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COMMISSION ANNOUNCEMENTSSecurities and Exchange Commission Suspends Trading in the Securities of Seven Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading in the securities of the following issuers, commencing at 9:30 a.m. EDT on Sept. 19, 2008, and terminating at 11:59 p.m. EDT on Oct. 2, 2008.
The Commission temporarily suspended trading in the securities of these seven issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission in over two years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspensions, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-58589) Securities and Exchange Commission Suspends Trading in the Securities of Three Issuers for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission announced the temporary suspension of trading of the securities of the following issuers, commencing at 9:30 a.m. EDT on Sept. 19, 2008, and terminating at 11:59 p.m. EDT on Oct. 2, 2008:
The Commission temporarily suspended trading in the securities of the issuers due to a lack of current and accurate information about the companies because they have not filed periodic reports with the Commission for over seven years. This order was entered pursuant to Section 12(k) of the Securities Exchange Act of 1934 (Exchange Act). The Commission cautions brokers, dealers, shareholders and prospective purchasers that they should carefully consider the foregoing information along with all other currently available information and any information subsequently issued by these companies. Brokers and dealers should be alert to the fact that, pursuant to Exchange Act Rule 15c2-11, at the termination of the trading suspension, no quotation may be entered relating to the securities of the subject companies unless and until the broker or dealer has strictly complied with all of the provisions of the rule. If any broker or dealer is uncertain as to what is required by the rule, it should refrain from entering quotations relating to the securities of these companies that have been subject to a trading suspension until such time as it has familiarized itself with the rule and is certain that all of its provisions have been met. Any broker or dealer with questions regarding the rule should contact the staff of the Securities and Exchange Commission in Washington, DC at (202) 551-5720. If any broker or dealer enters any quotation which is in violation of the rule, the Commission will consider the need for prompt enforcement action. If any broker, dealer or other person has any information which may relate to this matter, they should immediately communicate it to the Delinquent Filings Branch of the Division of Enforcement at (202) 551-5466, or by e-mail at DelinquentFilings@sec.gov. (Rel. 34-58593) SEC Halts Short Selling of Financial Stocks to Protect Investors and MarketsCommission also Takes Steps to Increase Market Transparency and LiquidityThe Securities and Exchange Commission, acting in concert with the U.K. Financial Services Authority, today took temporary emergency action to prohibit short selling in financial companies to protect the integrity and quality of the securities market and strengthen investor confidence. The U.K. FSA took similar action yesterday. The Commission's action will apply to the securities of 799 financial companies. The action is immediately effective. SEC Chairman Christopher Cox said, "The Commission is committed to using every weapon in its arsenal to combat market manipulation that threatens investors and capital markets. The emergency order temporarily banning short selling of financial stocks will restore equilibrium to markets. This action, which would not be necessary in a well-functioning market, is temporary in nature and part of the comprehensive set of steps being taken by the Federal Reserve, the Treasury, and the Congress." Today's decisive SEC action calls a time-out to aggressive short selling in financial institution stocks, because of the essential link between their stock price and confidence in the institution. The Commission will continue to consider measures to address short selling concerns in other publicly traded companies. Under normal market conditions, short selling contributes to price efficiency and adds liquidity to the markets. At present, it appears that unbridled short selling is contributing to the recent, sudden price declines in the securities of financial institutions unrelated to true price valuation. Financial institutions are particularly vulnerable to this crisis of confidence and panic selling because they depend on the confidence of their trading counterparties in the conduct of their core business. Given the importance of confidence in financial markets, today's action halts short selling in 799 financial institutions. The SEC's emergency order, pursuant to its authority in Section 12(k)(2) of the Securities Exchange Act of 1934, will be immediately effective and will terminate at 11:59 p.m. ET on Oct. 2, 2008. The Commission may extend the order beyond 10 days if it deems an extension necessary in the public interest and for the protection of investors, but will not extend the order for more than 30 calendar days in total duration. The Commission notes today's similar announcement by the U.K. FSA. The SEC and FSA are consulting on an ongoing basis with regard to short selling matters and will continue to cooperate in carrying out regulatory actions. The Commission also has taken the following steps to address the recent market conditions:
