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What's New on the SEC Website
December 15, 2014
This page provides a daily list of the most recent materials posted to the SEC website. Note that the official release date of a document may differ from the posting date, in which case, the release date is indicated in parentheses. See also:
ALJ Initial Decisions
ALJ Orders
- Forum National Investments, Ltd. (Release No. AP-2134; File No. 3-16283; December 15, 2014)
- Jordan Peixoto (Release No. AP-2133; File No. 3-16184; December 15, 2014)
- David G. Derrick, Sr. (Release No. AP-2132; File No. 3-16213; December 15, 2014)
- Donald J. Anthony, et al. (Release No. AP-2131; File No. 3-15514; December 15, 2014)
- David Mura (Release No. AP-2130; File No. 3-15045; December 15, 2014)
- Christopher A.T. Pedras (a/k/a Chris Pedras a/k/a Antone Thomas Pedras) (Release No. AP-2129; File No. 3-15936; December 12, 2014)
- Gaeton S. Della Penna (Release No. AP-2128; File No. 3-16198; December 12, 2014)
- China Valves Technology, Inc. (Release No. AP-2127; File No. 3-16176; December 12, 2014)
Information for EDGAR Filers
Litigation
Administrative Proceedings
- Canadian Solar, Inc. and Yan Zhuang (Release Nos. 34-73839, AAER-3613; File No. 3-16315; December 15, 2014)
- BDO China Dahua CPA Co., Ltd. Deloitte Touche Tohmatsu Certified Public Accountants Ltd. Ernst & Young Hua Ming and LLP KPMG Huazhen (Special General Partnership) PricewaterhouseCoopers Zhong Tian CPAs Limited (Release Nos. 34-73838, AAER-3612; File No. 3-15116; December 15, 2014)
- Bruker Corporation (Release Nos. 34-73835, AAER-3611; File No. 3-16314; December 15, 2014)
- Michael D. Montgomery (Release Nos. 34-73834, IA-3980; File No. 3-15799; December 12, 2014)
Litigation Releases
News
Regulatory Actions
Investment Company Act Notices and Orders
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Interpretive Material to Rule 7150 (Price Improvement Period "PIP") and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period "COPIP") to Extend the Pilot Period that Permit the Exchange to Have No Minimum Size Requirement for Orders Entered Into the PIP and COPIP Until July 18, 2015 (Release No. 34-73831; File No. SR-BOX-2014-27; December 12, 2014); see also Exhibit 5
- BOX: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Extend, Through June 30, 2015, the Pilot Program That Permits Certain Classes to be Quoted in Penny Increments ("Penny Pilot Program") (Release No. 34-73822; File No. SR-BOX-2014-29; December 11, 2014); see also Exhibit 5
- C2: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend Exchange Rules Regarding Trade Nullification and Price Adjustment (Release No. 34-73833; File No. SR-C2-2014-027; December 12, 2014)
- CBOE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Amend the Fees Schedule (Release No. 34-73832; File No. SR-CBOE-2014-092; December 12, 2014); see also Exhibit 5
- NYSE Arca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 6.62(k) to Disallow Market Orders from Being Eligible for Designation as An Immediate-or-Cancel Order (Release No. 34-73830; File No. SR-NYSEArca-2014-138; December 12, 2014); see also Exhibit 5
- NYSEMKT: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Amending Rule 900.3NY(k) to Disallow Market Orders from Being Eligible for Designation as An Immediate-or-Cancel Order (Release No. 34-73829; File No. SR-NYSEMKT-2014-100; December 12, 2014); see also Exhibit 5
http://www.sec.gov/news/whatsnew/2014/wn121514.shtml
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