange Commission; SEC)
   
• 2012 Federal Employee Viewpoint Survey - Securities and Exchange Commission - 1st Level Subagency Comparison Report (Federal workers; human resources; OPM; FedView; Securities and Exchange Commission; SEC)

Small Businesses

• 2012 SEC Government-Business Forum
   
• Panelist Materials: SEC Government-Business Forum on Small Business Capital Formation, November 15, 2012
   
• Agenda: SEC Government-Business Forum on Small Business Capital Formation, November 15, 2012
   
• 2012 SEC Government-Business Forum on Small Business Capital Formation Program

Administrative Proceedings

• James S. Quay a/k/a Jim Quay, a/k/a Stephen Quay, and a/k/a Stephen Jameson ("Release Nos. 34-68235; File No. 3-15092")
   
• James S. Quay a/k/a Jim Quay, a/k/a Stephen Quay, and a/k/a Stephen Jameson (Release Nos. 34-68234, AAER-3424; File No. 3-15091)
   
• Bradford Keith Dent ("Release No. 34-68223; File No. 3-15039")
   
• DIAS Holding, Inc., EarthBlock Technologies, Inc., Ensurapet, Inc., FIIC Holdings, Inc., GeM Solutions, Inc., Gold Star Tutoring Services Inc., and GPS Industries, Inc. (Release No. 34-68221; File No. 3-15090)

Trading Suspensions

• DIAS Holding, Inc., EarthBlock Technologies, Inc., Ensurapet, Inc., FIIC Holdings, Inc., GeM Solutions, Inc., Gold Star Tutoring Services Inc., and GPS Industries, Inc. (Release No. 34-68222)
  See also Order

Press Releases

• SEC's Enforcement Program Continues to Show Strong Results in Safeguarding Investors and Markets (2012-227)
   
• SEC Approves Further Regulatory Relief and Assistance for Hurricane Sandy Victims (2012-226)
   
• SEC and Justice Department Release FCPA Guide (2012-225)

Speeches and Public Statements

• Remarks During News Briefing About SEC-DOJ FCPA Guide, by Robert Khuzami, on November 14, 2012

Investment Company Act Notices and Orders

• Columbia ETF Trust, et al. (Release No. IC-30260; File No. 812-14037; November 13, 2012)

Other Commission Orders, Notices, and Information

• Order: Order Under Section 17A And Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder and Order Under Section 6(c) and Section 38(a) of the Investment Company Act of 1940 Granting Exemptions from Specified Provisions of the Investment Company Act and Certain Rules Thereunder (Release No. 34-68224, IC-30261)

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

• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify NASDAQ's Rebates for Order Execution and its Fees for Order Entry Ports Through the Introduction of New Market Quality Incentive Programs on a Pilot Basis (Release No. 34-68209; File No. SR-NASDAQ-2012-126; November 9, 2012); see also Exhibit 5
   
• NSX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend its Fee and Rebate Schedule (Release No. 34-68215; File No. SR-NSX-2012-20; November 13, 2012); see also Exhibit 5
   
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Interim Rule Change Relating to Rule 440B(b) (Release No. 34-68220; File No. SR-NYSE-2012-66; November 13, 2012)
   
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 That Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, November 16, 2012 (Release No. 34-68211; File No. SR-NYSE-2012-64; November 9, 2012)
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities That Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor following the Aftermath of Hurricane Sandy Until the Earlier of When Phone Service is Fully Restored or Friday, November 16, 2012 (Release No. 34-68212; File No. SR-NYSEMKT-2012-66; November 9, 2012)
   
• Phlx: Notice of Filing of Proposed Rule Change Relating to SQT and RSQT Evaluations (Release No. 34-68217; File No. SR-Phlx-2012-130; November 13, 2012); see also Exhibit 5
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to References in the Exchange's Pricing Schedule With Respect to Non-Electronic Transactions (Release No. 34-68216; File No. SR-Phlx-2012-125; November 13, 2012); see also Exhibit 5
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Routing Fees (Release No. 34-68213; File No. SR-Phlx-2012-129; November 13, 2012)

Division of Investment Management No-Action Letters

• Division of Investment Management No-Action and Interpretive Letter: Morgan Keegan & Company, Inc. (July 24, 1992)
   
• Division of Investment Management No-Action and Interpretive Letter: Investment Company Institute (November 2, 1992)