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What's New on the SEC Website
November 15, 2005
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!
News & Public Statements
Speeches and Public Statements
Litigation
Regulatory Actions
Exchange Delistings
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Adopt an Options Licensing Fee for the PowerShares Lux Nanotech Portfolio (PXN) and the PowerShares Aerospace & Defense Portfolio (PPA) (Release No.: 34-52767)
- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to an Interpretation of Exchange Rule 577 and Section 723 of the Amex Company Guide (Release No.: 34-52765)
- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Elimination of the Equity Option Transaction Fee Discount for Member Firms Facilitating Customer Orders (Release No.: 34-52754)
- Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Records of Orders and Executions (Release No.: 34-52766)
- Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to Modify the Pricing for Non-Members Using the Nasdaq’s Brut Facility (Release No.: 34-52758)
- Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Modify Pricing for NASD Members Using the Nasdaq Market Center and Nasdaq’s Brut Facility (Release No.: 34-52757)
- Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Listing and Trading of Strategic Total Return SecuritiesSM Linked to the CBOE Nasdaq-100 BuyWrite Index (Release No.: 34-52756)
- Order Approving Proposed Rule Change to Add Rules Regarding Time Tracking Requirements of Specialists and Specialist Organizations to its Minor Rule Violation Plan (Release No.: 34-52768)
See also: Notice: Rel. No. 34-52550
- Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to iShares® Index Funds of iShares Trust and iShares, Inc. (Release No.: 34-52761)
- Notice of Filing of Proposed Rule Change Relating to Section 802.01E of the Listed Company Manual (Release No.: 34-52760)
- Notice of Filing of Proposed Rule Change and Partial Amendment No. 1 to Amend Exchange Rule 431 (Margin Requirements) (Release No.: 34-52738)
- Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendments Nos. 1 and 2 Thereto Regarding Clearly Erroneous Executions (Release No.: 34-52769)
- Order Approving Proposed Rule Change and Amendment No. 1 and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 4 to the Proposed Rule Change Relating to Listing Standards for Broad-Based Index Options (Release No.: 34-52578)
- Notice of Filing of Proposed Rules Change Relating to Expansion of OATS Reporting Requirements to OTC Equity Securities (Release No.: 34-52581)
- Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to Amendments to the Restated Certificate of Incorporation of The Nasdaq Stock Market, Inc. (Release No.: 34-52574)
- Notice of Filing of Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, to Amend the Exchange’s Customer Priority Rule to Require Designated Dealers to Implement and Maintain Automated Compliance Systems (Release No.: 34-52576)
- Notice of Filing of Proposed Rule Change, and Amendment Nos. 1, 2, and 3, Thereto, Relating to the Creation of a Regulatory Oversight Committee (Release No.: 34-52573)
- Notice of Filing and Order Granting Accelerated Approval to a Proposed Rule Change Relating to Dissemination of the Underlying Index Value for Trust Shares and Index Fund Shares (Release No.: 34-52572)
- Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Elimination of Commentary .01(5) to Amex Rule 916 (Release No.: 34-52563)
- Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Deletion of Interpretation and Policy .01(e) to CBOE Rule 5.4 (Release No.: 34-52562)
- Order Granting Approval to Proposed Rule Change Relating to Participant Fees and Credits (Release No.: 34-52556
See also: Notice: Rel. No. 34-52200
- Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 2 Thereto Relating to an Interpretation of Exchange Rule 452 (Release No.: 34-52569)
- Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Directed Order Process (Release No.: 34-52566)
- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rules Regarding Lead Market Maker’s Guaranteed Participation in Trades Executed by Public Outcry (Release No.: 34-52561)
- Notice of Filing and Immediate Effectiveness of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Its October 2005 Equity Options Payment for Order Flow Program (Release No.: 34-52568)
- Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Disclaimer of Warranties by SIG Indices, LLLP (Release No.: 34-52565)
Divisions
Corporation Finance - No More Action Letters
- CIBC Mellon Trust Company, February 24, 2005
- CIBC Mellon Trust Company, March 02, 2005
- Citigroup Global Markets, Inc., March 23, 2005
- Legg Mason Wood Walker, Incorporated, September 21, 2005
- Morgan Stanley & Co. Incorporated, February 4, 2005
- Smith Barney Fund Management LLC and Citigroup Global Markets, Inc., May 31, 2005
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