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What's New on the SEC Website
January 17, 2014
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 and Public Statements
ALJ Orders
- Eugene M. Egeberg III, CPA (Release No. AP-1183; File No. 3-15680; January 17, 2014)
- Anthony J. Klatch, II (Release No. AP-1182; File No. 3-15608; January 17, 2014)
- Asia Health & Beauty Treasure, Inc., et al. (Release No. AP-1181; File No. 3-15666; January 17, 2014)
- Harding Advisory LLC and Wing F. Chau (Release No. AP-1180; File No. 3-15574; January 17, 2014)
- Craig Berkman, d/b/a Ventures Trust LLC, et al. (Release No. AP-1179; File No. 3-15249; January 17, 2014)
- Ambassador Capital Management, LLC and Derek H. Oglesby (Release No. AP-1113; File No. 3-15625; December 18, 2013)
Litigation
Administrative Proceedings
Commission Opinions and Orders
Regulatory Actions
Investment Company Act Deregistration Notices and Orders
- NRM Investment Co. ("Release No. IC-30881; File No. 811-2955; January 15, 2014")
- PC&J Preservation Fund ("Release No. IC-30881; File No. 811-4204; January 15, 2014")
- Dreyfus Massachusetts Municipal Money Market Fund ("Release No. IC-30880; File No. 811-6273; January 15, 2014")
- Dreyfus Pennsylvania Municipal Money Market Fund ("Release No. IC-30879; File No. 811-6126; January 15, 2014")
- PC&J Performance Fund ("Release No. IC-30878; File No. 811-3906; January 15, 2014")
- RiverSource Market Advantage Series, Inc. ("Release No. IC-30877; File No. 811-5897; January 15, 2014")
- RiverSource International Series, Inc. ("Release No. IC-30876; File No. 811-4075; January 15, 2014")
- RiverSource Government Income Series, Inc. ("Release No. IC-30875; File No. 811-4260; January 15, 2014")
- Old Field Master Fund, LLC ("Release No. IC-30874; File No. 811-21947; January 15, 2014")
- Old Field Fund, LLC ("Release No. IC-30873; File No. 811-21946; January 15, 2014")
- UBS Willow Fund, L.L.C. ("Release No. IC-30872; File No. 811-9841; January 15, 2014")
- UBS Eucalyptus Fund, L.L.C. ("Release No. IC-30871; File No. 811-9583; January 15, 2014")
- Calvert Cash Reserves ("Release No. IC-30870; File No. 811-3418; January 15, 2014")
- BlackRock Corporate High Yield Fund V, Inc. ("Release No. IC-30869; File No. 811-10521; January 15, 2014")
- BlackRock High Yield Trust ("Release No. IC-30868; File No. 811-8991; January 15, 2014")
- BlackRock Corporate High Yield Fund III, Inc. ("Release No. IC-30867; File No. 811-8497; January 15, 2014")
- BlackRock Corporate High Yield Fund, Inc. ("Release No. IC-30866; File No. 811-7634; January 15, 2014")
- BlackRock High Income Shares ("Release No. IC-30865; File No. 811-5495; January 15, 2014")
- BlackRock Alternatives Allocation FB TEI Portfolio LLC ("Release No. IC-30864; File No. 811-22645; January 15, 2014")
- BlackRock Alternatives Allocation TEI Portfolio LLC ("Release No. IC-30863; File No. 811-22644; January 15, 2014")
- BlackRock Alternatives Allocation FB Portfolio LLC ("Release No. IC-30862; File No. 811-22643; January 15, 2014")
- BlackRock Alternatives Allocation Portfolio LLC, ("Release No. IC-30861; File No. 811-22642; January 15, 2014")
Investment Company Act Notices and Orders
Interim Final Temporary Rules
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BATS: Notice of Filing of a Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Modify the BATS Options Opening Process (Release No. 34-71327; File No. SR-BATS-2014-003; January 16, 2014); see also Exhibit 5
- CME: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Regarding Modifications to CME Rule 8G802.B.2 (Release No. 34-71325; File No. SR-CME-2014-01; January 16, 2014)
- ISE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend the Schedule of Fees (Release No. 34-71324; File No. SR-ISE-2014-01; January 16, 2014)
- MSRB: Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change Consisting of Proposed MSRB Rule G-47, on Time of Trade Disclosure Obligations, Proposed Revisions to MSRB Rule G-19, on Suitability of Recommendations and Transactions, Proposed MSRB Rules D-15 and G-48, on Sophisticated Municipal Market Professionals ("SMMPs"), and the Proposed Deletion of Interpretive Guidance (Release No. 34-71326; File No. SR-MSRB-2013-07; January 16, 2014)
- NSX: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend its Fee and Rebate Schedule With Respect to the Order Delivery Mode of Interaction With the Exchange (Release No. 34-71332; File No. SR-NSX-2014-01; January 16, 2014); see also Exhibit 5
- NYSE: Order Approving Proposed Rule Change Amending NYSE Rules 13, 70.25, 107C and 1000 to Adopt a New Order Type Called a Midpoint Passive Liquidity Order (Release No. 34-71330; File No. SR-NYSE-2013-71; January 16, 2014)
- NYSE Arca: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1, to Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order to Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers (Release No. 34-71331; File No. SR-NYSEArca-2013-92; January 16, 2014)
- NYSEMKT: Order Approving Proposed Rule Change Amending NYSE MKT Rules 13 - Equities, 70.25 - Equities, 107C - Equities and 1000 - Equities to Adopt a New Order Type Called a Midpoint Passive Liquidity Order (Release No. 34-71329; File No. SR-NYSEMKT-2013-84; January 16, 2014)
http://www.sec.gov/news/whatsnew/2013/wn011714.shtml
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