What's New on the SEC Website
November 21, 2012

• Michael Bresner, Ralph Calabro, Jason Konner, and Dimitrios Koutsoubos (Release No. AP-731; File No. 3-15015; November 20, 2012)

Small Business Compliance Guides

• Rule 6a-5: A Compliance Guide for Small Entities and Others

Administrative Proceedings

• Diomed Holdings, Inc., et al. (Release No. 34-68278; File No. 3-15047)

Commission Opinions and Orders

• Richard L. Goble (Release No. 34-68277; File No. 3-14390; November 20, 2012)

Litigation Releases

• CR Intrinsic Investors, LLC et al. (Release No. LR-22539; November 20, 2012)

Other Commission Orders, Notices, and Information

• Financial Industry Regulatory Authority, Inc. (Release No. 34-68266; November 19, 2012)

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

• BATS: Notice of Filing of Proposed Rule Change to Amend BATS Rule 14.11, Entitled "Other Securities," and to List and Trade Shares of Certain ProShares Products (Release No. 34-68257; File No. SR-BATS-2012-044; November 19, 2012)
   
• FINRA: Notice of Filing of Proposed Rule Change to Adopt a Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) (Release No. 34-68270; File No. SR-FINRA-2012-050; November 20, 2012)
   
• NASDAQ OMX BX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 4618 (Release No. 34-68268; File No. SR-BX-2012-072; November 20, 2012)
   
• NSCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Addendum A (Fee Structure) of its Rules and Procedures relating to Fund/SERV Fees (Release No. 34-68269; File No. SR-NSCC-2012-09; November 20, 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, December 14, 2012 (Release No. 34-68271; File No. SR-NYSE-2012-67; November 20, 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, December 14, 2012 (Release No. 34-68272; File No. SR-NYSEMKT-2012-69; November 20, 2012)
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, to Amend Rule 3218 ("Release No. 34-68267; File No. SR-Phlx-2012-133; November 20, 2012")