SEC Charges Unregistered Colorado Broker-Dealer for Fraud Harming SeniorsSEC to Hold Seniors Summit on Monday to Educate Senior InvestorsThe Securities and Exchange Commission today charged an unregistered broker-dealer and his company, Loveland, Colo.-based Global Marketing Consultants LLC, with misappropriating funds from seniors and other investors through two investment schemes. The SEC’s complaint, filed in U.S. District Court for the District of Colorado, alleges that David William Thomas, also of Loveland, Colo., and GMC raised approximately $6.3 million from more than 140 investors nationwide. However, they misrepresented the true nature of how the funds were invested. More than one-third of the investors are senior citizens. “Senior citizens are respected and valued participants in the markets, and we are devoted to their protection,” said George B. Curtis, Deputy Director of the SEC’s Division of Enforcement. “We will pursue to the full measure of our powers anyone who abuses their trust.” The SEC has brought more than 50 enforcement actions during the past two years against frauds particularly harming retirees and other older investors. The dangers of senior fraud will be a focus of a Seniors Summit that the SEC will be holding on Monday in Washington, D.C. With more than 76 million Baby Boomers reaching the traditional age of retirement in the largest demographic wave in U.S. history, seniors are prime targets for scam artists and securities swindlers. The SEC’s Seniors Summit will present tips and information to help senior investors ensure their retirement money is protected. [SEC Seniors Summit: Webcast Information]. The SEC’s complaint in today’s enforcement action alleges that Thomas and GMC represented that investor funds would be pooled into “non-depleting custodial” bank accounts and would be used only as collateral to fund a high-speed internet business and a global positioning system business. Thomas and GMC represented that the investments were fully insured and would generate a “high rate of return.” According to the SEC’s complaint, all of Thomas’ and GMC’s representations were false and misleading. Unbeknownst to the investors, the true nature of Thomas’ plan was to use investors’ money for prime bank trading programs. The SEC’s complaint charges Thomas and GMC with violating the antifraud and registration provisions of the federal securities laws, and seeks permanent injunctions. The SEC’s complaint also charges Thomas with acting as an unregistered broker-dealer. Without admitting or denying the SEC’s charges, Thomas and GMC each consented to the entry of the injunctions against them. Moreover, Thomas has been ordered to pay $4.4 million in restitution and sentenced to 42 months in prison in a related criminal action brought by the U.S. Attorney’s Office for the District of Colorado. The SEC acknowledges the assistance of the U.S. Attorney’s Office for the District of Colorado and the Criminal Investigation Division of the Internal Revenue Service. (Press Rel. 2008-212); [SEC v. David William Thomas and Global Marketing Consultants, LLC, Civ. No. 08-CV-02026-REB-MJW (D. Colo.)] (LR-20728) Statement from SEC's Division of Trading and MarketsThe Securities and Exchange Commission's Division of Trading and Markets today issued the following statement: "The Commission staff is recommending to the Commission a modification to its order prohibiting short selling in securities of specified financial firms. This modification would extend, for the life of the order, the exemption for hedging activities by exchange and over-the-counter market makers in derivatives on the securities covered by the order." (Press Rel. 2008-213) ENFORCEMENT PROCEEDINGSDelinquent Filers' Stock Registrations RevokedThe registrations of the stock of Supply Chain Services, Inc., Sustainable Development International, Inc. (n/k/a Clean Energy, Inc.), SWI Steelworks, Inc. (f/k/a ESC Envirotech Systems Corp.), and Symphony Telecom Corp. have been revoked. None had filed any annual or quarterly reports with the Securities and Exchange Commission for any period ended subsequent to 2002. