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What's New on the SEC Website
January 13, 2009
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!
Litigation
Administrative Proceedings
- Diane M. Keefe (Release Nos. IA-2828, IC-28582; Release No. 34-59237; January 13, 2009)
See also Order
- Paul G. Risoli (Release Nos. 34-59242, IA-2829; January 13, 2009)
- Joseph Lando (Release No. 34-59241; January 13, 2009)
- Kevin J. Heron (Release No. 34-59240; January 13, 2009)
- Peter Sherlock (Release No. 34-59239; January 13, 2009)
- The JPM Company, Maxxis Group, Inc., Metrotrans Corp, and Tidalwave Holdings, Inc. (Release No. 34-59236; January 13, 2009)
See also Order
- Peter J. Dawson (Release No. 34-59232; January 12, 2009)
Litigation Releases
Trading Suspensions
Regulatory Actions
Final Rules
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- NMS: Notice of Filing and Immediate Effectiveness of Amendment No. 1 to the National Market System Plan for the Selection and Reservation of Securities Symbols to Modify Certain Effective Dates in Plan, Submitted by NASDAQ OMX BX, Inc., the Chicago Stock Exchange, Inc., the Chicago Board Options Exchange, Incorporated, the International Securities Exchange, LLC, the Financial Industry Regulatory Authority, Inc., the National Stock Exchange, Inc., The NASDAQ Stock Market LLC, the New York Stock Exchange LLC, NYSE Alternext Exchange US LLC, NYSE Arca, Inc., and the NASDAQ OMX PHLX, Inc.(Release No. 34-59225; File No. 4-533; January 9, 2009)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 103B (“Security Allocation and Reallocation”) to: 1) Prohibit DMM Units from Communicating with Issuers After Receipt of Notice from the Exchange of the Issuer’s Impending Listing; 2) Provide DMM Unit Marketing Materials to the Issuer Prior to the Scheduled Interview Rather than the Day Before; and 3) Allow An Issuer Transferring from NYSE Alternext US LLC to the NYSE to Retain its DMM Unit if such DMM Unit is An Approved and Registered DMM on the NYSE(Release No. 34-59231; File No. SR-NYSE-2008-143; January 12, 2009)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Adopting a Temporary Equity Transaction Fee for Shares Executed on the NYSE MatchPointSM System, Effective Upon Filing with the Securities and Exchange Co(Release No. 34-59229; File No. SR-NYSE-2009-01; January 12, 2009)
- NYSE: Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC to Memorialize an Interpretation of the Listed Company Manual Concerning Shareholder Approval Requirements and to Describe a Certain Application of its Audit Committee Rule(Release No. 34-59217; File No. SR-NYSE-2008-138; January 8, 2009)
http://www.sec.gov/news/whatsnew/wn011309.shtml
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