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What's New on the SEC Website
September 23, 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
Litigation Releases
Trading Suspensions
- Genova Biotherapeutics Inc. (Release No. 34-60708)
See also Order
- AEI Transportation Holdings, Inc., The Alcar Chemicals Group, Inc., China Adnet Enterprises Inc., Innolife Pharma, Inc., KSW Industries, Inc., Level Vision Electronics, Ltd., Life Exchange, Inc., Lotta Coal, Inc., Magellan Energy Ltd. , Marinas International, Inc., Microlink Solutions, Inc., UDS Group, Inc., United Environmental Energy Corp., Uptrend Corp., VShield Software Corp., World Hockey Association Corp., and WW Energy, Inc. (Release No. 34-60707)
See also Order
News and Public Statements
Regulatory Actions
Investment Company Act Notices and Orders
- Arrow Investment Advisers, LLC and Arrow Funds Trust (Release No. IC-28910; File No. 812-13405; September 22, 2009)
- Annuity Investors Life Insurance Company, et al. (Release No. IC-28909; File No. 812-13612; September 22, 2009)
- Highland Capital Management, L.P. Highland Funds Asset Management, L.P. and Highland Special Situations Fund II (Release No. IC-28908; File No. 812-13221; September 22, 2009)
- Jackson National Life Insurance Company, et al. (Release No. IC-28907; File No. 812-13584; September 22, 2009)
- DNP Select Income Fund Inc. and Duff & Phelps Utility and Corporate Bond Trust Inc. (Release No. IC-28906; File No. 812-13617; September 22, 2009)
- Rafferty Asset Management, LLC and Direxion Shares ETF Trust (Release No. IC-28905; File No. 812-13610; September 22, 2009)
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- FINRA: Order Approving Proposed Rule Change to Adopt FINRA Rule 2150 (Improper Use of Customers Securities or Funds; Prohibition Against Guarantees and Sharing in Accounts) in the Consolidated FINRA Rulebook (Release No. 34-60701; File No. SR-FINRA-2009-014; September 21, 2009)
- NYSE: Notice of Filing of Proposed Rule Change by New York Stock Exchange LLC, as Modified by Amendment No. 1, Amending NYSE Rule 36 to Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas (Release No. 34-60691; File No. SR-NYSE-2009-84; September 18, 2009)
- NYSE Arca: Notice of Filing of Amendment Nos. 1 and 3 and Order Granting Partial Accelerated Approval of a Proposed Rule Change, as Modified by Amendment Nos. 1 and 3 Thereto, Amending NYSE Arca Rule 6.72 and Expanding the Penny Pilot Program (Release No. 34-60711; File No. SR-NYSEArca-2009-44)
- NYSE Arca: Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, Relating to NYSE Arca Equities Rule 7.10 Governing Clearly Erroneous Executions (Release No. 34-60706; File No. SR-NYSEArca-2009-36; September 22, 2009)
- NYSEAmex: Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 1, Implementing a Fee for Complex Orders to Its Schedule of Fees and Charges for Exchange Services (Release No. 34-60698; File No. SR-NYSEAmex-2009-61; September 21, 2009)
- NYSEAmex: Notice of Filing of Proposed Rule Change by NYSE Amex LLC, as Modified by Amendment No. 1, Amending Rule 36 NYSE Amex Equities to Conform with Proposed Amendments to Corresponding NYSE Rule 36 to Permit the Use of Personal Portable or Wireless Communication Devices Off the Exchange Trading Floor and Outside Other Restricted Access Areas (Release No. 34-60692; File No. SR-NYSEAmex-2009-57; September 18, 2009)
http://www.sec.gov/news/whatsnew/wn092309.shtml
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