What's New on the SEC Website
June 22, 2009

Press Releases

• Press Release: SEC Charges Madoff Solicitors and Feeder With Fraud (Press Release No. 2009-141)

Testimony

• Testimony Concerning Regulation of Over-The-Counter Derivatives (Chairman Mary Schapiro)

Division of Corporation Finance — No-Action, Interpretive and Exemptive Letters

• Southwest Airlines Co. (June 16, 2009; re: Rule 14a8)

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

• PIMCO ETF Trust (June 1, 2009; re: Rules 101 and 102 of Regulation M)

Administrative Proceedings

• Ruben Serrano (Release Nos. 34-60157, IA-2895; File No. 3-13526)
   
• Anthony R. Russo, CPA (Release Nos. 34-60155; AAER-2996; File No. 3-13525)
   
• Banc of America Capital Management, LLC, BACAP Distributors, LLC, and Banc of America Securities, LLC (June 9, 2009; Release No. 34-60080; File No. 3-11818)
   
• Cornerstone Capital Management, Inc., and Laura Jean Kent (May 20, 2009; Release No. 34-59951; File No. 3-13199)

Litigation Releases

• Steven E. Nothern (Lit. Rel. No. 21099)
   
• Horst W. Schroeder (Lit. Rel. No. 21098)
   
• Warren B. Schmidgall and David E. Watson (Lit. Rel. No. 21097)
   
• Stanley Chais (Lit. Rel. No. 21096); see also Complaint
   
• Cohmad Securities Corporation, Maurice J. Cohn, Marcia B. Cohn, and Robert M. Jaffe (Lit. Rel. No. 21095); see also Complaint
   
• Pinnacle Business Management, Jeffrey G. Turino, et al. (Lit. Rel. No. 21094)
   
• FTC Capital Markets, Inc., FTC Emerging Markets, Inc. also d/b/a FTC Group, Guillermo David Clamens and Lina Lopez a/k/a Nazly Cucunuba Lopez (Lit. Rel. No. LR-21093)

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

• ISE: Notice of Filing of Proposed Rule Change Relating to Qualified Contingent Cross Orders (Release No. 34-60147; File No. SR-ISE-2009-35; June 19, 2009)
   
• ISE: Notice of Filing of Proposed Rule Change Relating to the Penny Pilot Program (Release No. 34-60146; File No. SR-ISE-2009-32; June 19, 2009)
   
• NYSE Arca: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Listing and Trading of Shares of the iShares MSCI All Peru Capped Index Fund (Release No. 34-60137; File No. SR-NYSEArca-2009-54; June 18, 2009)
   
• NYSEAmex: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to WAIT Modifiers, PNP Plus Orders, and Attributable Orders (Release No. 34-60140; File No. SR-NYSEAmex-2009-27; June 18, 2009)
   
• NYSEAmex: Notice of Filing and Immediate Effectiveness of Proposed Rule Change by NYSE Amex LLC Amending NYSE Amex Equities Rule 124 to Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good 'Til Cancelled Order During the Implementation of Exchange System Enhancements (19b-4 Filing on NYSE Direct rules) (Release No. 34-60139; File No. SR-NYSEAmex-2009-18; June 18, 2009)
   
• OC: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Widening the Bid/Ask Spread For Quoting Market-Makers (Release No. 34-60143; File No. SR-OC-2009-02; June 19, 2009)
   
• NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change by New York Stock Exchange LLC Amending NYSE Rule 124 to Clarify the Pricing Methodology for the Odd-Lot Portion of a Part of a Round-Lot Order; Clarify the Systems Capable of Accepting PRL Orders; and Clarify the Systems Capable of Accepting a Good 'Til Cancelled Order During the Implementation of Exchange System Enhancements (19b-4 Filing on NYSE Direct rules) (Release No. 34-60138; File No. SR-NYSE-2009-45; June 18, 2009)

• DRAFT EDGAR Form D XML Technical Specification (Version 5.2.0)