|
|
 |
What's New on the SEC Website
December 26, 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!
News & Public Statements
Speeches and Public Statements
- Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments by Todd E. Hardiman, Associate Chief Accountant, Division of Corporation Finance, Washington, DC (December 11, 2007)
- Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments by Stephanie L. Hunsaker, Associate Chief Accountant, Division of Corporation Finance, Washington, DC (December 11, 2007)
- Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments by Steven C. Jacobs, Associate Chief Accountant, Division of Corporation Finance, Washington, DC (December 11, 2007)
- Remarks before the 2007 AICPA National Conference on Current SEC and PCAOB Developments by Joel K. Levine, Associate Chief Accountant, Division of Corporation Finance, Washington, DC (December 11, 2007)
Regulatory Actions
Investment Company Act Notices and Orders
Self-Regulatory Organization (SRO) Rulemaking
- Phlx: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to $5 Strike Price Intervals of Options on Exchange-Traded Fund Shares above $200 (Release No. 34-57038; File No. SR-Phlx-2007-93)
- CHX: Notice of Filing of Proposed Rule Change to Amend its Rule 25 to Eliminate a Requirement that a Participant Have a Formal Written Agreement to Use Another Participant's Give-Up (Release No. 34-57036; File No. SR-CHX-2007-27)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Establish a New Non-Regulatory Trading Halt Condition Under Rule 123D Designated as "Investment Company Units or Index-Linked Securities" (Release No. 34-57035; File No. SR-NYSE-2007-117)
- Phlx: Notice of Filing of Proposed Rule Change to Require a Non-Streaming Quote Trader Registered Option Trader ("non-SQT ROT") to Submit a List of Options for Intended Assignment (Release No. 34-57034; File No. SR-Phlx-2007-91)
- FINRA: Notice of Filing of Proposed Rule Change to Make Technical Amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4"), the Uniform Termination Notice for Securities Industry Registration ("Form U5") and the Uniform Branch Office Form (“Form BR”) (Release No. 34-57033; File No. SR-FINRA-2007-036)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Elimination of the Short Sale “tick” and Price Tests (Release No. 34-57032; File No. SR-ISE-2007-73)
- Amex: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Related to Section 107D(g) of the Amex Company Guide (Release No. 34-57030; File No. SR-Amex-2007-135)
- NYSEArca: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change as Modified by Amendment No. 1 Thereto to Trade Shares of the GreenHaven Continuous Commodity Index Fund Pursuant to Unlisted Trading Privileges (Release No. 34-57029; File No. SR-NYSEArca-2007-68)
- Phlx: Order Approving a Proposed Rule Change Relating to Amending By-Law Article X, Section 10-11 (Release No. 34-57023; File No. SR-Phlx-2007-83)
- Amex: Notice of Filing of Proposed Rule Change to Establish a New Class of Off Floor Market Makers in ETFs Called Designated Amex Remote Traders (Release No. 34-57022; File No. SR-Amex-2007-138)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Open the Exchange’s Equity Trading Platform at 9:00 a.m. (Release No. 34-57021; File No. SR-ISE-2007-116)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule 710, Minimum Trading Increments (Release No. 34-57019; File No. SR-ISE-2007-120)
- Phlx: Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Relating to Customized U.S. Dollar-Settled Foreign Currency Options (Release No. 34-57018; File No. SR-Phlx-2007-68)
- NYSEArca: Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change as Modified by Amendment No. 1 Thereto to Trade Shares of 11 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges (Release No. 34-57017; File No. SR-NYSEArca-2007-108)
- Amex: Notice of Filing of Proposed Rule Change and Amendment Nos. 1 and 2 Thereto Relating to Annual Shareholder Meeting Requirements (Release No. 34-57016; File No. SR-Amex-2006-31)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the Amendment of the Exchange's Amended and Restated Constitution (Release No. 34-57015; File No. SR-ISE-2007-117)
- ISE: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to List and Trade Options on the iShares MSCI Mexico Index Fund (Release No. 34-57014; File No. SR-ISE-2007-111)
- CBOE: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change to List and Trade Options on Shares of the iShares MSCI Mexico Index Fund (Release No. 34-57013; File No. SR-CBOE-2007-140)
- CBOE: Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto Amending its Obvious Error Rule for Options on Indices, ETFs, and HOLDRS (Release No. 34-57012; File No. SR-CBOE-2007-03)
- Amex: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1, to Allow Registered Options Traders to Quote Remotely From Off the Amex's Trading Floor on a Limited Basis (Release No. 34-57011; File No. SR-Amex-2007-25)
- CHX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding the Elimination of Provisions Relating to Rule 10a-1 (Release No. 34-57007; File No. SR-CHX-2007-17)
- CBOE: Notice of Filing of a Proposed Rule Change as Modified by Amendment No. 1 Thereto Amending its Obvious Error Rule for Options on Indices, ETFs, and HOLDRS (Release No. 34-57005; File No. SR-CBOE-2007-122)
- MSRB: Notice of Filing of Proposed Rule Change Relating to an Amendment to the Municipal Securities Information Library® System to Establish a Pilot System for Consolidated Dissemination of Disclosure Documents and Related Information through an Internet-Based Public Access Portal (Release No. 34-57004; File No. SR-MSRB-2007-06)
- MSRB: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to Rule G-14, Reports of Sales or Purchases, to Extend the Expiration Date of the Three-Hour Exception to the Fifteen-Minute Reporting Deadline (Release No. 34-57002; File No. SR-MSRB-2007-07)
- NASDAQ: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Establishing Fee for Registering and Transferring Registration of Associated Persons (Release No. 34-57001; File No. SR-NASDAQ-2007-099)
- CBOE: Order Approving a Proposed Rule Change Regarding the CBSX Floor Post (Release No. 34-56997; File No. SR-CBOE-2007-129)
- CBOE: Notice of Filing of a Proposed Rule Change and Amendment No. 1 Thereto to List and Trade Range Options (Release No. 34-56993; File No. SR-CBOE-2007-104)
- NASD: Order Granting Approval of a Proposed Rule Change Related to Mandated Use of an Automated Liability Notification System (Release No. 34-56972; File No. SR-NASD-2007-035)
http://www.sec.gov/news/whatsnew/wn122607.shtml
|