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July 25, 2012

SEC Division of Corp Fin No-Action Letter: First Ottawa Bancshares, Inc. (Re: Rule 12h-3)

Cross Reference(s): Exchange Act Rule 12h-3. View release in full here (links externally to SEC website).

July 25, 2012

BSECC - Proposed Rule Change with Respect to the Amendment of the By-Laws of its Parent Corporation, The NASDAQ OMX Group, (pre Fed. Reg. version)

The change relates to the composition of the Compensation Committee of the Board. View release in full here (links externally to SEC website).

July 25, 2012

CFTC Charges Florida Residents Philip Leon, Paul Rangel, and John Wilkins and Their Company, Altamont Global Partners LLC, with Fraud and Misappropriation

The CFTC announced that the defendants allegedly solicited approximately $13 million from approximately 198 participants in two investment pools. The CFTC announced that a Federal court had entered an emergency order freezing defendants' assets and protecting books and records. View release in full here(links externally to CFTC website).

July 25, 2012

NYSE Arca - Order Approving of Rule Change Relating to First Trust CBOE VIX Tail Hedge Index Fund (Pre Fed. Reg. Version)

View release in full here (links externally to SEC website).

July 25, 2012

NYSE - Proposed Rule Change Amending NYSE Rule 76 to a Crossing Function (Pre Fed. Reg. Version)

The rule change is intended to help floor brokers cross orders in a manner consistent with NMS 611 (Order Protection Rule) requirements. (For a general discussion of Reg NMS requirements, see the Broker-Dealer Guide, Trading Chapter. View release in full here (links externally to SEC website). Additional Materials: Exhibit 5.