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-58581; File No. 3-13134) Securities and Exchange Commission Orders Hearing on Registration Revocation Against Six Public Companies for Failure to Make Required Periodic FilingsOn September 18, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-58583; File No. 3-13218) Securities and Exchange Commission Orders Hearing on Registration Revocation Against Five Public Companies for Failure to Make Required Periodic FilingsOn September 18, the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of five companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 or 13a-16 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-58587; File No. 3-13219) Commission Orders Hearings on Registration Suspension or Revocation Against Seven Companies for Failure to Make Required Periodic FilingsIn conjunction with today's trading suspension, the Commission today also instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registration of each class of the securities of seven companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the seven issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-58590; File No. 3-13220) Commission Orders Hearings on Registration Revocation Against Five Public Companies for Failure to Make Required Periodic FilingsThe U.S. Securities and Exchange Commission today instituted public administrative proceedings against the following five companies to determine whether the registration of each class of their securities should be revoked or suspended for a period not exceeding twelve months for failure to file required periodic reports:
In this Order, the Division of Enforcement (Division) alleges that the five issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of the securities of these respondents should be revoked, or in the alternative, suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-58594; File No. 3-13221) Delinquent Filers' Stock Registrations RevokedThe registrations of the securities of Respondents Wall Street Deli, Inc., Wamex Holdings, Inc., Waterfalls Corp., WebMedicalServices.com, Inc., and World Media Group, Inc., have been revoked. Each had repeatedly failed to file required annual and quarterly reports with the Securities and Exchange Commission. Thus, each violated a crucial provision of the federal securities laws that requires public corporations to publicly disclose current, accurate financial information so that investors may make informed decisions. The revocations were ordered in an administrative proceeding before an administrative law judge. (Rel. 34-58595; File No. 3-13153) In the Matter of Joseph C. LavinOn September 19, the Commission issued an Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing (Order), against Joseph C. Lavin. In the Order, the Division of Enforcement alleges that Lavin was the sole manager of Global Asset Partners, LLP (GAP). GAP was the investment adviser to the Global Asset Management Short Term Fund, Medium Term Fund, and Long Term Fund (collectively, the Funds). On November 2, 2008, Lavin pled guilty to one count of wire fraud in violation of Title 18 United States Code, Sections 1342 and 1343 and one count of money laundering in violation of Title 18 United States Code, Sections 1956(a)(1)(A)(i) and 2 before the United States District Court for the Western District of Washington, in U.S. v. Joseph C. Lavin, Crim. Information No. CR07-366 RAJ. On March 21, 2008, a judgment in the criminal case was entered against Lavin. He was sentenced to a prison term of 54 months followed by three years of supervised release and ordered to make restitution in the amount of $11,612,538.55. The counts of the criminal information to which Lavin pled guilty alleged, inter alia, that Lavin defrauded investors and obtained money and property by means of materially false and misleading statements, that he used the United States mails to send false account statements, and that he caused investors to wire funds by means of interstate commerce. A hearing will be scheduled before an administrative law judge to determine whether the allegations contained in the Order are true, to provide the Respondent an opportunity to dispute these allegations, and to determine what, if any, remedial sanctions are appropriate and in the public interest. The Order requires the Administrative Law Judge to issue an initial decision no later than 210 days from the date of service of this Order, pursuant to Rule 360(a)(2) of the Commission's Rules of Practice. (Rel. IA-2782; File No. 3-13222) In the Matter of Eric R. WilkinsonOn September 19, the Commission issued an Order Instituting Cease-And-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Making Findings and Imposing a Cease-And-Desist Order (Order) against Eric R. Wilkinson (Wilkinson). The Order finds that from mid-1998 through July 2002, Wilkinson, a former partner or principal of a private equity firm (Private Equity Firm), served as a director of National Century Financial Enterprises, Inc. (NCFE), a