What's New on the SEC Website
May 17, 2014

Speeches and Public Statements

• Remarks at 12th European Corporate Governance & Company Law Conference, Commissioner Daniel M. Gallagher
   
• Cross-Border at the Crossroads: The SEC's "Middle Ground", by John Ramsay, Acting Director, Division of Trading and Markets, on May 15, 2013

Administrative Proceedings

• Joseph Hilton a/k/a Joseph Yurkin (Release No. 34-69592; File No. 3-15273; May 16, 2013)

Litigation Releases

• Charles J. Dushek, et al. (Release No. LR-22703)
   
• Robert Fowler and US Capital Funding II Series Trust 1, Inc. a/k/a US Capital Investments II (HK) Limited (Release No. LR-22702)

Small Business — Small Business Compliance Guides

• Identity Theft Red Flags Rules: A Small Entity Compliance Guide

EDGAR Filers

• IM Information Update - FORM 13F: Filing of New Online Form with XML Information Table to Begin May 20

Investment Company Act Notices and Orders

• LocalShares Investment Trust, et al. (Release No. IC-30523; File No. 812-14085; May 15, 2013)
   
• Goldman Sachs Trust, et al. (Release No. IC-30522; File No. 812-14075; May 15, 2013)
   
• Financial Investors Trust and Hanson McClain Strategic Advisors, Inc. (Release No. IC-30521; File No. 812-14098; May 15, 2013)

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

• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program to Allow Cabinet Trading to Take Place Below $1 per Option Contract (Release No. 34-69583; File No. SR-Phlx-2013-53; May 15, 2013)

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

• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Create a New Fee Structure for Complex Orders on the BOX Market LLC options facility (Release No. 34-69599; File No. SR-BOX-2013-28; May 16, 2013); see also Exhibit 5
   
• BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Amend the Fee Schedule to Establish Fees for Jumbo SPY Option Transactions (Release No. 34-69598; File No. SR-BOX-2013-26; May 16, 2013); see also Exhibit 5
   
• BYX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Related to Fees for Use of BATS Y-Exchange, Inc. (Release No. 34-69589; File No. SR-BYX-2013-014; May 16, 2013); see also Exhibit 5
   
• CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-69594; File No. SR-CBOE-2013-051; May 16, 2013); see also Exhibit 5
   
• DTC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Revise Its Fees Related to Certain Corporate Action Events (Release No. 34-69597; File No. SR-DTC-2013-06; May 16, 2013); see also Exhibit 5
   
• NMS: Notice of Filing and Immediate Effectiveness of the Eighteenth Charges Amendment to the Second Restatement of the CTA Plan and Tenth Charges Amendment to the Restated CQ Plan (Release No. 34-69593; File No. SR-CTA/CQ-2013-03; May 16, 2013)
   
• NSCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Fees Related to Portfolio Composition File Reporting in Addendum A of Its Rules and Procedures (Release No. 34-69596; File No. SR-NSCC-2013-06; May 16, 2013)
   
• NYSE: Notice of Filing of a Proposed Rule Change Proposing an Amendment to the Bylaws of its Wholly-Owned Subsidiary, NYSE Regulation, Inc. ("NYSE Regulation"), to Eliminate a Requirement that Not Less than Two Members of the Board of Directors of NYSE Regulation Must Qualify as "Fair Representation Candidates" (Release No. 34-69590; File No. SR-NYSE-2013-32; May 16, 2013); see also Exhibit 5
   
• NYSE Arca: Order Granting Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to List and Trade the International Bear ETF under NYSE Arca Equities Rule 8.600 (Release No. 34-69591; File No. SR-NYSEArca-2013-33; May 16, 2013)
   
• OCC: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Accommodate the Use of Vault Receipts or Warehouse Depository Receipts in Electronic Form, Rather Than Vault Receipts or Warehouse Depository Receipts in Physical Form, to Represent the Metals Underlying Physically-Settled Futures Contracts on Metals Traded by NYSE Liffe US LLC (Release No. 34-69595; File No. SR-OCC-2013-06; May 16, 2013)
   
• Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Extend a Pilot Program to Allow Cabinet Trading to Take Place Below $1 per Option Contract (Release No. 34-69583; File No. SR-Phlx-2013-53; May 15, 2013)