What's New on the SEC Website
October 28, 2009

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

• PIMCO ETF Trust (August 20, 2009; re: Multiple Section Relief; File No. TP 09-62)
   
• Grail Advisors ETF Trust Actively Managed ETF (September 28, 2009; File No. TP 09-64)
   
• AdvisorShares Trust Actively-Managed ETF of ETFs and Exchange Traded Products (September 14, 2009; File No. TP 09-63)

Small Businesses

• Agenda for SEC Government-Business Forum on Small Business Capital Formation, November 19, 2009

Administrative Proceedings

• Tab Keplinger, CPA (Release No. 34-60898; File No. 3-13669)
   
• Anthony Perez (Release No. 34-60892; File No. 3-13668)

Litigation Releases

• Charles R. Kokesh (Lit. Rel. No. 21264)

SEC Congressional Testimony

• Testimony Concerning Dark Pools, Flash Orders, High Frequency Trading, and Other Market Structure Issues (James A. Brigagliano; October 28, 2009)
   
• Testimony Concerning Target Date Funds (Andrew J. Donohue; October 28, 2009)
   

Commission Open Meetings

• Sunshine Act Meeting Notice: November 2, 2009
   

Other Commission Orders, Notices, and Information

• NASD Letter to R. Corey Booth re: IARD Fees (October 13, 2006)

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

• FINRA: Notice of Filing Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as modified by Amendment No. 1 Thereto, to Amend Rules 12100, 12506, and 12902 of the Code of Arbitration Procedure for Customer Disputes and Rule 13100 of the Code of Arbitration Procedure for Industry Disputes to Implement Conforming Changes (Release No. 34-60878; File No. SR-FINRA-2009-041; October 26, 2009)
   
• NASDAQ: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Permit Listing Option Series that are Restricted to Closing Transactions if Such Series are Listed and Restricted to Closing Transactions on Another National Securities Exchange (Release No. 34-60880; File No. SR-NASDAQ-2009-090; October 26, 2009)
   
• NASDAQ: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Expansion and Extension of the Exchanges Penny Pilot Program (Release No. 34-60874; File No. SR-NASDAQ-2009-091; October 23, 2009)
   
• Phlx: Notice of Filing and Immediate Effectiveness of a Proposed Rule Change Relating to the Expansion and Extension of the Exchange's Penny Pilot Program (Release No. 34-60873; File No. SR-Phlx-2009-91; October 23, 2009)