2020-07-07 June 2020 66 34-89177 https://www.sec.gov/litigation/admin/2020/34-89177.pdf 2020-06-29 DryShips, Inc. BNP Paribas Securities Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89178 https://www.sec.gov/litigation/admin/2020/34-89178.pdf 2020-06-29 Joy Global Inc. Wu, DanDan Clayton Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Roisman Approved Lee Approved 34-89180 https://www.sec.gov/litigation/suspensions/2020/34-89180.pdf Order 2020-06-29 Ariel Clean Energy, Inc. and Other Delinquent Issuers Revolution Lighting Technologies, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Santa Fe Gold Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89181 https://www.sec.gov/litigation/admin/2020/34-89181.pdf 2020-06-29 Ariel Clean Energy, Inc. and Other Delinquent Issuers Revolution Lighting Technologies, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Santa Fe Gold Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89182 https://www.sec.gov/litigation/suspensions/2020/34-89182.pdf Order 2020-06-29 Ariel Clean Energy, Inc. and Other Delinquent Issuers Coates International Ltd. Clayton Approved Peirce Approved Roisman Approved Lee Approved Consorteum Holdings, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89183 https://www.sec.gov/litigation/admin/2020/34-89183.pdf 2020-06-29 Ariel Clean Energy, Inc. and Other Delinquent Issuers Coates International Ltd. Clayton Approved Peirce Approved Roisman Approved Lee Approved Consorteum Holdings, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89184 https://www.sec.gov/rules/exorders/2020/34-89184.pdf 2020-06-29 Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Order Under Section 17(h)(4) of the Securities Exchange Act of 1934 Granting Exemption from Rule 17h-1T and Rule 17h-2T for Certain Broker-Dealers Maintaining Capital, Including Subordinated Debt of Greater than $20 Million but Less than $50 Million Clayton Approved Peirce Approved Roisman Approved Lee Not Approved 33-10794 https://www.sec.gov/litigation/admin/2020/33-10794.pdf 2020-06-30 OvaScience, Inc. Dipp, Michelle Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10795 https://www.sec.gov/litigation/admin/2020/33-10795.pdf 2020-06-30 Potamus Trading LLC Potamus Trading LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved Pritchett, Eric J. Clayton Approved Peirce Approved with Exception Approved except as to the penny stock suspension Roisman Approved Lee Approved 34-89195 https://www.sec.gov/litigation/admin/2020/34-89195.pdf 2020-06-30 UBS Financial Services Inc. of Puerto Rico Fair Fund UBS Financial Services Inc. of Puerto Rico Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89198 https://www.sec.gov/litigation/admin/2020/34-89198.pdf 2020-06-30 Ariel Clean Energy, Inc. and Other Delinquent Issuers Cyclone Power Technologies, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Ecolocap Solutions, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89200 https://www.sec.gov/litigation/admin/2020/34-89200.pdf 2020-06-30 Apex Fair Fund Apex Fund Services (US), Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89201 https://www.sec.gov/litigation/admin/2020/34-89201.pdf 2020-06-30 Morgan Stanley Fair Fund Morgan Stanley and Co. LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved Morgan Stanley ABS Capital I Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Morgan Stanley Mortgage Capital Holdings LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89202 https://www.sec.gov/litigation/suspensions/2020/34-89202.pdf Order 2020-06-30 Ariel Clean Energy, Inc. and Other Delinquent Issuers Cyclone Power Technologies, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Ecolocap Solutions, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89203 https://www.sec.gov/litigation/suspensions/2020/34-89203.pdf Order 2020-06-30 Ariel Clean Energy, Inc. and Other Delinquent Issuers eFleets Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Eos Petro, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89204 https://www.sec.gov/litigation/admin/2020/34-89204.pdf 2020-06-30 Ariel Clean Energy, Inc. and Other Delinquent Issuers eFleets Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Eos Petro, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89111 https://www.sec.gov/litigation/admin/2020/34-89111.pdf 2020-06-22 Possible Manipulative Schemes Involving Microcap and Other Securities Ledvina, Matthew, Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-89112 https://www.sec.gov/litigation/admin/2020/34-89112.pdf 2020-06-22 The Visium Fair Fund Visium Asset Management, LP Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89113 https://www.sec.gov/litigation/admin/2020/34-89113.pdf 2020-06-22 BKS Advisors, LLC & Roger T. Denha BKS Advisors LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved Denha, Roger T. