What's New on the SEC Website
November 15, 2012

• U.S. Securities and Exchange Commission Fiscal 2012 Agency Financial Report
   
• Annual Report on Whistleblower Program - Fiscal Year 2012
   
• Dear Designated Compliance Officer Letter

Division of Corporation Finance

Staff No-Action, Interpretive & Exemptive Letters

• SSgA Active ETF Trust, (November 13, 2012)
   
• RadView SoftwareLtd., (November 14, 2012)

Administrative Proceedings

• Massachusetts Mutual Life Insurance Company (Release No. IC-30264; File No. 3-15095)
   
• Garth Ronald Peterson (Release No. IA-3501; File No. 3-15093; November 14, 2012)
   
• Michael J. Southworth (Release No. 34-68236; File No. 3-15094; November 14, 2012)

Litigation Releases

• BP p.l.c. (Release No. LR-22531)

Trading Suspensions

• American Realty Funds Corporation (Release No. 34-68237)
  See also Order

Press Releases

• Fee Rate Advisory #2 for Fiscal Year 2013 (Release No. 2012-232)
   
• BP to Pay $525 Million Penalty to Settle SEC Charges of Securities Fraud During Deepwater Horizon Oil Spill (Release No. 2012-231)
   
• MassMutual to Pay $1.625 Million after SEC Investigation Highlights Prior Insufficient Disclosures about Annuity Product (Release No. 2012-230)
   
• SEC Receives More Than 3,000 Whistleblower Tips in FY2012 (Release No. 2012-229)
   
• SEC Issues Staff Summary Report of Examinations of Nationally Recognized Statistical Rating Organizations (Release No. 2012-228)

SEC Special Studies

• 2012 Summary Report of Commission Staffs Examinations of Each Nationally Recognized Statistical Rating Organization

Speeches and Public Statements

• Remarks at the 2012 SEC Government-Business Forum on Small Business Capital Formation, by Commissioner Troy A. Paredes
   
• Effective Small Business Capital Formation Requires Investor Protection to Foster Investor Confidence, by Commissioner Luis Aguilar
   
• Remarks at the Financial Stability Oversight Council Meeting, by Chairman Mary L. Shapiro (November 13, 2012)

Investment Company Act Notices and Orders

• Trust for Professional Managers, et al. (Release No. IC-30263; File No. 812-14012; November 14, 2012)
   
• Medley Capital Corporation, et al. (Release No. IC-30262; File No. 812-14019; November 14, 2012)

Other Commission Orders, Notices, and Information

• Notice of Semiannual Regulatory Agenda (Release Nos. 33-9367, 34-68140, IA-3498, IC-30256; File No. S7-11-12; November 2, 2012)

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

• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Delay the Implementation Date of Changes to Market-Makers' Continuous Quoting Obligations (Release No. 34-68218; File No. SR-CBOE-2012-106; November 13, 2012)
   
• CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Order Cancellation Fee (Release No. 34-68219; File No. SR-CHX-2012-15; November 13, 2012)
   
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Non-Penny Pilot and Penny Pilot Options (Release No. 34-68232; File No. SR-NASDAQ-2012-127; November 14, 2012); See also Exhibit 5
   
• NSX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule (Release No. 34-68228; File No. SR-NSX-2012-21; November 14, 2012); See also Exhibit 5
   
• NSX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule (Release No. 34-68226; File No. SR-NSX-2012-19; November 14, 2012); See also Exhibit 5
   
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Monthly Fees for the Use of Ports (Release No. 34-68229; File No. SR-NYSE-2012-60; November 14, 2012); See also Exhibit 5
   
• NYSE Arca: Order Granting Approval of Proposed Rule Changes Amending NYSE Arca, Inc. Rules 3.2 and 3.3 and NYSE Arca Equities, Inc. Rules 3.2 and 3.3 to Expand the Eligibility Requirements for Service on Certain Boards of Directors and Committees (Release No. 34-68233; File No. SR-NYSEArca-2012-103; November 14, 2012)
   
• NYSE Arca: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Introduce Fees for the Use of Ports (Release No. 34-68230; File No. SR-NYSEArca-2012-122; November 14, 2012); See also Exhibit 5
   
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Monthly Fees for the Use of Ports (Release No. 34-68227; File No. SR-NYSEArca-2012-123; November 14, 2012); See also Exhibit 5
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Amex Options Fee Schedule to Introduce Fees for the Use of Ports (Release No. 34-68231; File No. SR-NYSEMKT-2012-60; November 14, 2012); See also Exhibit 5
   
• OCC: Notice of Filing of Advance Notice 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. 34-68225; File No. AN-OCC-2012-04; November 14, 2012)