What's New on the SEC Website
December 12, 2012

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

• FINRA (2012-12-10)
   
• 1st Global, Inc., May 7, 2001 (May 7, 2012)

Administrative Proceedings

• DIAS Holding, Inc., et al. (Release No. 34-68411; File No. 3-15090)
   
• The Hartcourt Companies, Inc., et al. (Release No. 34-68409; File No. 3-15128)

Litigation Releases

• Zhou, et al. (Lit. Rel. No. 22568; December 11, 2012)

Trading Suspensions

• Encore Clean Energy, Inc., Energy & Engine Technology Corp., Equity Media Holdings Corporation, eTotalSource, Inc., (December 12, 2012)

Press Releases

• Hedge Fund Manager to Pay $44 Million for Illegal Trading in Chinese Bank Stocks (2012-264)
   
• SEC Chief of Staff Didem A. Nisanci to Leave Agency (2012-263)

Testimony

• Testimony on Title VII Implementation by Robert Cook, Director, Division of Trading and Markets, U.S. Securities and Exchange Commission, on December 12, 2012

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

• CME: Order Approving Proposed Rule Change Regarding the Valuation of Securities on Deposit (Release No. 34-68401; File No. SR-CME-2012-42; December 11, 2012)
   
• FINRA: Order Approving Proposed Rule Change to Amend the Customer and Industry Codes of Arbitration Procedure Relating to Subpoenas and to Arbitrator Authority to Direct the Appearance of Associated Person Witnesses and the Production of Documents Without Subpoenas (Release No. 34-68404; File No. SR-FINRA-2012-041; December 11, 2012)
   
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase Position and Exercise Limits in EEM Options (Release No. 34-68398; File No. SR-ISE-2012-93; December 11, 2012)
   
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Fees For SOX, OSX and HGX (Release No. 34-68400; File No. SR-NASDAQ-2012-136; December 11, 2012); see also Exhibit 5
   
• NYSE Arca: Order Approving a Proposed Rule Change to List and Trade Shares of the Pring Turner Business Cycle ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-68408; File No. SR-NYSEArca-2012-117; December 11, 2012)
   
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending the NYSE Arca Options Fee Schedule (Release No. 34-68405; File No. SR-NYSEArca-2012-137; December 11, 2012); see also Exhibit 5
   
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the NYSE Arca Options Fee Schedule to Allow Manual Orders Entered into the Exchange's Electronic Order Capture System or Entered into an Order Entry Device and Contemporaneously Recorded into the EOC System to Qualify for the Manual Transaction Fee (Release No. 34-68399; File No. SR-NYSEArca-2012-134; December 11, 2012); see also Exhibit 5
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Proposing to Amend the NYSE Amex Options Fee Schedule for Professional Customers and Broker-Dealers to Modify Existing Volume-Based Tiers and the Associated Rate per Contract for Certain Electronic Executions (Release No. 34-68407; File No. SR-NYSEMKT-2012-74; December 11, 2012); see also Exhibit 5
   
• OCC: Notice of Filing of Proposed Rule Change to Accommodate Certain Physically-Settled Options on U.S. Treasury Securities (Release No. 34-68403; File No. SR-OCC-2012-23; December 11, 2012)
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Strategies (Release No. 34-68406; File No. SR-Phlx-2012-138; December 11, 2012); see also Exhibit 5
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rebates and Fees for Adding and Removing Liquidity (Release No. 34-68402; File No. SR-Phlx-2012-137; December 11, 2012); see also Exhibit 5