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89121 https://www.sec.gov/litigation/opinions/2020/34-89121.pdf 2020-06-22 Gregory Acosta Acosta, Gregory Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89122 https://www.sec.gov/litigation/suspensions/2020/34-89122.pdf Order 2020-06-22 Blackhawk Growth Corp. Blackhawk Growth Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10793 https://www.sec.gov/litigation/admin/2020/33-10793.pdf 2020-06-23 American Realty Capital Properties Inc. VEREIT, Inc. Clayton Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved 34-89135 https://www.sec.gov/litigation/admin/2020/34-89135.pdf 2020-06-23 Trinity Capital Corporation; William C. Enloe Trinity Capital Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Enloe, William C. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89139 https://www.sec.gov/litigation/admin/2020/34-89139.pdf 2020-06-24 Ferran Global Holdings, Inc. Lahr, Todd H., Esq. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89143 https://www.sec.gov/litigation/admin/2020/34-89143.pdf 2020-06-24 Blue Sheet Data Misreporting SG Americas Securities, LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89144 https://www.sec.gov/litigation/admin/2020/34-89144.pdf 2020-06-24 Madison Timber Properties, LLC Billings, Michael Douglas Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved MDB Group, LLC Clayton Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-89149 https://www.sec.gov/litigation/admin/2020/34-89149.pdf 2020-06-25 Novartis AG Novartis AG Clayton Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Roisman Approved Lee Approved 34-89157 https://www.sec.gov/litigation/opinions/2020/34-89157.pdf 2020-06-25 ABN AMROClearing Chicago LLC ABN AMRO Clearing Chicago LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89159 https://www.sec.gov/litigation/admin/2020/34-89159.pdf 2020-06-25 Stokes, Dain Stokes, Dain F. Clayton Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved 34-89161 https://www.sec.gov/litigation/opinions/2020/34-89161.pdf 2020-06-25 Jonathan Edward Graham Graham, Jonathan Edward Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89170 https://www.sec.gov/rules/exorders/2020/34-89170.pdf 2020-06-26 Extension of Temporary Emergency Regulatory Relief for Transfer Agents and Other Persons Affected by the Coronavirus Disease 2019 (COVID-19) Order Under Section 17A and Section 36 of the Securities Exchange Act of 1934 Extending Temporary Exemptions From Specified Provisions of the Exchange Act and Certain Rules Thereunder Clayton Not Participating Peirce Approved Roisman Approved Lee Approved BHCA-9 https://www.sec.gov/rules/final/2020/bhca-9.pdf 2020-06-25 Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Prohibitions and Restrictions on Proprietary Trading and Certain Interests in, and Relationships With, Hedge Funds and Private Equity Funds Clayton Approved Peirce Approved Roisman Approved Lee Not Approved 34-89074 https://www.sec.gov/rules/exorders/2020/34-89074.pdf 2020-06-16 Emergency Temporary Conditional Regulatory Relief for Municipal Advisors from the Broker Registration Requirements for Certain Activities in Connection with Direct Placements Order Granting a Temporary Conditional Exemption from the Broker Registration Requirements of Section 15(a) of the Securities Exchange Act of 1934 for Certain Activities of Registered Municipal Advisors Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89078 https://www.sec.gov/litigation/admin/2020/34-89078.pdf 2020-06-16 RJL Companies, Inc. Lucia, Raymond J., Sr. Clayton Approved Peirce Approved Roisman Approved Lee Approved Raymond J. Lucia Companies, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved IA-5524 https://www.sec.gov/litigation/admin/2020/ia-5524.pdf 2020-06-17 Sultan S. Issa, CPA Issa, Sultan S., CPA Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89094 https://www.sec.gov/litigation/admin/2020/34-89094.pdf 2020-06-18 Orion Global Corp. Harrison, Diane J., Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-89096 https://www.sec.gov/litigation/admin/2020/34-89096.pdf 2020-06-18 Harbour Investments, Inc. Harbour Investments, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89098 https://www.sec.gov/litigation/opinions/2020/34-89098.pdf 2020-06-18 Stephen Robert Williams Williams, Stephen Robert Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89105 https://www.sec.gov/litigation/opinions/2020/34-89105.pdf 2020-06-19 Bruce Zipper and Dakota Securities International Zipper, Bruce Clayton Approved Peirce Approved Roisman Approved Lee Approved Dakota Securities International, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved IC-33897 https://www.sec.gov/rules/exorders/2020/ic-33897.pdf 2020-06-19 Order Extending Time Period for In-person Board Relief for Registered Management Investment Companies and Business Development Companies Affected by COVID-19 IC