2015-01-28
110
10
2014-12-22
2014-12-26
Securities Act of 1933
33
9695
9695
Securities Exchange Act of 1934
34
73901
73947
Accounting and Auditing Enforcement Release
AAER
3618
3618
Administrative Proceeding
AP
2160
2166
Investment Advisers Act of 1940
IA
3988
3990
Investment Company Act of 1940
IC
31390
31400
Initial Decision
ID
725
727
Litigation Release
LR
23166
23169
33-9695
http://www.sec.gov/litigation/admin/2014/33-9695.pdf
3-16173
2014-12-22
Notice That Initial Decision Has Become Final
Notice
Esirl, Inc.
N/A
34-73901
http://www.sec.gov/litigation/admin/2014/34-73901.pdf
3-16043
2014-12-22
Notice That Initial Decision Has Become Final
Notice
Alto Group Holdings, Inc.
Rosewood Acquisition Corporation
Sunshine State Capital Investments, Inc.
Trinergy Global, Inc (f/k/a Pyrotec, Inc.)
Voyager Two, Inc.
N/A
34-73902
http://www.sec.gov/litigation/admin/2014/34-73902.pdf
3-16060
2014-12-22
Notice That Initial Decision Has Become Final
Notice
Fox Petroleum, Inc.
Nedak Ethanol, LLC
Plaster Caster, Inc.
N/A
34-73904
http://www.sec.gov/litigation/admin/2014/34-73904.pdf
3-16136
2014-12-22
Notice That Initial Decision Has Become Final
Notice
Corridor Ventures II Acquisition Corp.
Dong Xin Chemical Co., Ltd.
Silica Resources Corp.
SK Shasta Acquisition Corp. 1
SK Shasta Acquisition Corp. 2
SK Shasta Acquisition Corp. 3
SK Shasta Acquisition Corp. 4
N/A
34-73905
http://www.sec.gov/litigation/suspensions/2014/34-73905.pdf
500-1
2014-12-22
Trading Suspension
Trading Suspension
Treaty Energy Corporation
http://www.federalregister.gov/citation/79-FR-77588
79 FR 77588
34-73906
http://www.sec.gov/rules/sro/chx/2014/34-73906.pdf
SR-CHX-2014-20
2014-12-22
Notice / Immediate Effectiveness to Amend the Trading Permit Application Fee
SRO Filing
Chicago Stock Exchange, Inc.;
http://www.federalregister.gov/citation/79-FR-78541
79 FR 78541
34-73907
http://www.sec.gov/rules/sro/occ/2014/34-73907.pdf
SR-OCC-2014-24
2014-12-22
Notice / Concerning Extended and Overnight Trading Sessions
SRO Filing
Options Clearing Corporation
http://www.federalregister.gov/citation/79-FR-78543
79 FR 78543
34-73908
http://www.sec.gov/rules/sro/nysearca/2014/34-73908.pdf
SR-NYSEARCA-2014-85
2014-12-22
Order / Relating to the Listing and Trading of Shares of the PIMCO Low Duration Investment Grade Corporate Bond Active Exchange-Traded Fund under NYSE Arca Equities Rule 8.600
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-78533
79 FR 78533
34-73909
http://www.sec.gov/rules/sro/nysearca/2014/34-73909.pdf
SR-NYSEARCA-2014-140
2014-12-22
Notice / Immediate Effectiveness Regarding Trade Nullification and Price Adjustment
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-78522
79 FR 78522
34-73910
http://www.sec.gov/rules/sro/nysemkt/2014/34-73910.pdf
SR-NYSEMKT-2014-102
2014-12-22
Notice / Immediate Effectiveness Amending Exchange Rules Regarding Trade Nullification and Price Adjustment
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/79-FR-78531
79 FR 78531
34-73911
http://www.sec.gov/rules/other/2014/34-73911.pdf
10-214
2014-12-22
Notice / to an Application for Limited Volume Exemption from Registration as a National Securities Exchange Under Secction 5 of the Securities Exchange Act of 1934
Notice
Automated Matching Systems Exchange, LLC
http://www.federalregister.gov/citation/79-FR-78507
79 FR 78507
34-73912
http://www.sec.gov/rules/sro/nasdaq/2014/34-73912.pdf
SR-NASDAQ-2014-102
2014-12-22
Notice / to Require That a Company Publicly Disclose the Denial of a Listing Application
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-78540
79 FR 78540
34-73913
http://www.sec.gov/rules/sro/nysemkt/2014/34-73913.pdf
SR-NYSEMKT-2014-95
2014-12-22
Notice of Designation / Related Rules Governing Order Types and Modifiers, as modified by Partial Amendment No. 1
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/79-FR-78531
79 FR 78531
34-73914
http://www.sec.gov/rules/sro/nysearca/2014/34-73914.pdf
SR-NYSEARCA-2014-100
2014-12-22
Order Instituting Proceedings /Relating to Listing and Trading of Shares of the SPDR SSgA Global Managed Volatility ETF under NYSE Arca Equities Rule 8.600
SRO Filing
NYSE Arca, Inc
http://www.federalregister.gov/citation/79-FR-78524
79 FR 78524
34-73915
http://www.sec.gov/litigation/admin/2014/34-73915.pdf
3-15925
2014-12-22
Extension Order
Order
Steinberg, Michael S.
