What's New on the SEC Website
November 20, 2012

Frequently Requested FOIA Documents

• Investigation Into Misuse of Resources and Violations of Information Technology Security Policies Within the Division of Trading and Markets (August 30, 2012)

Administrative Proceedings

• Evens Barthelemy and Barthelemy Group LLC (Release No. IA-3503, IC-30278; File No. 3-15102)
   
• EM Capital Management, LLC and Seth Richard Freeman (Release No. IA-3502; File No. 3-15101)
   
• Gary R. Marks (Release Nos. 34-68275, IA-3504; File No. 3-15103)

Litigation Releases

• Christopher S. Metcalf, Bozidar "Bob" Vukovich, and Pantera Petroleum, Inc. (Release No. LR-22538)
   
• Joel I. Wilson et al. (Release No. LR-22537)
   
• Jon Latorella and James Fields (Release No. LR-22536)

Press Releases

• Lorraine Echavarria Named Associate Regional Director to Lead Enforcement Program in SEC's Los Angeles Office (Release No. 2012-239)
   
• SEC Sanctions Two Investment Advisers for Impeding Examinations (Release No. 2012-238)
   
• SEC Charges Hedge Fund Firm CR Intrinsic and Two Others in $276 Million Insider Trading Scheme Involving Alzheimer's Drug (Release No. 2012-237)

Speeches and Public Statements

• Remarks During News Conference Announcing Charges in a $276 Million Insider Trading Scheme, by Robert Khuzami, Director of the SEC's Division of Enforcement
   
• Remarks During News Conference Call About Enforcement Actions Against J.P. Morgan and Credit Suisse, by Robert Khuzami, Director of the SEC's Division of Enforcement (November 16, 2012)

Final Rules

• Disclosure of Payments by Resource Extraction Issuers (Correction) (17 CFR Parts 240 and 249; Release No. 34-67717A; File No. S7-42-10; RIN 3235-AK85; November 19, 2012)

Investment Company Act Notices and Orders

• Neuberger Berman Alternative Funds, et al. (Release No. IC-30267; File No. 812-14050; November 19, 2012)

Other Commission Orders, Notices, and Information

• Order Granting Waivers: Credit Suisse Securities (USA), LLC; DLJ Mortgage Capital, Inc.; Credit Suisse First Boston Mortgage Acceptance Corp.; Credit Suisse First Boston Mortgage Securities Corp.; and Asset Backed Securities Corporation (Release No. 33-9369, 34-68273; File No. 3-15098)

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

• C2: Notice of Proposed Rule Change to Address Authority to Cancel Orders When a Technical or Systems Issue Occurs and to Describe the Operation of Routing Service Error Accounts (Release No. 34-68260; File No. SR-C2-2012-038; November 19, 2012)
   
• CBOE: Notice of Proposed Rule Change Related to CBSX to Address Authority to Cancel Orders When a Technical or Systems Issue Occurs and to Describe the Operation of Routing Service Error Accounts (Release No. 34-68265; File No. SR-CBOE-2012-109; November 19, 2012)
   
• CBOE: Notice of Proposed Rule Change to Address Authority to Cancel Orders When a Technical or Systems Issue Occurs and to Describe the Operation of Routing Service Error Accounts (Release No. 34-68262; File No. SR-CBOE-2012-108; November 19, 2012)
   
• FINRA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a Limited Waiver of the TRACE Professional Real-Time Data Display Fee on a Pilot Basis (Release No. 34-68255; File No. SR-FINRA-2012-049; November 19, 2012); see also Exhibit 5
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Change the Monthly Fees for the Use of Ports (Release No. 34-68261; File No. SR-NYSEMKT-2012-64; November 19, 2012); see also Exhibit 5