What's New on the SEC Website
December 21, 2012

Press Releases

• SEC Charges Four Penny Stock Purchasers with Fraud (Press Release No. 2012-278)
   
• SEC Approves New Rules Regarding Lost Holders of Securities (Press Release No. 2012-277)
   
• SEC Bans Arizona-Based Investment Adviser From Securities Industry For Fraudulent Actions In Mutual Fund Collapse (Press Release No. 2012-276)
   
• Paul Beswick Named SEC Chief Accountant (Press Release No. 2012-275)
   
• SEC Announces Agenda for Roundtable on Decimalization (Press Release No. 2012-274)

Administrative Proceedings

• James S. Ward, Edward G. Locker, Richard F. Tipton, and David C. Lin (Release No. IA-3525; File No. 3-15153)
   
• Steven B. Hart (Release No. IA-3524; File No. 3-15150; December 20, 2012)
   
• David C. Lin, Esq. (Release No. 34-68509; File No. 3-15152)
   
• New Generation Biofuels Holdings, Inc. (Release No. 34-68508; File No. 3-15151)
   
• AMS Homecare, Inc. (Release No. 34-68506; File No. . 3-14770; December 20, 2012)
   
• Carl N. Duncan (Release No. 34-68501; File No. 3-15149; December 20, 2012)
   
• Top Fund Management, Inc. and Barry C. Ziskin (Release Nos. 33-9377, 34-68524, IA-3526, IC-30315; File No. 3-15154)

Commission Opinions and Orders

• AMS Homecare, Inc. (Release No. 34-68506; File No. 3-14770; December 20, 2012)
   
• Asensio & Company, Inc. (Release No. 34-68505 ; File No. 3-14711; December 20, 2012)

Litigation Releases

• Lee S. Rosen (Release No. LR-22578)

Trading Suspensions

• New Generation Biofuels Holdings, Inc. (Release No. 34-68507)
  See also Order

Draft Final Rules

• Lost Securityholders and Unresponsive Payees (File No. S7-11-11; 17 CFR Part 240)
   

Investment Company Act Notices and Orders

• Pyxis Capital, L.P., et al. (Release No. IC-30316; File No. 812-13871)
   
• William Blair & Company, L.L.C. and William Blair Funds (Release No. IC-30314; File No. 812-13489-01)
   
• Franklin Advisers, Inc., et al. (Release No. IC-30312; File No. 812-14042; December 19, 2012)

Other Commission Orders, Notices, and Information

• Decimalization Roundtable (Release Nos. 34-68510; File No. 4-657)
   
• Order Approving Minor Rule Violation Plan for BOX Options Exchange LLC (Release No. 34-68489; File No. 4-655; December 20, 2012)

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

• BATS: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Penny Pilot Program (Release No. 34-68516; File No. SR-BATS-2012-048)
   
• CBOE: Notice of Filing of a Proposed Rule Change Related to SPX Combo Orders (Release No. 34-68504; File No. SR-CBOE-2012-122; December 20, 2012)
   
• CBOE: Notice of Proposed Rule to Amend Various CBOE Rules Governing Letters of Guarantee and Authorization (Release No. 34-68487; File No. SR-CBOE-2012-124; December 20, 2012)
   
• CME: Notice of Filing of Proposed Rule Change Related to the Liquidity Factor of CME's CDS Margin Methodology (Release No. 34-68529; File No. SR-CME-2012-34)
   
• CME: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Fee Schedule Applicable to its OTC Credit Default Swap Clearing Offering (Release No. 34-68490; File No. SR-CME-2012-46; December 20, 2012)
   
• FICC: Notice of Filing of Advance Notice and Notice of No Objection Relating to the Replacement of the Prepayment Component of the Value-at-Risk Charge (Release No. 34-68498; File No. AN-FICC-2012-09; December 20, 2012)
   
• FINRA: Notice of Filing of Proposed Rule Change to Amend FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities) (Release No. 34-68526; File No. SR-FINRA-2012-010); see also Exhibit 5
   
• ICC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Schedule 502 of the ICC Rules for the December 20, 2012 Index Maturity (Release No. 34-68530; File No. SR-ICC-2012-25)
   
• ICC: Notice of Filing of Proposed Rule Change to Add Rules Related to the Clearing of European Corporate Single-Name CDS (Release No. 34-68482; File No. SR-ICC-2012-24; December 19, 2012)
   
• ICC: Notice of Filing of Proposed Rule Change to Add Rules Related to the Clearing of iTraxx Europe Index CDS (Release No. 34-68481; File No. SR-ICC-2012-23; December 19, 2012)
   