N/A
34-73916
http://www.sec.gov/litigation/admin/2014/34-73916.pdf
3-16105
2014-12-23
Notice That Initial Decision Has Become Final
Notice
Adarna Energy Corporation, et al.
N/A
34-73917
http://www.sec.gov/litigation/admin/2014/34-73917.pdf
3-15942
2014-12-23
Notice That Initial Decision Has Become Final
Notice
China Integrated Energy, Inc.
N/A
34-73918
http://www.sec.gov/rules/sro/bats/2014/34-73918.pdf
SR-BATS-2014-055
SR-BYX-2014-030
SR-EDGA-2014-25
SR-EDGX-2014-25
2014-12-23
Notice / Amendments No. 2 and Order, as Modified by Amendments Nos. 1 and 2, to Establish a New Market Data Product called the BATS One Feed
SRO Filing
BATS Exchange, Inc.
BATS Y-Exchange, Inc.
EDGA Exchange, Inc.
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-78920
79 FR 78920
34-73919
http://www.sec.gov/rules/sro/nyse/2014/34-73919.pdf
SR-NYSE-2014-71
2014-12-23
Notice / Immediate Effectiveness Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2015
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/79-FR-78930
79 FR 78930
34-73920
http://www.sec.gov/alj/aljdec/2014/34-73920.pdf
3-15937
2014-12-23
Notice That Initial Decision Has Become Final
Notice
Bryan, Alicia
N/A
34-73921
http://www.sec.gov/litigation/admin/2014/34-73921.pdf
3-15429
2014-12-23
Notice of Proposed Plan of Distribution and Opportunity for Comment
Notice
North East Capital, LLC
Vicidomine, Anthony T.
N/A
34-73922
http://www.sec.gov/litigation/opinions/2014/34-73922.pdf
3-15350; 3-15351; 3-15773; 3-16006
2014-12-23
Order Denying Consolidation Motions
Order
Securities Industry and Financial Markets Association
N/A
34-73923
http://www.sec.gov/litigation/admin/2014/34-73923.pdf
3-12805
2014-12-23
Order Directing Disbursement
Order
Evergreen Investment Management Company, LLC
Evergreen Investment Services, Inc.
Evergreen Service Company LLC
Wachovia Securities, LLC
N/A
34-73924
http://www.sec.gov/litigation/admin/2014/34-73924.pdf
IC-31398
3-16326
2014-12-23
Order Instituting Administrative and Cease-and-Desist Proceedings
AP Litigated
Eldaher, Khaled A.
N/A
34-73925
http://www.sec.gov/litigation/admin/2014/34-73925.pdf
IC-31399
3-16175
2014-12-23
Order Making Findings and Imposing Remedial Sanctions and a Cease and Desist Order as to Mark S. "Mike" Tomich
AP Settled
Tomich, Mark S "Mike"
N/A
34-73926
http://www.sec.gov/litigation/admin/2014/34-73926.pdf
3-16327
2014-12-23
Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Geivelis, Fotios Jr.
N/A
34-73927
http://www.sec.gov/rules/sro/phlx/2014/34-73927.pdf
SR-PHLX-2014-80
2014-12-23
Notice / Immediate Effectiveness Relating to Strategy Fee Caps
SRO Filing
NASDAQ OMX PHLX LLC
http://www.federalregister.gov/citation/79-FR-78924
79 FR 78924
34-73928
http://www.sec.gov/rules/sro/nysearca/2014/34-73928.pdf
SR-NYSEARCA-2014-145
2014-12-23
Notice / Immediate Effectiveness Amending Rule 6.76A by Revising the Order Allocation Methodology for Certain Orders of Five Contracts or Fewer
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-78928
79 FR 78928
34-73929
http://www.sec.gov/rules/sro/nscc/2014/34-73929.pdf
SR-NSCC-2014-13
2014-12-23
Notice / Immediate Effectiveness to Amend Addendum A (Fee Structure) with Respect to Fees Related to NSCC's Obligation Warehouse Service
SRO Filing
National Securities Clearing Corporation
http://www.federalregister.gov/citation/79-FR-78927
79 FR 78927
34-73930
http://www.sec.gov/rules/sro/bats/2014/34-73930.pdf
SR-BATS-2014-072
2014-12-23
Notice / Immediate Effectiveness Related to Fees of BATS Exchange, Inc.