Act; COVID-19; Order Under Section 6(C) and Section 38(A) of The Investment Company Act of 1940 Granting Exemptions from Sections 15(C) and 32(A) of The Investment Company Act and Rules 12b-1(B)(2) and 15a4(B)(2)(Ii) Thereunder Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89100 https://www.sec.gov/rules/other/2020/34-89100.pdf 2020-06-19 Credit Risk Retention - Notice of Commencement of Review; Extension of Review Period Credit Risk Retention - Notice of Commencement of Review; Extension of Review Period Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89029 https://www.sec.gov/litigation/opinions/2020/34-89029.pdf 2020-06-08 Commonwealth Capital Securities Corp. Commonwealth Capital Securities Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89033 https://www.sec.gov/litigation/opinions/2020/34-89033.pdf 2020-06-09 Brendan D. Feitelberg Feitelberg, Brendan D. Clayton Approved Peirce Approved Roisman Approved Lee Approved SIPA-181 https://www.sec.gov/rules/other/2020/sipa-181.pdf 2020-06-09 Securities Investor Protection Corporation Proposed Bylaw Changes Relating to SIPC Board Compensation and SIPC Member Assessments Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change, as Revised by Amendment No.1, Relating to SIPC Board Compensation Clayton Approved Peirce Approved Roisman Approved Lee Approved SIPA-182 https://www.sec.gov/rules/other/2020/sipa-182.pdf 2020-06-09 Securities Investor Protection Corporation Proposed Bylaw Changes Relating to SIPC Board Compensation and SIPC Member Assessments Securities Investor Protection Corporation; Order Approving Proposed Bylaw Change Relating to SIPC Member Assessments Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89039 https://www.sec.gov/rules/sro/occ-an/2020/34-89039.pdf 2020-06-10 Advance Notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the Options Clearing Corporation concerning changes to OCC’s Non-Bank Liquidity Facility Program as part of its overall liquidity plan (File No. SR-OCC-2020-803) The Options Clearing Corporation; Notice of No Objection to Advance Notice Related to Changes to The Options Clearing Corporation’s Non-Bank Repo Facility Program as Part of Its Overall Liquidity Plan Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89051 https://www.sec.gov/rules/exorders/2020/34-89051.pdf 2020-06-11 Request for Exemptive Relief from Section 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail BOX Exchange, LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Cboe BYX Exchange, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Cboe BZX Exchange, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Cboe C2 Exchange, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Cboe EDGA Exchange, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Cboe EDGX Exchange, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Cboe Exchange, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Financial Industry Regulatory Authority, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Investors Exchange LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Long Term Stock Exchange, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Miami International Securities Exchange LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved MIAX Emerald, LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved MIAX PEARL, LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved NASDAQ BX, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Nasdaq GEMX, LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Nasdaq ISE, LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved Nasdaq MRX, LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved NASDAQ PHLX LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved The NASDAQ Stock Market LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved New York Stock Exchange LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved NYSE American LLC; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved NYSE Arca, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved NYSE Chicago, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved NYSE National, Inc.; Order Granting Conditional Exemptive Relief, Pursuant to Section 36 of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS under the Exchange Act, from Sections 6.4(d)(ii)(A)(2) and (B) of the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89052 https://www.sec.gov/rules/sro/nms/2020/34-89052.pdf 2020-06-11 Amendment to the National Market System Plan Governing the Consolidated Audit Trail Plan Governing the Consolidated Audit Trail Joint Industry Plan; Notice of Filing of Amendment to the National Market System Plan Governing the Consolidated Audit Trail by BOX Options Exchange LLC, Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Cboe C2 Options Exchange, Inc., Cboe Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors’