SEC News Digest

SELF-REGULATORY ORGANIZATIONS

Approval of Proposed Rule Changes

The Commission approved a proposed rule change (SR-FINRA-2007-020) filed by the Financial Industry Regulatory Authority regarding a proposal to amend NASD Rule 2210, to create an exception to the principal approval requirements for certain filed sales material. Publication is expected in the Federal Register during the week of February 4, 2008. (Rel. 34-57257)

The Commission approved a proposed rule change (SR-Amex-2007-25), as modified by Amendment No. 1, filed by the American Stock Exchange under Rule 19b-4 under the Securities Exchange Act of 1934, relating to limited off-floor trading by registered options traders. Publication is expected in the Federal Register during the week of February 4, 2008 (Rel. 34-57248)

Immediate Effectiveness of Proposed Rule Changes

A proposed rule change (SR-Phlx-2008-08) filed by the Philadelphia Stock Exchange relating to an options floor broker subsidy program has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 4, 2008. (Rel. 34-57253)

A proposed rule change (SR-FINRA-2007-025) filed by Financial Industry Regulatory Authority conforming its rules to changes to Rule 10a-1 and Regulation SHO has become effective under Section 19(b)(3)(A). Publication is expected in the Federal Register during the week of February 4, 2008. (Rel. 34-57252)

A proposed rule change (SR-NYSE-2007-62) filed by the New York Stock Exchange conforming its rules to changes to Rule 10a-1 and Regulation SHO has become effective under Section 19(b)(3)(A). Publication is expected in the Federal Register during the week of February 4, 2008. (Rel. 34-57251)

A proposed rule change (SR-CBOE-2008-11) filed by the Chicago Board Options Exchange relating to CBOE's Holdback Timer has become effective pursuant to Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 4, 2008. (Rel. 34-57250)

A proposed rule change by the New York Stock Exchange (SR-NYSE-2008-10) relating to Rule 36 (Communication Between Exchange and Exchange Members' Offices) has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 4, 2008. (Rel. 34-57249)

A proposed rule change (SR-FINRA-2008-002) filed by the Financial Industry Regulatory Authority to reflect that the NASD/NYSE Trade Reporting Facility does not support the three-party trade report functionality has become effective under Section 19(b)(3)(A) of the Securities Exchange Act of 1934. Publication is expected in the Federal Register during the week of February 4, 2008. (Rel. 34-57247)

Proposed Rule Changes

The Financial Industry Regulatory Authority filed a proposed rule change (SR-FINRA-2008-001) under Rule 19b-4 of the Securities Exchange Act of 1934 relating to amendments to FINRA's gross income assessment and technical changes to Schedule A to FINRA's by-laws. Publication is expected in the Federal Register during the week of February 4, 2008. (Rel. 34-57259)

The International Securities Exchange has filed a proposed rule change (SR-ISE-2006-26), as modified by Amendment No. 1 thereto, relating to professional account holders. Publication is expected in the Federal Register during the week of February 4, 2008. (Rel. 34-57254)

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http://www.sec.gov/news/digest/2008/dig020408.htm