SRO Filing
BATS Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-78932
79 FR 78932
34-73931
http://www.sec.gov/litigation/admin/2014/34-73931.pdf
AAER-3618
3-15659
2014-12-23
Extension Order
Order
Melvin, Thomas D., CPA
N/A
34-73932
http://www.sec.gov/litigation/admin/2014/34-73932.pdf
3-16043
2014-12-24
Notice That Initial Decision Has Become Final
Notice
Gametech International, Inc.
N/A
34-73933
http://www.sec.gov/litigation/admin/2014/34-73933.pdf
3-16137
2014-12-24
Notice That Initial Decision Has Become Final
Notice
China Transportation International Holdings Group Ltd.
Precise Strategy Acquisition Corp. I
N/A
34-73934
http://www.sec.gov/litigation/admin/2014/34-73934.pdf
3-16059
2014-12-23
Notice That Initial Decision Has Become Final
Notice
Bio Oil National Corp, et al.
CSV International Holdings, Inc. (F/K/A Europa Acquisition VIII, Inc.)
Greenpro Resources Corp. (F/K/A Lightwood Acquisition Corp.)
Moxian Corp.
N/A
34-73935
http://www.sec.gov/rules/sro/bats/2014/34-73935.pdf
SR-BATS-2014-073
2014-12-24
Notice / Immediate Effectiveness to Amend Rule 2.12 to Remove References to "Direct Edge ECN LLC" and "DE Route"
SRO Filing
BATS Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-66
80 FR 66
34-73936
http://www.sec.gov/rules/sro/byx/2014/34-73936.pdf
SR-BYX-2014-041
2014-12-24
Notice / Immediate Effectiveness to Amend Rule 2.12 to Remove References to "Direct Edge ECN LLC" and "DE Route"
SRO Filing
BATS Y-Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-95
80 FR 95
34-73937
http://www.sec.gov/rules/sro/cme/2014/34-73937.pdf
SR-CME-2014-18
2014-12-24
Notice / Immediate Effectiveness Regarding Certain Contractual Arrangements that Apply to its Over-the-Counter Credit Default Swap Clearing Offering
SRO Filing
Chicago Mercantile Exchange Inc.
http://www.federalregister.gov/citation/80-FR-77
80 FR 77
34-73938
http://www.sec.gov/rules/sro/cme/2014/34-73938.pdf
SR-CME-2014-19
2014-12-24
Notice / Immediate Effectiveness Regarding Certain Contractual Arrangements that Apply to its Over-the-Counter Interest Rate Swap Clearing Offering
SRO Filing
Chicago Mercantile Exchange Inc.
http://www.federalregister.gov/citation/80-FR-80
80 FR 80
34-73939
http://www.sec.gov/rules/sro/edga/2014/34-73939.pdf
SR-EDGA-2014-34
2014-12-24
Notice / Immediate Effectiveness to Amend Rules 2.11, 2.12, 11.11 and 11.14 to Replace References to "Direct Edge ECN LLC d/b/a DE Route" and "DE Route" with "BATS Trading, Inc."
SRO Filing
EDGA Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-91
80 FR 91
34-73940
http://www.sec.gov/rules/sro/edgx/2014/34-73940.pdf
SR-EDGX-2014-35
2014-12-24
Notice / Immediate Effectiveness to Amend Rules 2.11, 2.12, 11.11 and 11.14 to Replace References to "Direct Edge ECN LLC d/b/a DE Route" and "DE Route" with "BATS Trading, Inc."