• ICEEU: Notice of Filing and Immediate Effectiveness of Proposed Rule Changes to Implement Requirements of Commodity Futures Trading Commission Rule 39.13(g)(8)(ii) (Release No. 34-68523; File No. SR-ICEEU-2012-21; December 21, 2012)
   
• ICEEU: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Delivery Procedures to Reflect the Clearing Relationship for ICE Futures U.S. Inc. (Release No. 34-68503; File No. SR-ICEEU-2012-15; December 20, 2012)
   
• ICEEU: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Acceptance of Letters of Credit or Pass-Through Letters of Credit Deposits from Non-Financial Institution Energy Clearing Members (Release No. 34-68497; File No. SR-ICEEU-2012-12; December 20, 2012)
   
• ICEEU: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Intra-day Margin Calling Policy for Energy Clearing Members (Release No. 34-68496; File No. SR-ICEEU-2012-14; December 20, 2012)
   
• ICEEU: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Position Allocation Methodology for SPAN Margin Calculation Extended to Three Additional Calendar Spread Options (Release No. 34-68495; File No. SR-ICEEU-2012-16; December 20, 2012)
   
• ICEEU: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend the Position Allocation Methodology to Margin Calculations for Two Additional OTC Spread Swap Futures Contracts (Release No. 34-68494; File No. SR-ICEEU-2012-17; December 20, 2012)
   
• ISE: Notice of Filing of Proposed Rule Change to Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism (Release No. 34-68492; File No. SR-ISE-2012-100; December 20, 2012); see also Exhibit 5
   
• ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend ISE Rule 504(f) to Permit the Exchange to List Additional Strike Prices Until the Close of Trading on the Second Business Day Prior to Monthly Expiration in Unusual Market Conditions (Release No. 34-68491; File No. SR-ISE-2012-101; December 20, 2012)
   
• NASDAQ: Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to Establish the Market Quality Program (Release No. 34-68515; File No. SR-NASDAQ-2012-137); see also Exhibit 5
   
• NASDAQ: Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. (Release No. 34-68512; File No. SR-NASDAQ-2012-142); see also Exhibit 5
   
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Port Fees and a Participant Fee (Release No. 34-68502; File No. SR-NASDAQ-2012-139; December 20, 2012); see also Exhibit 5
   
• NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify a Level 2 Subscriber Fee and Related Rule Clarifications (Release No. 34-68493; File No. SR-NASDAQ-2012-133; December 20, 2012)
   
• NASDAQ OMX BX: Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. (Release No. 34-68514; File No. SR-BX-2012-075); see also Exhibit 5
   
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Extending the Bond Trading License and the Bond Liquidity Provider Pilot Program (Release No. 34-68533; File No. SR-NYSE-2012-74); see also Exhibit 5
   
• NYSE: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting NYSE Rules 95(c) and (d) and Related Supplementary Material (Release No. 34-68522; File No. SR-NYSE-2012-57)
   
• NYSE Arca: Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to List and Trade Shares of the iShares Copper Trust Pursuant to NYSE Arca Equities Rule 8.201 (Release No. 34-68511; File No. SR-NYSEArca-2012-66)
   
• NYSE Arca: Notice of Filing of Proposed Rule Change to List and Trade the Guggenheim Enhanced Total Return ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-68488; File No. SR-NYSEArca-2012-142; December 20, 2012)
   
• NYSEMKT: Notice of Designation of a Longer Period for Commission Action on Proposed Rule Change Deleting NYSE MKT Rules 95(c) and (d) - Equities and Related Supplementary Material (Release No. 34-68521; File No. SR-NYSEMKT-2012-58)
   
• NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Exchange Rule 953NY - Trading Halts and Suspensions (Release No. 34-68520; File No. SR-NYSEMKT-2012-80); see also Exhibit 5
   
• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Schedule of Fees, Effective January 2, 2013, to Charge Non-Clearing Member Subscribers of Certain Non-Proprietary Data an Additional Monthly Fee to Accommodate Request for Such Data on a Real-Time Basis (Release No. 34-68532; File No. SR-OCC-2012-25)
   
• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Interpretative Guidance Relating to the Adjustment of Stock Options and Single Stock Futures for Cash Dividends and Distributions on Underlying Securities (Release No. 34-68531; File No. SR-OCC-2012-26)
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NASDAQ OMX PHLX LLC Relating to the Distribution of Auction Messages (Release No. 34-68517; File No. SR-Phlx-2012-136); see also Exhibit 5
   
• Phlx: Notice of Filing of Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, Inc. (Release No. 34-68513; File No. SR-Phlx-2012-142); see also Exhibit 5