U.S. Securities & Exchange Commission

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What's New on the SEC Website
November 29, 2004

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News & Public Statements
	Fee Rate Advisory #5 for Fiscal Year 2005 SEC News Digest
Litigation
	Administrative Proceedings
	Public Administrative Proceedings instituted against Kenneth l. Rubin, CPA, and Michael W. Lewis, CPA, alleging improper professional conduct Order Instituting Public Administrative Proceedings, Making Findings and Imposing Remedial Sanctions Pursuant To Rule 102(E) of the Commission's Rules of Practice in the Matter of Charles A. Dairaghi, CPA Order Instituting Administrative And Cease-And-Desist Proceedings, Making Findings, And Imposing Remedial Sanctions And A Cease-And-Desist Order Pursuant To Sections 15(B) And 21c Of The Securities Exchange Act Of 1934 In The Matter Of Bruce D. Oakes
Regulatory Actions
	Proposed Rule
	Securities Offering Reform
	Self-Regulatory Organization Rulemaking and National Market System Plans
	Notice of Filing of Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A Order Granting Approval to Proposed Rule Change, and Notice of Filing and Order Granting Accelerated Approval to Amendments No. 1 and 2 Thereto Relating to Time Limits for Submission of Claims in Arbitration Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Eliminate a Restriction Precluding a BSE Specialist From Trading Both Nasdaq-Listed and New York Stock Exchange-Listed Securities Simultaneously Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Incorporated to Eliminate the Exchange's Marketing Fee Voting Procedures Notice of Filing and Immediate Effectiveness of Proposed Rule Change by the Chicago Board Options Exchange, Inc. to Adopt a New Marketing Fee Order Granting Approval to Proposed Rule Change to Create New NYSE Rule 416A (“Member and Member Organization Profile Information Updates and Quarterly Certifications Via the Electronic Filing Platform”) and to Amend NYSE Rule 476A (“Imposition of Fines for Minor Violations of Rules”), Adding New NYSE Rule 416A to the “List of Exchange Rule Violations and Fines Applicable Thereto Pursuant to Rule 476A”
Freedom of Information Act
	SEC FOIA: Frequently Requested Documents Frequently Requested FOIA Document: Information About Registered Investment Advisers SEC FOIA Document: Company Information, Broker-Dealers

http://www.sec.gov/news/whatsnew/wn112904.htm

Modified: 12/01/2004