SRO Filing
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-63
80 FR 63
34-73941
http://www.sec.gov/rules/sro/icc/2014/34-73941.pdf
SR-ICC-2014-21
2014-12-24
Notice / to Provide for the Clearance of Additional Standard Western European Sovereign Single Names
SRO Filing
ICE Clear Credit LLC
http://www.federalregister.gov/citation/80-FR-75
80 FR 75
34-73942
http://www.sec.gov/rules/sro/miax/2014/34-73942.pdf
SR-MIAX-2014-66
2014-12-24
Notice / Immediate Effectiveness to Amend the MIAX Options Fee Schedule
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/80-FR-71
80 FR 71
34-73943
http://www.sec.gov/rules/sro/nasdaq/2014/34-73943.pdf
SR-NASDAQ-2014-123
2014-12-24
Notice / Immediate Effectiveness to Rules 4751(h) and 4754(b) Relating to the Closing Process
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/80-FR-69
80 FR 69
34-73944
http://www.sec.gov/rules/sro/nsx/2014/34-73944.pdf
SR-NSX-2014-017
2014-12-24
Notice / in Connection with a Proposed Transaction in Which National Stock Exchange Holdings, Inc. Will Acquire Ownership of the Exchange from the CBOE Stock Exchange, LLC
SRO Filing
National Stock Exchange, Inc.
http://www.federalregister.gov/citation/80-FR-85
80 FR 85
34-73945
http://www.sec.gov/rules/sro/nyse/2014/34-73945.pdf
SR-NYSE-2014-72
2014-12-24
Notice / Immediate Effectiveness Extending the Operation of Its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 201
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/80-FR-58
80 FR 58
34-73946
http://www.sec.gov/rules/sro/nysemkt/2014/34-73946.pdf
SR-NYSEMKT-2014-109
2014-12-24
Notice / Immediate Effectiveness Extending the Operation of Its New Market Model Pilot, Until the Earlier of Securities and Exchange Commission Approval To Make Such Pilot Permanent or July 31, 2015
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/80-FR-60
80 FR 60
34-73947
http://www.sec.gov/rules/sro/nysemkt/2014/34-73947.pdf
SR-NYSEMKT-2014-110
2014-12-24
Notice / Immediate Effectiveness of Proposed Rule Change Extending the Operation of Its Supplemental Liquidity Providers Pilot, Until the Earlier of the Securities and Exchange Commission's Approval To Make Such Pilot Permanent or July 31, 201
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/80-FR-83
80 FR 83
AAER-3618
http://www.sec.gov/litigation/admin/2014/34-73931.pdf
34-73931
3-15659
2014-12-23
Extension Order
Order
Melvin, Thomas D., CPA
N/A
AP-2160
http://www.sec.gov/alj/aljorders/2014/ap-2160.pdf
3-15918
2014-12-22
Order
Order
Malouf, Dennis J.
N/A
AP-2161
http://www.sec.gov/alj/aljorders/2014/ap-2161.pdf
3-16033
2014-12-22
Order Modifying Briefing Schedule for Motions in Limine
Order
Airtouch Communications, Inc.
Hideyuki Kanakubo
Kaiser, Jerome, CPA
N/A
AP-2162
http://www.sec.gov/alj/aljorders/2014/ap-2162.pdf
3-16037
2014-12-23
Order Granting in Part Respondents' Motion
Order
Page, Edgar R.
PageOne Financial Inc.
N/A
AP-2163
http://www.sec.gov/alj/aljorders/2014/ap-2163.pdf
3-16000
2014-12-23
Order on Witness List of Respondents Houston American Energy Corp. and John F. Terwilliger, Jr.
Order
Houston American Energy Corp.
McKnight, Kevin T.
Terwilliger, John F., Jr.
Undiscovered Equities Inc.
N/A
AP-2164
http://www.sec.gov/alj/aljorders/2014/ap-2164.pdf
3-16000
2014-12-23
Order on Request for the Issuance of Subpoena to Columbia Wanger Asset Management, LLC
Order
Houston American Energy Corp.
McKnight, Kevin T.
Terwilliger, John F., Jr.
Undiscovered Equities, Inc.
N/A
AP-2165
http://www.sec.gov/alj/aljorders/2014/ap-2165.pdf
3-16294
2014-12-23
Stay Order
Order
Murphy, Phillip Dennis
N/A
AP-2166
http://www.sec.gov/alj/aljorders/2014/ap-2166.pdf
3-16233
2014-12-24
Order
Order
Kelly, Christopher
N/A
IA-3988
http://www.sec.gov/litigation/admin/2014/ia-3988.pdf
IC-31393
3-16325
2014-12-22
Order Instituting Administrative and Cease-and-Deisst Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
F-Square Investments, Inc.
N/A
IA-3989
http://www.sec.gov/litigation/admin/2014/ia-3989.pdf
3-15820
2014-12-22
Notice That Initial Decision Has Become Final
Notice
D. Christopher Capital Management Group, LLC (The)
Thomas, Delsa U.
