What's New on the SEC Website
September 29, 2008

Office of Inspector General

• Survey of Enforcement's Hub System, Report No. 449
   
• Audit of Premium Travel, Report No. 447
   

Division of Corporation Finance, Staff No-Action, Interpretive Exemptive Letters

• Mentor Corporation (September 26, 2008)
   
• ACE*COMM Corporation (September 26, 2008)
   

Division of Trading and Markets No-Action, Exemptive, and Interpretive Letters

• Pershing LLC (re: Confirmations – Rule 10b-10; )
   
• Barclays Capital Inc.(September 19, 2008)

Press Releases

• Fee Rate Advisory #2 for Fiscal Year 2009 (Press Release No. 2008-232)

Open Meetings

• Sunshine Act Notice: Roundtable on Modernizing the Securities and Exchange Commission's Disclosure System

Fund/Adviser Chief Compliance Officers

• CCOutreach Interactive Broadcast Seminar: Agenda (Compliance Issues Facing Small Investment Advisers) (September 16, 2008)

Administrative Proceedings

• Rey Salomon, Jr. (Release No. 34-58679.pdf)
   
• Anthony A. James (Release No. IA-2793)
   
• Charles P. Trigilio (Release No. IA-2792)
   
• Kevin James Dunn, Jr. (Release No. 34-58675)
   
• David William Thomas (Release No. 34-58674)
   
• Kevin Morano (CPA) (Release No. 34-58672)
   
• Victoire Finance Capital LLC (Release No. 34-58670)
   
• Carole D. Argo, CPA (Release No. 34-58668)
   
• David D. Klasna (Release No. IA-2789)
   
• Stephanie S. Ruskey (Release No. 34-58667)

Litigation Releases

• Delta Onshore Management, LLC, Jerry P. Jackson, Peter J. Brooks, Daniel Cohen, and Jason Hertz, Defendants, and Onshore Leasing, LLC and PJB Enterprises, Inc., Relief Defendants (Lit. Rel. No. 20755)
   
• Carlos J. Petry (Lit. Rel. No. 20754); see also Complaint
   
• Daniel William Heath, Denis Timothy O'Brien, John William Heath, and Larre Jaye Schlarmann (Lit. Rel. No. 20753)
   
• Carole Argo (Lit. Rel. No. 20752)
   
• Michael Lauer, et al. (Lit. Rel. No. 20751)

Final Rule

• Technical Amendment to Item 407 of Regulation S-K (Release No. 33-8961)

Investment Company Act Deregistration Notices and Orders

• Notice of Applications for Deregistration (Release No. IC-28408)

Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans

• Amex: Order Approving Proposed Rule Change to Allow Issuers of Exchange-Traded Funds (ETFs) and Structured Products Who Are Voluntarily Delisting the Securities From the Exchange and Re-Listing on Another National Securities Exchange to Submit to the Exchange (File No. SR-Amex-2008-65; Release No. 34-58650; September 25, 2008)
   
• NYSEArca: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to the ProShares Trust II (File No. SR-NYSEArca-2008-99; Release No. 34-58647; September 25, 2008)
   
• NYSE: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change, as Modified by Amendment No. 1, to Modify its Policy With Respect to Legal Opinions in Connection with Listings of Securities (File No. SR-NYSE-2008-82; Release No. 34-58649; September 25, 2008)
   
• FINRA: Order Approving Proposed Rule Change to Adopt FINRA Rule 3130 (Annual Certification of Compliance and Supervisory Processes) in the Consolidated FINRA Rulebook (File No. SR-FINRA-2008-030; Release No. 34-58661; September 26, 2008)
   
• FINRA: Order Approving Proposed Rule Change Relating to the Adoption of FINRA Rule 3220 (Influencing or Rewarding Employees of Others) and FINRA Rule 2070 (Transactions Involving FINRA Employees) in the Consolidated FINRA Rulebook (File No. SR-FINRA-2008-027; Release No. 34-58660; September 26, 2008)
   
• FINRA: Notice of Filing of Proposed Rule Change Relating to Amendments to the Codes of Arbitration Procedure to Raise the Amount in Controversy Heard by a Single Chair-Qualified Arbitrator to $100,000 (File No. SR-FINRA-2008-047; Release No. 34-58651; September 25, 2008)