What's New on the SEC Website
December 6, 2012

Division of Trading and Markets No-Action, Exemptive, and Interpretive Letters

• BATS Y-Exchange, Inc. (November 27, 2012)

Office of Investor Education and Advocacy

• Investor Bulletin: Year-End Investment Considerations for Individual Investors

Administrative Proceedings

• William J. Reilly, Esq. (Release No. 34-68374; File No. 3-15126)
   
• Dominic O'Dierno (Release No. 34-68371; File No. 3-15123)
   
• Stephen Persad (Release No. 34-68370; File No. 3-15122)
   
• Benjamin R. Daniels (Release No. 34-68369; File No. 3-15121)
   
• Quill Industries, Inc. (n/k/a Eagle Worldwide Inc.) (Release No. 34-68366; File No. 3-14943)

Commission Opinions and Orders

• Aegis Assessments, Inc., et al. (Release Nos. 34-68379; File No. 3-14911)

Litigation Releases

• East Delta Resources Corp., Victor Sun, David Amsel and Mayer Amsel (Release No. LR-22561)
   
• Femenia et al. (Release No. LR-22560)
   
• Glenn Grossman, Lawrence Steven Cohen, Shay Keren, and John Zanic (Release No. LR-22559)

Trading Suspensions

• Emerging World Pharma, Inc. (Release No. 34-68367)
  See also Order

Press Releases

• SEC Completes 18th Annual International Enforcement Institute (Release No. 2012-256)

Speeches and Public Statements

• Remarks to the ALI CLE 2012 Conference on Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services, by Norm Champ, Director, Division of Investment Management

Investment Company Act Notices and Orders

• Mutual of America Life Insurance Company, et al. (Release No. IC-30292; File No. 812-14059; December 5, 2012)
   
• Highland Associates, Inc. and Financial Investors Trust (Release No. IC-30291; File No. 812-14006; December 5, 2012)

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

• BOX: Notice of Filing and Immediate Effectiveness of a Proposal to Expand the Short Term Options Series Program (Release No. 34-68361; File No. SR-BOX-2012-020; December 5, 2012); see also Exhibit 5
   
• NASDAQ: Notice of Designation of Longer Period for Commission Action on Proposed Rule Change with Respect to INAV Pegged Orders for ETFs; Correction (Release No. 34-68279A; File No. SR-NASDAQ-2012-117; December 4, 2012)
   
• NMS: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among the BATS Exchange, Inc., BOX Options Exchange, LLC, the Chicago Board Options Exchange, Incorporated, C2 Options Exchange, Incorporated, the International Securities Exchange, LLC, Financial Industry Regulatory Authority, Inc., Miami International Securities Exchange, LLC, the New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc., and NASDAQ OMX PHLX, LLC. Concerning Options-Related Sales Practice Matters (Release No. 34-68363; File No. S7-966; December 5, 2012)
   
• NMS: Notice of Filing and Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorporated, the International Securities Exchange LLC, Financial Industry Regulatory Authority, Inc., NYSE Arca, Inc., The NASDAQ Stock Market LLC, NASDAQ OMX BX, Inc,. the NASDAQ OMX PHLX, Inc. and Miami International Securities Exchange, LLC Concerning Options-Related Market Surveillance (Release No. 34-68362; File No. 4-551; December 5, 2012)
   
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Rule 472, Which Addresses Communications with the Public, Adopting New Rule Text to Conform to the Changes Adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart our Business Startups Act (Release No. 34-68353; File No. SR-NYSE-2012-70; December 4, 2012)
   
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .06 to Exchange Rule 6.8 to Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts (Release No. 34-68359; File No. SR-NYSEArca-2012-132; December 5, 2012); see also Exhibit 5
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 472 - Equities, Which Addresses Communications with the Public, Adopting New Rule Text to Conform to the Changes adopted by the Financial Industry Regulatory Authority, Inc. for Research Analysts and Research Reports as Required by the Jumpstart Our Business Startups Act (Release No. 34-68354; File No. SR-NYSEMKT-2012-73; December 4, 2012)
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Commentary .07 to Exchange Rule 904 to Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts (Release No. 34-68358; File No. SR-NYSEMKT-2012-71; December 5, 2012); see also Exhibit 5