What's New on the SEC Website
December 17, 2012

Press Releases

• Lona Nallengara Named Acting Director of SEC’s Division of Corporation Finance (Press Release No. 2012-269)
   
• John Ramsay Named Acting Director of SEC's Division of Trading and Markets (Press Release No. 2012-268)
   
• SEC Charges Connecticut-Based Adviser for "Skin in the Game" Misstatements About CDOs (Press Release No. 2012-267)
   
• SEC Charges Germany-Based Allianz SE with FCPA Violations (Press Release No. 2012-266)

Speeches and Public Statements

• Risk Modeling at the SEC: The Accounting Quality Model, by Craig M. Lewis, Chief Economist and Director, Division of Risk, Strategy, and Financial Innovation, on December 13, 2012

Administrative Proceedings

• J. Brian Laib, CPA (Release Nos. 34-68449, AAER-3431; File No. 3-15133)
   
• Allianz SE (Release No. 34-68448; File No. 3-15132)
   
• James Warren Margulies (Release No. 34-68446; File No. 3-15131)
   
• Joseph A. Schlim (Release Nos. 33-9375, IA-3515; File No. 3-15135)
   
• Aladdin Capital Management LLC and Aladdin Capital LLC (Release Nos. 33-9374, IA-3514; File No. 3-15134)

Litigation Releases

• Spencer Pharmaceutical Inc., Jean-François Amyot, Maximilien Arella, Ian Morrice, IAB Media Inc., and Hilbroy Advisory Inc. (Release No. LR-22574)
   
• Aletheia Research and Management, Inc. and Peter J. Eichler, Jr. (Release No. LR-22573)

Trading Suspensions

• Spencer Pharmaceutical Inc. (Release No. 34-68447; December 17, 2012)
  See also Order

Exemptive Orders

• Order Granting Limited Exemptions from Exchange Act Rules 101 and 102 of Regulation M to Shares of JPM XF Physical Copper Trust Pursuant to Exchange Act Rules 101(d) and 102(e) (Release No. 34-68439; December 14, 2012; File No. TP 11-10); see also incoming letter

Investment Company Act Notices and Orders

• AllianceBernstein Active ETFs, Inc., et al. (Release No. IC-30305; File No. 812-13797; December 13, 2012)

Public Company Accounting Oversight Board

• Order Granting Approval of Proposed Rules on Auditing Standard No. 16, Communications with Audit Committees, and Related and Transitional Amendments to PCAOB Standards (Release No. 34-68453; File No. PCAOB-2012-01)

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

• BATS: Notice of Filing of a Proposed Rule Change to Modify Exchange Rule 11.23 Relating to Auctions of Exchange-Listed Securities (Release No. 34-68442; File No. SR-BATS-2012-046; December 14, 2012); see also Exhibit 5
   
• CME: Order Approving Proposed Rule Change to Amend Rules in Connection with Status as a "Deemed Registered" Clearing Agency (Release No. 34-68441; File No. SR-CME-2012-26; December 14, 2012)
   
• DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Ministerial Changes to the Existing Reorganization Service Guide (Release No. 34-68443; File No. SR-DTC-2012-09; December 14, 2012)
   
• ICEEU: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change to Clear Western European Sovereign CDS Contracts (Release No. 34-68437; File No. SR-ICEEU-2012-08; December 14, 2012)
   
• MIAX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Adopt the MIAX Options Fee Schedule (Release No. 34-68415; File No. SR-MIAX-2012-01; December 13, 2012)
   
• NYSE Arca: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 to List and Trade Shares of the JPM XF Physical Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 (Release No. 34-68440; File No. SR-NYSEArca-2012-28; December 14, 2012)
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Section 102(a) of the NYSE MKT Company Guide to Eliminate An Erroneous Reference (Release No. 34-68444; File No. SR-NYSEMKT-2012-78; December 14, 2012); see also Exhibit 5
   
• OCC: Order Approving Proposed Rule Change to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities (Release No. 34-68445; File No. SR-OCC-2012-19; December 14, 2012)
   
• OCC: Notice of No Objection to Advance Notice Filing to Revise the Method for Determining the Minimum Clearing Fund Size to Include Consideration of the Amount Necessary to Draw on Secured Credit Facilities (Release No. 34-68438; File No. AN-OCC-2012-04; December 14, 2012)