What's New on the SEC Website
November 28, 2012

• Initial Decision: Alchemy Ventures, Inc., Km Capital Management, LLC, Zanshin Enterprises, LLC, Mark H. Rogers, Steven D. Hotovec, Joshua A. Klein, Yisroel M. Wachs, Frank K. McDonald, and Douglas G. Frederick (Initial Decision Release No. 473; File No. 3-14720)

Administrative Proceedings

• optionsXpress, Inc., Thomas E. Stern, and Jonathan I. Feldman ("Release No. AP-733; File No. 3-14848; November 27, 2012")
   
• KCAP Financial, Inc., Dayl W. Pearson, Michael I. Wirth, CPA, and R. Jonathan Corless (Release Nos. 34-68307, AAER-3425; File No. 3-15109)
   
• Careside, Inc., et al. (Release No. 34-68304; File No. 3-15085)

Litigation Releases

• Michael Van Gilder and Roger Parker (Lit. Rel. No. 22547)

Press Releases

• SEC Charges Oil Company CEO as Source in Insider Trading Case (2012-243)
   
• SEC Charges New York-Based Fund Executives for Overvaluing Assets During Financial Crisis (2012-242)

Investment Company Act Notices and Orders

• Salient Advisors, L.P. et al. (Release No. IC-30281; File No. 812-13974)

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

• BOX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Rule 7110 Regarding Session Orders (Release No. 34-68294; File No. SR-BOX-2012-019)
   
• BYX: Order Granting Approval to Proposed Rule Change, as Modified by Amendment No. 2, to Adopt a Retail Price Improvement Program (Release No. 34-68303; File No. SR-BYX-2012-019)
   
• CBOE: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Amend CBOE Rule 6.18 Concerning the Exchange's Disaster Recovery Facility (Release No. 34-68301; File No. SR-CBOE-2012-111)
   
• ICC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Correct One Term in the ICC Rules (Release No. 34-68300; File No. SR-ICC-2012-21)
   
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Moving the Rule Text that Provides for Pegging on the Exchange from Supplementary Material .26 of NYSE Rule 70 to NYSE Rule 13 and Amending Such Text to (i) Permit Designated Market Maker Interest To Be Set as Pegging Interest; (ii) Change References from National Best Bid, National Best Offer and National Best Bid or Offer to Best Protected Bid, Best Protected Offer and Best Protected Bid or Offer, Respectively; (iii) Permit Pegging Interest to Peg to the Opposite Side of the Market; and (iv) Provide for An Offset Value to be Specified for Pegging Interest (Release No. 34-68302; File No. SR-NYSE-2012-65); see also Exhibit 5
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to EEM Options Position Limits (Release No. 34-68293; File No. SR-Phlx-2012-132); see also Exhibit 5