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July 02, 2012

SEC Freezes Assets of Missing Georgia-Based Investment Adviser (SEC Press Release)

The SEC obtained a court order to freeze the assets of a Georgia-based investment adviser who has apparently gone into hiding after orchestrating a $40 million investment fraud. View press release in full here (links externally to SEC website). Additional Materials: SEC Complaint

June 29, 2012

Proposed Phlx Rule Change to Modify its Excess Order Fee - Effective Immediately (SEC Release)

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

June 29, 2012

Proposed NYSEMKT Rule Change Amending the NYSE Amex Options Fee Schedule (SEC Release)

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

June 29, 2012

Proposed BOX Rule to Amend the BOX Options Exchange LLC Limited Liability Company Agreement and the BOX Holdings Group LLC Limited Liability Company Agreement - Effective Immediately (SEC Release)

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

June 29, 2012

Proposed BATS Rule Change to Modify Rules on Order Execution, Order Routing and Order Protection - Effective Immediately (SEC Release)

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