now-defunct Ohio healthcare financing company. The Order also finds that from 1991 through 2002, NCFE subsidiaries (programs) issued asset-backed notes to investors. The Order also finds that Wilkinson and others at the Private Equity Firm caused a fund that the Private Equity Firm managed (Fund) to guarantee a portion of a short-term loan (Short-Term Loan) to NCFE. The Order also finds that NCFE used the Short-Term Loan to mask NCFE's consistent and severe depletion of certain reserve accounts (Reserve Accounts) by making it appear that the programs were maintaining the Reserve Accounts at required levels (Specified Balances). In addition, the Order finds that at the time of the Fund's investment in NCFE, Wilkinson reviewed certain offering materials for NCFE note offerings. The Order also finds that the offering materials that Wilkinson reviewed represented in substance, among other things, that the programs held the Specified Balances in the Reserve Accounts. The Order also finds that when NCFE asked Wilkinson and others at the Private Equity Firm to cause the Fund to guarantee a portion of the Short-Term Loan, NCFE told Wilkinson and others at the Private Equity Firm that the purpose of the Short-Term Loan was to cover a shortfall in the Reserve Accounts. Further, the Order finds that shortly after using the Short-Term Loan to temporarily fund the Reserve Accounts, NCFE completed an October 2000 program note issuance (October 2000 Note Issuance). The Order also finds that in the October 2000 Note Issuance, NCFE made misleading representations that the programs were maintaining the Reserve Account balances at the Specified Balances when in fact, NCFE had satisfied the Specified Balances in and around October 2000 by the use of, among other things, the Short-Term Loan. The Order also finds that NCFE's misrepresentations operated as a fraud or deceit upon the purchasers of the October 2000 Note Issuance. The Order also finds that Wilkinson should have known that, by causing the Fund to guarantee a portion of the loan to NCFE, he would contribute to NCFE's violation. Based on the above, the Order finds that Wilkinson was a cause of NCFE's violations of Section 17(a)(3) of the Securities Act, and requires Wilkinson to cease and desist from committing or causing any violations and any future violations of Section 17(a)(3) of the Securities Act. Wilkinson consented to the issuance of the Order without admitting or denying any of the findings therein. (Rel. 33-8958; File No. 3-13225) Commission Orders Hearings on Registration Revocation Against Six Public Companies for Failure to Make Required Periodic FilingsToday the Commission instituted public administrative proceedings to determine whether to revoke or suspend for a period not exceeding twelve months the registrations of each class of the securities of six companies for failure to make required periodic filings with the Commission:
In this Order, the Division of Enforcement (Division) alleges that the six issuers are delinquent in their required periodic filings with the Commission. In this proceeding, instituted pursuant to Exchange Act Section 12(j), a hearing will be scheduled before an Administrative Law Judge. At the hearing, the judge will hear evidence from the Division and the respondents to determine whether the allegations of the Division contained in the Order, which the Division alleges constitute failures to comply with Exchange Act Section 13(a) and Rules 13a-1 and 13a-13 thereunder, are true. The judge in the proceeding will then determine whether the registrations pursuant to Exchange Act Section 12 of each class of the securities of these respondents should be revoked or suspended for a period not exceeding twelve months. The Commission ordered that the Administrative Law Judge in this proceeding issue an initial decision not later than 120 days from the date of service of the order instituting proceedings. (Rel. 34-58602; File No. 3-13224) SEC Files Settled Insider Trading Charges Against Former CEO of Public Relations FirmThe Securities and Exchange Commission today filed settled insider trading charges against Matthew R. Zachowski, the co-founder and former CEO of a New York public relations firm, for trading in advance of the April 30, 2007 announcement of Eurex Frankfurt A.G.'s $2.8 billion cash merger agreement with International Securities Exchange Holdings, Inc. Zachowski agreed to settle the Commission's charges without admitting or denying the allegations, and his settlement papers have been submitted to the Court for consideration. The Commission's complaint, filed in federal court in the Southern District of New York, alleges that Eurex engaged the public relations firm to assist it with the announcement of its agreement to acquire ISE. The complaint further alleges that Zachowski, through his roles as CEO of the firm and administrator of its