SEC News Digest

RULES AND RELATED MATTERS

Final Amendments to Rules for Nationally Recognized Statistical Rating Organizations

The Commission is adopting rule amendments that impose additional requirements on nationally recognized statistical rating organizations in order to address concerns about the integrity of their credit rating procedures and methodologies. Publication is expected in the Federal Register during the week of February 2. (Rel. 34-59342)

Re-Proposed Rules for Nationally Recognized Statistical Rating Organizations

The Commission is proposing rule amendments that would impose additional requirements on nationally recognized statistical rating organizations in order to address concerns about the integrity of their credit rating procedures and methodologies. Publication is expected in the Federal Register during the week of February 2. (Rel. 34-59343)

SELF-REGULATORY ORGANIZATIONS

Immediate Effectiveness of Proposed Rule Change

A proposed rule change (SR-CBOE-2009-003) filed by the Chicago Board Options Exchange related to trades for less than $1 has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 2. (Rel. 34-59331)

Approval of Proposed Rule Changes

The Commission approved a proposed rule change submitted by NYSE Arca (SR-NYSEArca-2008-136) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934, amending NYSE Arca Equities Rule 5.2(j)(6), relating to the initial listing standards for Equity Index-Linked Securities, Commodity-Linked Securities, Currency-Linked Securities, Fixed Income Index-Linked Securities, Futures-Linked Securities and Multifactor Index-Linked Securities. Publication is expected in the Federal Register during the week of February 2. (Rel. 34-59332)

The Commission approved a proposed rule change (SR-FINRA-2008-061) submitted by the Financial Industry Regulatory Authority, pursuant to Rule 19b-4 under the Securities Exchange Act of 1934, to adopt FINRA Rule 5240 (Anti-Intimidation/Coordination) in the Consolidated FINRA Rulebook. Publication is expected in the Federal Register during the week of February 2. (Rel. 34-59335)

The Commission approved a proposed rule change submitted by the Chicago Board Options Exchange (SR-CBOE-2008-127) pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 to eliminate the $3 underlying price requirement for continued listing and listing of additional series. Publication is expected in the Federal Register during the week of February 2. (Rel. 34-59336)

The Commission approved a proposed rule change (SR-FINRA-2008-047) submitted pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 and Rule 19b-4 thereunder by the Financial Industry Regulatory Authority to amend the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to raise the amount in controversy that will be heard by a single chair-qualified arbitrator to $100,000. Publication is expected in the Federal Register during the week of February 2. (Rel. 34-59340)

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http://www.sec.gov/news/digest/2009/dig020309.htm