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What's New on the SEC Website
December 3, 2007
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
Litigation Releases
Administrative Proceedings
- American Venture Group, Inc., Avocet Ventures, Inc., Bull Run, Inc., Calcomp Technology, Inc., and Essco USA, Inc. (Release No. 34-56884)
- Founding Partners Capital Management Company and William Gunlicks (Release No. 33-8866)
- Invesco Funds Group, Inc., AIM Advisors, Inc. and AIM Distributors, Inc. (Release No. 34-56878)
- AIM Advisors, Inc. and AIM Distributors, Inc. (Release No. 34-56877)
Opinions
Staff Interpretations
Division of Market Regulation No-Action Letters
- LiquidityHub Limited (re: Broker-Dealer Registration – Foreign Broker-Dealers (including International Activities of U.S. Broker-Dealers and Rule 15a-6; November 28, 2007)
Regulatory Actions
Investment Company Act Deregistration Notices and Orders
- Notice of Applications: International Equity Portfolio, 811-8434, Small Cap Growth Portfolio, 811-7269, The Premium Portfolios, 811-8436, Government Income Portfolio, 811-8438, CitiFunds Tax Free Reserves, 811-3893, CitiFunds Multi-State Tax Free Trust, 811-4596, CitiFunds Fixed Income Trust, 811-5033, CitiFunds International Trust, 811-6154, Adjustable Rate Securities Portfolios, 811-6242, Atlas Funds, 811-5485, Colonial Insured Municipal Fund, 811-9533, BlackRock Basic Value Fund II, Inc., 811-9957, Hallmark Equity Series Trust, 811-7734, Hallmark Investment Series Trust, 811-879, Merit Advisors Investment Trust, 811-21495, Merit Advisors Investment Trust II, 811-21520, Lazard Global Mid Cap Fund, Inc., 811-21683, WhiteRock Portfolio Investors, L.L.C., 811-9104, Separate Account AIA of Integrity Life Insurance Company, 811-5431, Separate Account AII of Integrity Life Insurance Company, 811-5432, Principal Aggressive Growth Fund, Inc., 811-8176, Principal Asset Allocation Fund, Inc., 811-8178, Principal Balanced Fund, Inc., 811-5073, Principal Bond Fund, Inc., 811-5173, Principal Emerging Growth Fund, Inc., 811-5170, Principal Government Securities Fund, Inc., 811-4916, Principal Growth Fund, Inc., 811-8180, Principal High Yield Fund, Inc., 811-5175, Principal Money Market Fund, Inc., 811-3546, Principal World Fund, Inc., 811-8182, Separate Account VUL of National Integrity Life Insurance Co., 811-4667, Select Ten Plus Fund, LLC, 811-9179, CILCONY Variable Separate Account (Release No. IC-28069)
Investment Company Act Notices and Orders
Final Rule
Self-Regulatory Organization (SRO) Rulemaking and National Market System (NMS) Plans
- CBOT: Notice of Filing and Immediate Effectiveness of Proposed Rule Changes Relating to the Renumbering and Reorganization of Rules Relating to Listing Standards for Security Futures Products (Release No. 34-56873, File No. SR-CBOT-2007-01)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Amend Fees Charged to Member Organizations for the Use of the On-Line Comparison System (Release No. 34-56870, File No. SR-NYSE-2007-105)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change Relating to NYSE Rule 124 (Odd-Lot Orders) (Release No. 34-56858, File No. SR-NYSE-2007-103)
- NYSE: Notice of Filing and Immediate Effectiveness of Proposed Rule Change, as Modified by Amendment No. 2, Relating to Exchange Rule 103A(a)(3) to Address Changes in the Way the Exchange Delivers Education Programs to its Members and to Clarify that the Mandatory Education Requirement Applies to All Individuals Qualified to Use a Trading License (Release No. 34-56851, File No. SR-NYSE-2007-106)
- ISE: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change Relating to the Criteria for Securities that Underlie Options Traded on the Exchange (Release No. 34-56871, File No. SR-ISE-2007-87)
- ISE: Notice of Filing and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 1 Thereto, to Permit Trading of Shares of 93 Funds of the ProShares Trust Pursuant to Unlisted Trading Privileges (Release No. 34-56866, File No. SR-ISE-2007-102)
- OCC: Notice of Filing and Order Granting Accelerated Approval of a Proposed Rule Change Relating to Delayed Start Options (Release No. 34-56856, File No. SR-OCC-2007-13)
- NSCC: Notice of Filing of Proposed Rule Change to Modify the Hearing Procedures Afforded to Members and Applicants for Membership and Harmonize Them with Similar Rules of its Affiliates (Release No. 34-56865, File No. SR-NSCC-2007-06)
- Amex: Order Approving Proposed Rule Change, as Modified by Amendment Nos.1, 2, 3, 4, 5, and 6 Thereto, Relating to the Listing and Trading of Trust Units of the Nuveen Commodities Income and Growth Fund (Release No. 34-56880, File No. SR-Amex-2006-96)
- Amex: Notice of Filing and Immediate Effectiveness of Proposed Rule Change to Make Certain Conforming Changes to Amex Rules Relating to the Amex Book Clerk Program (Release No. 34-56861, File No. SR-Amex-2007-127)
- NYSEArca: Order Granting Approval of a Proposed Rule Change Relating to Certain Modifications to the Initial Listing and Trading Standards for Equity Index-Linked Securities (Release No. 34-56879, File No. SR-NYSEArca-2007-110)
http://www.sec.gov/news/whatsnew/wn120307.shtml
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