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ENFORCEMENT PROCEEDINGSIn the Matter of Rudy 45An Administrative Law Judge has found the allegations in the Order Instituting Administrative and Cease and Desist Proceedings to be true, and, accordingly, has issued an Order to Cease and Desist, Revoking Registration, Suspending Exemption By Default, and Canceling Hearing in Rudy 45, Admin. Proc. No. 3-13254 (Default Order). The Default Order finds that Rudy 45 violated Sections 17(g), 18(d), 18(i), 23(a), and 56(a) of the Investment Company Act of 1940 and Rule 17g-1 thereunder; Section 13(a) of the Securities Exchange Act of 1934 and Rules 13a-1 and 13a-13 thereunder; and Securities Act of 1933, Regulation E, Rule 609 by failing to file reports on Form 2-E. (Rel. 34-59028; IC-28525; File No. 3-13254) INVESTMENT COMPANY ACT RELEASESAllianz Life Insurance Company of North America, et al.An order has been issued pursuant to Sections 26(c) and 17(b) of the Investment Company Act, as amended (1940 Act) on an application filed by Allianz Life Insurance Company of North America (Allianz Life) and Allianz Life Insurance Company of New York (Allianz NY) (together the "Insurance Company Applicants"), their respective separate accounts Allianz Life Variable Account A (Allianz Account A), Allianz Life Variable Account B (Allianz Account B), and Allianz Life of NY Variable Account C (Allianz Account C) (collectively with the Insurance Company Applicants, the "Applicants"), and Allianz Variable Insurance Products Trust (the "VIP Trust" and collectively with the Applicants, the "Section 17 Applicants"). The order permits the Applicants to substitute certain securities (Substitution) issued by the Franklin Templeton Variable Insurance Products Trust and held by Allianz Account A, Allianz Account B, or Allianz Account C for shares of the AZL Schroder Emerging Markets Equity Fund. The Section 17 Applicants seek an order pursuant to Section 17(b) of the 1940 Act exempting them to the extent necessary to permit them to engage in certain in-kind transactions in connection with the Substitution. (Rel. IC-28521- November 25) SELF-REGULATORY ORGANIZATIONSImmediate Effectiveness of Proposed Rule ChangesA proposed rule change filed by the NYSE Arca (SR-NYSEArca-2008-131) to temporarily increase the number of additional quarterly options series has become immediately 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 December 1. (Rel. 34-59012) A proposed rule change filed by the International Securities Exchange (SR-ISE-2008-87) relating to trading halts in managed fund shares and actively managed ETFs 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 December 1. (Rel. 34-59015) SECURITIES ACT REGISTRATIONSRECENT 8K FILINGS
http://www.sec.gov/news/digest/2008/dig120108.htm
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