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What's New on the SEC Website
December 12, 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
Litigation Releases
- Travis E. Correll, individually and d/b/a Horizon Establishment, Gregory Thompson, Dwight J. Johnson, Harry Robinson "Robbie" Gowdey, individually and d/b/a Atlas and Jericho Productions, Grant Cardno, Neulan D. Midkiff, Travis Correll & Company, Inc., The Liberty Establishment, Inc., Sovereign Capital Investments, S.A., TNT Office Supply, Inc., The Net Worth Group, Inc. and Joshua Tree Group LLC, Defendants, and Banner Shield, LLC, Hospitality Management Group, Inc., Creative Wealth Ventures, LLC and JTA Enterprises, Relief Defendants. (Release No. LR-19492)
Administrative Proceedings
Investor Information
Regulatory Actions
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 9/10 Examination Program (Release No. 34-52914)
- CBOE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Series 4 Examination Program (Release No. 34-52913)
- DTC: Order Approving Proposed Rule Changes to Require Members to Purchase Shares of the Common Stock of The Depository Trust & Clearing Corporation (Release No. 34-52922)
- ISE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Requirements for Continued Approval of Securities that Underlie Options Traded on the Exchange (Release No. 34-52910)
- NASD: Order Approving Proposed Rule Change to Modify Nasdaq’s Auditor Peer Review Requirement (Release No. 34-52896)
- NMS: Solicitation of Comments and Order Granting Summary Effectiveness to Request to Extend the Operation of the Reporting Plan for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, Submitted by the Pacific Exchange, Inc., the National Association of Securities Dealers, Inc., the American Stock Exchange LLC, the Boston Stock Exchange, Inc., the Chicago Stock Exchange, Inc., the National Stock Exchange, Inc., and the Philadelphia Stock Exchange, Inc. and to Extend Certain Exemptive Relief (Release No. 34-52886)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Study Outline and Selection Specifications for the Limited Principal – Registered Options (Series 4) Examination Program (Release No. 34-52921)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Revisions to the Study Outline and Selection Specifications for the Limited Principal – General Securities Sales Supervisor (Series 9/10) Examination Program (Release No. 34-52915)
- PCX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 4 Examination Program (Release No. 34-52920)
- PCX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 9/10 Examination Program (Release No. 34-52918)
- PCX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Approval of Securities that Underlie Options Traded on the Exchange (Release No. 34-52911)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of Commentary .01, Guideline 5 to Phlx Rule 1010 (Release No. 34-52924)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 9/10 Examination Program (Release No. 34-52916)
- Phlx: Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Maintenance, Retention and Furnishing of Books, Records and Other Information Regarding Payment For Order Flow (Release No. 34-52903)
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto Relating to Revisions to the Series 4 Examination Program (Release No. 34-52919)
Divisions
Market Regulation No-Action Letter
Corporation Finance No-Action Letter
Division of Investment Management, Office of Public Utility Regulation (OPUR), Recent Orders
http://www.sec.gov/news/whatsnew/wn121205.shtml
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