What's New on the SEC Website
November 30, 2004

• SEC to Consider Publication of Revisions to Proposed Regulation NMS
• SEC Issues Order Delaying Pilot Period for Suspension of the Operation of Short Sale Price Provisions Pursuant to Regulation SHO
• American International Group, Inc. Agrees to Pay $126 Million to Settle Fraud Charges Arising Out of Its Offer and Sale of An Earnings Management Product
• SEC Postpones Filing Date for Internal Control Reports for Some Accelerated Filers
• Laura L. Cox, Managing Executive for External and Governmental Affairs, to Leave Commission
• SEC Speech: Remarks before the Vanderbilt Director's College: September 23, 2004 (Giovanni P. Prezioso)
• Spotlight On: Short Sales
• SEC News Digest

Litigation Releases

• Gene C. Geiger and Charles F. Kirby
• Evan S. Collins
• American International Group, Inc.

Administrative Proceedings

• Joseph L. Lents, Brian E. Baginski, and Anthony V. Yonadi
• Joseph L. Lents, Brian E. Baginski, and Anthony V. Yonadi

Commission Opinions & Orders

• Michael T. Studer and Castle Securities Corp.
• Joseph J. Vastano, Jr.

Proposed Rule

• Fair Administration and Governance of Self-Regulatory Organizations; Disclosure and Regulatory Reporting by Self-Regulatory Organizations; Recordkeeping Requirements for Self-Regulatory Organizations; Ownership and Voting Limitations for Members of Self-Regulatory Organizations; Ownership Reporting Requirements for Members of Self-Regulatory Organizations; Listing and Trading of Affiliated Securities by a Self-Regulatory Organization

Self-Regulatory Organization Rulemaking and National Market System Plans

• Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment No. 1 Thereto to Add a $500 Application Fee for Waivers of Exchange Examination Requirements Pursuant to PCX Rule 2.5(c)(4)
• Order Approving Proposed Rule Change to Provide a Delta Hedge Exemption from Stock Option Position Limits for OTC Derivatives Dealers Affiliated with NASD Member Firms When Certain Conditions Are Satisfied
• Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Establish Fees for Companies with a Dual Listing on the New York Stock Exchange and Nasdaq
• Notice of Filing of Proposed Rule Change and Amendment No. 1 Thereto to Eliminate Entry and Application Fees for Exchange-Listed Issuers Transferring Listings to Nasdaq
• Order Granting Approval to Proposed Rule Change as Amended and Notice of Filing and Order Granting Accelerated Approval to Amendment No. 5 Regarding NASD Rule 3110(f) Governing Predispute Arbitration Agreements with Customers
• Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change and Amendment No. 1 Thereto Relating to the Extension Through April 30, 2005, of a Pilot Program to Disengage the Automatic Execution Feature (AUTO-X) of the Exchange’s Automated Options Market (AUTOM)
• Notice of Filing and Immediate Effectiveness of Proposed Rule Change and Amendment Nos. 1 and 2 Relating to Minor Adjustments in the Calculation of the Nasdaq Composite Index^®
• Notice of Filing of Proposed Rule Change Relating to Concentration Limit Listing Standards in Phlx Rule 1009A

Other Commission Orders, Notices, and Information

• Order Delaying Pilot Period for Suspension of the Operation of Short Sale Price Provisions

Exemptive Orders

• Order Under Section 36 of the Securities Exchange Act of 1934 Granting an Exemption from Specified Provisions of Exchange Act Rules 13a-1 and 15d-1

Division of Investment Management Office of Public Utility Regulation

• Filings Under the Public Utility Holding Company Act of 1935
• Filing Under the Public Utility Holding Company Act of 1935
• Filings Under the Public Utility Holding Company Act of 1935
• E.ON AG, et al.
• Filings Under the Public Utility Holding Company Act of 1935
• AGL Resources, Inc. et al

Enforcement

• Claims Fund: WorldCom

• Form 15: Certification and Notice of Termination of Registration Under Section 12(g) of the Securities Exchange Act Of 1934 Or Suspension of Duty to File Reports Under Sections 13 and 15(d) of the Securities Exchange Act of 1934
• Form 18-K: For Foreign Governments and Political Subdivisions Thereof
• Form 18: Application for Registration Pursuant to Section 12(b) and (c) OF THE SECURITIES EXCHANGE ACT OF 1934
• Form SE: Form for Submission of Paper Format Exhibits by Electronic Filers
• Form TH: Notification of Reliance on Temporary Hardship Exemption

Modified: 12/01/2004