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What's New on the SEC Website
May 6, 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!
News and Public Statements
Speeches and Public Statements
Divisions
Division of Trading and Markets Exemptive Orders and Exemptive, Interpretive, and No-Action Letters
- Shinhan Financial Group Co., Ltd. (March 5, 2009; Rule 102 of Regulation M, Activities By Issuers and Selling Security Holders During a Distribution)
- Lloyds Banking Group plc (April 20, 2009; Rule 102 of Regulation M, Activities By Issuers and Selling Security Holders During a Distribution)
- Grail Advisors ETF Trust (April 30, 2009; Multiple Section Relief (e.g. exchange traded funds and other basket products))
- FS Investment Corporation (April 20, 2009; Rule 102 of Regulation M, Activities By Issuers and Selling Security Holders During a Distribution)
Division of Investment Management Staff No-Action and Interpretive Letters
Administrative Law Judge (ALJ) Decisions and Orders
- Byron S. Rainner (Initial Decision Release No. 377; Administrative Proceeding File No. 3-12828)
Litigation
Administrative Proceedings
- Royal Spring Water, Inc. (Release No. 34-59878; File No. 3-13462)
See also Order
- John W. Adams and AIP, LLC (Release No. 34-59870; File No. 3-11676; May 6, 2009)
- Wade Cook Financial Corp., Warning Management Services, Inc.,Weldotron Corp., Western Microwave, Inc., Wickes, Inc., Worldwide Technologies, Inc., and Worldwide Xceed Group, Inc. (n/k/a Liquidating WXG, Inc.) (Release No. 34-59868; File No. 3-13461)
See also Order
Litigation Releases
Trading Suspensions
- Wade Cook Financial Corp., Warning Management Services, Inc., Weldotron Corp., Western Microwave, Inc., Wickes, Inc., Worldwide Technologies, Inc.and Worldwide Xceed Group, Inc. (n/k/a Liquidating WXG, Inc.) (Release No. 34-59867)
See also Order
Regulatory Actions
Investment Company Act Notices and Orders
Investment Company Act Deregistration Notices and Orders
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
http://www.sec.gov/news/whatsnew/wn050609.shtml
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