What's New on the SEC Website
December 20, 2012

This page contains the latest in events, developments, and updates to the SEC website — check back here often. The links listed here indicate the date the content was posted, not the official release date. Bookmark this page to keep up with the latest at the SEC!

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About the SEC

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Litigation

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News and Public Statements

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Regulatory Actions

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Final Rules

• Temporary Rule Regarding Principal Trades with Certain Advisory Clients (17 CFR Part 275; Release No. IA-3522; File No. S7-23-07; RIN 3235-AL28)
   
• Correction: Extension of Dates for Certain Requirements and Amendment of Form 19b-4 (Release No. 34-68457A; File No. S7-44-10; RIN 3235-AK87; 2012-12-10)

Public Petitions for Rulemaking

• Request for rulemaking to mandate that mutual funds fully disclose through a disclaimer in their prospectuses that shareholders are being financially disadvantaged by new and liquidation shareholders who are not paying their portion of the brokerage trading commissions that were generated to establish the portfolio's holdings, a result of buying the portfolio securities. Submitted by Seymour Sacks, President, Sacks Equalization Model, Inc. (File No. 4-656; Date: 2012-11-28)

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

• BOX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Increase the Position and Exercise Limits for Options on the iShares MSCI Emerging Markets Index Fund to 500,000 Contracts (Release No. 34-68478; File No. SR-BOX-2012-023; December 19, 2012); see also Exhibit 5
   
• C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee (Release No. 34-68479; File No. SR-C2-2012-040; December 19, 2012)
   
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Options Regulatory Fee (Release No. 34-68480; File No. SR-CBOE-2012-118; December 19, 2012)
   
• FINRA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Add the Term Chief Legal Officer to the Definition of General Counsel (Release No. 34-68475; File No. SR-FINRA-2012-054; December 19, 2012)
   
• FINRA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) (Release No. 34-68471; File No. SR-FINRA-2012-056; December 19, 2012)
   
• FINRA: Notice of Filing and Immediate Effectiveness of Proposed Rule Change To Extend the Date by Which Eligible Registrants Must Complete a Firm-Element Continuing Education Program To Qualify To Engage in a Security Futures Business (Release No. 34-68468; File No. SR-FINRA-2012-055; December 19, 2012); see also Exhibit 5
   
• MSRB: Order Approving a Proposed Rule Change Consisting of Amendments to Streamline New Issue Information Submission Requirements Under MSRB Rules G-32 and G-34 (Release No. 34-68472; File No. SR-MSRB-2012-08; December 19, 2012)
   
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Sections 902.02 and 902.03 of the New York Stock Exchange LLC Listed Company Manual to Introduce an Initial Application Fee (Release No. 34-68470; File No. SR-NYSE-2012-68; December 19, 2012); see also Exhibit 5
   
• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade PIMCO Foreign Currency Strategy Exchange-Traded Fund under NYSE Arca Equities Rule 8.600 (Release No. 34-68476; File No. SR-NYSEArca-2012-138; December 19, 2012)
   
• NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending NYSE Arca Rule 6.65 - Trading Halts and Suspensions (Release No. 34-68474; File No. SR-NYSEArca-2012-141; December 19, 2012); see also Exhibit 5
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Section 140 of the NYSE MKT LLC Company Guide to Introduce an Initial Application Fee (Release No. 34-68469; File No. SR-NYSEMKT-2012-70; December 19, 2012); see also Exhibit 5
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Permit and Order Entry Port Fee (Release No. 34-68473; File No. SR-Phlx-2012-140; December 19, 2012); see also Exhibit 5

http://www.sec.gov/news/whatsnew/2012/wn122012.shtml