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What's New on the SEC Website
November 20, 2007
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!
Litigation
Administrative Proceedings
Litigation Releases
- Mitchel S. Guttenberg, Erik R. Franklin, David M. Tavdy, Mark E. Lenowitz, Robert D. Babcock, Andrew A. Srebnik, Ken Okada, David A. Glass, Marc R. Jurman, Randi E. Collotta, Christopher K. Collotta, Q Capital Investment Partners, LP, DSJ International Resources Ltd. (d/b/a Chelsey Capital), and Jasper Capital LLC (Release No. LR-20367)
- Edward P. May and E-M Management Co. LLC (Release No. LR-20366); see also Complaint
News & Public Statements
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking
- NYSEArca: Notice of Filing of a Proposed Rule Change Relating to Rule 6.87 — Obvious Error (Release No. 34-56819, File No. SR-NYSEArca-2007-115)
- CBOE: Notice of Filing of a Proposed Rule Change to Amend its Rule 4.20 Regarding Anti-Money Laundering (Release No. 34-56816, File No. SR-CBOE-2007-130)
- NYSE: Notice of Filing of Proposed Rule Change to Allow Issuers Voluntarily Delisting Index-Linked Securities to Submit to the Exchange a Letter from an Authorized Officer of the Issuer Rather Than a Board Resolution (Release No. 34-56812, File No. SR-NYSE-2007-99)
- Amex: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Revising the AEMI Rules to Eliminate the Post-Opening Pair-Off of Marketable Orders Held in a Message Queue (Release No. 34-56811, File No. SR-Amex-2007-118)
- NYSEArca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Order Type Known as PNP Blind (Release No. 34-56810, File No. SR-NYSEArca-2007-117)
- Amex: Notice of Filing of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 thereto, to Harmonize the Annual Listing Fees for all Exchange Traded Funds (Release No. 34-56809, File No. SR-Amex-2007-116))
- Amex, BSE, CBOE, ISE, NYSEArca, Phlx: Notice of Filing and Order Granting Accelerated Approval to Proposed Rule Changes (Release No. 34-56808, File Nos. SR-Amex-2007-117; SR-BSE-2007-44; SR-CBOE-2007-121; SR-ISE-2007-92; SR-NYSEArca-2007-109; SR-Phlx-2007-86))
- NMS: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Adding a New Order Type Known as PNP Blind (Notice: Release No. 34-56806, File No. 4-429)
- Amex: Notice of Filing of a Proposed Rule Change, and Amendment Nos. 1 and 2 Thereto, Relating to the Listing and Trading of the GreenHaven Continuous Commodity Index Fund (Release No. 34-56802, File No. SR-Amex-2007-53)
- OCC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Fees Charged to Clearing Members and Non-Clearing Members For Theoretical Profit and Loss Values (Release No. 34-56800, File No. SR-OCC-2007-10)
http://www.sec.gov/news/whatsnew/wn112007.shtml
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