N/A
IA-3990
http://www.sec.gov/rules/ia/2014/ia-3990.pdf
803-00214
2014-12-22
Notice of application for an exemptive order
Notice
New Vernon Advisors, Inc.
Willam E. Simon & Sons, LLC
http://www.federalregister.gov/citation/79-FR-78518
79 FR 78518
IC-31390
http://www.sec.gov/rules/icdereg/2014/ic-31390.pdf
811-22428
2014-12-22
Order
Order
Cushing Funds Trust
N/A
IC-31391
http://www.sec.gov/rules/icdereg/2014/ic-31391.pdf
811-23001
2014-12-22
Order
Order
Lattice Strategies LLC
N/A
IC-31392
http://www.sec.gov/rules/icdereg/2014/ic-31392.pdf
811-21930
2014-12-22
Order
Order
Oceanstone Fund
N/A
IC-31393
http://www.sec.gov/litigation/admin/2014/ia-3988.pdf
IA-3988
3-16325
2014-12-22
Order Instituting Administrative and Cease-and-Deisst Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
F-Square Investments, Inc.
N/A
IC-31394
http://www.sec.gov/rules/ic/2014/ic-31394.pdf
812-14347
2014-12-22
Notice
Notice
Pacer Funds Trust, et al.
http://www.federalregister.gov/citation/79-FR-78509
79 FR 78509
IC-31395
http://www.sec.gov/rules/ic/2014/ic-31395.pdf
812-14292
2014-12-22
Order
Order
ALPS Distributors, Inc.
ETF Securities Advisors LLC
ETFS Trust
N/A
IC-31396
http://www.sec.gov/rules/ic/2014/ic-31396.pdf
812-14331
2014-12-23
Order
Order
MUFG Union Bank, N.A.
N/A
IC-31397
http://www.sec.gov/rules/ic/2014/ic-31397.pdf
812-14390
2014-12-23
Order
Order
Bank of America Mortgage Securities, Inc. et al.
N/A
IC-31398
http://www.sec.gov/litigation/admin/2014/34-73924.pdf
34-73924
3-16326
2014-12-23
Order Instituting Administrative and Cease-and-Desist Proceedings
AP Litigated
Eldaher, Khaled A.
N/A
IC-31399
http://www.sec.gov/litigation/admin/2014/34-73925.pdf
34-73925
3-16175
2014-12-23
Order Making Findings and Imposing Remedial Sanctions and a Cease and Desist Order as to Mark S. "Mike" Tomich
AP Settled
Tomich, Mark S "Mike"
N/A
IC-31400
http://www.sec.gov/rules/ic/2014/ic-31400.pdf
812-14328
2014-12-24
Order
Order
Alternative Strategies Fund
Ladenburg Thalmann Asset Management, Inc.
N/A
ID-725
http://www.sec.gov/alj/aljdec/2014/id725cff.pdf
3-16282
2014-12-23
Initial Decision Making Findings and Revoking Registration by Default
Initial Decision
All-American Care Centers, Inc.
FDH, Inc.
Stirrup Creek Gold Ltd.
USN Communications, Inc. (n/k/a CTBB Holdings, Inc.)
N/A
ID-726
http://www.sec.gov/alj/aljdec/2014/id726jeg.pdf
3-16044
2014-12-23
Initial Decision
Initial Decision
QSGI Inc.
N/A
ID-727
http://www.sec.gov/alj/aljdec/2014/id727bpm.pdf
3-15617
2014-12-23
Initial Decision
Initial Decision
Adams, Gregory J.
Grossman, Larry C.
N/A
LR-23166
http://www.sec.gov/litigation/litreleases/2014/lr23166.htm
14-CV-14692
2014-12-22
Enforcement Case
F-Square Investment
Present, Howard
N/A
LR-23167
http://www.sec.gov/litigation/litreleases/2014/lr23167.htm
8:14-CV-02026
2014-12-22
Enforcement Case
Grewal, Pretinder
Gtewal, Shjivbir S.
N/A
LR-23168
http://www.sec.gov/litigation/litreleases/2014/lr23168.htm
13-CV-60637-WJZ
2014-12-23
Enforcement Case
SEC v. E-Monee.com Inc., et al.
N/A
LR-23169
http://www.sec.gov/litigation/litreleases/2014/lr23169.htm
2:14-CV-09800
2014-12-23
Enforcement Case
Argyropoulos, Efstratios "Elias"
Eldaher, Khaled A.
Prima Capital Group
N/A