computer system, learned material, non-public information concerning the ISE acquisition announcement. According to the complaint, Zachowski then purchased ISE common stock, and he sold it for illegal profits of approximately $194,000. Zachowski's signed Consent, which is subject to approval by the Court, provides that, without admitting or denying the Commission's allegations, Zachowski would be permanently enjoined against future violations of Section 10(b) and Rule 10b-5 thereunder of the Securities Exchange Act of 1934, and would pay $194,365 in disgorgement, $6,531 in prejudgment interest, and a $194,365 penalty. The Commission acknowledges the assistance of the New York Stock Exchange (NYSE) in this matter. [SEC v. Matthew R. Zachowski, Civil Action No. 08 - 8104 (S.D.N.Y.)] (LR-20726) SEC Obtains Permanent Injunction Against Investment Adviser Firm and its Owner for FraudThe Commission announced today that on September 18, Judge Jonker of the U.S. District Court for the Western District of Michigan entered a final judgment as to Daniel N. Jones (Jones) and Azure Bay Management, LLC (Azure Bay) in connection with their fraudulent management of The Addington Fund LP ("Addington" or the "Fund"), a private hedge fund. [SEC v. Daniel N. Jones and Azure Bay Management, LLC, Case No. 07-CV-1198, W.D. Mich.] Jones and Azure Bay consented to the entry of the final judgment. The final judgment, among other things, permanently enjoins Jones and Azure Bay from violating Section 17(a) of the of the Securities Act of 1933 (Securities Act), Section 10(b) of the Securities Exchange Act of 1934 (Exchange Act) and Rule 10b-5 thereunder, and Sections 206(1), 206(2), and 206(4) of the Investment Advisers Act of 1940 (Advisers Act) and Rule 206(4)-8 thereunder. Jones and Azure Bay were also found liable for disgorgement of $2,563,613, representing profits gained as a result of the fraudulent conduct, together with prejudgment interest in the amount of $380,345, for a total of $2,943,958. The Commission did not seek a civil penalty and, based on the financial condition of Jones and Azure Bay, the Commission waived its right to pursue payment of all but $467,702 of the disgorgement. On Sept. 12, 2008, the Commission submitted a proposed distribution plan that would dispense available funds to injured investors. A parallel criminal proceeding was brought against Jones on March 18, 2008, based on the conduct alleged in the Commission's pleadings. On April 1, 2008, Jones pleaded guilty to one count of wire fraud in violation of Title 18 United States Code, Sections 1343 before the United States District Court for the Western District of Michigan, in United States v. Daniel N. Jones, No. 1:08-CR-74. Jones was sentenced on Aug. 11, 2008 and received 21 months in prison. The Commission wishes to thank the Federal Bureau of Investigation in Kalamazoo, Michigan and the U.S. Attorney's Office for the Western District of Michigan for their assistance in this matter. [SEC v. Daniel N. Jones and Azure Bay Management, LLC, Case No. 07-CV-1198 (W.D. Mich.)] (LR-20727) SEC Dismisses Claims Against Moises Saba MasriThe Commission announced that, on Aug. 1, 2008, it voluntarily dismissed its claim against Moises Saba Masri in the U.S. District Court for the Southern District of New York. This action was commenced on Feb. 25, 2004. The Commission's complaint alleged that Saba, aided by his broker, Albert Sutton, violated Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Sutton was dismissed from the action on Sept. 28, 2007, during summary judgment proceedings. Because Saba was the only remaining defendant, this dismissal terminated the action. [SEC v. Moises Saba Masri, No.04-1584 (SDNY) (RJH)] (LR-20729) SELF-REGULATORY ORGANIZATIONSProposed Plan for the Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2The Financial Industry Regulatory Authority and BATS Exchange filed a proposed plan for the allocation of regulatory responsibilities pursuant to Rule 17d-2 (File No. 4-569). Publication is expected in the Federal Register during the week of September 22. (Rel. 34-58563) Accelerated Approval of Proposed Rule ChangeThe Commission has granted accelerated approval of a proposed rule change filed by NYSE Arca (SR-NYSEArca-2008-86), through its wholly-owned subsidiary, NYSE Arca Equities, Inc., to list and trade the WisdomTree Dreyfus Emerging Markets Fund. Publication is expected in the Federal Register during the week of September 22. (Rel. 34-58564) Immediate Effectiveness of Proposed Rule ChangeA proposed rule change (SR-Phlx-2008-60) filed by the NASDAQ OMX PHLX to enable the listing and trading of options on index-linked securities 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 September 22. (Rel. 34-58571) SECURITIES ACT REGISTRATIONSRECENT 8K FILINGS
http://www.sec.gov/news/digest/2008/dig091908.htm
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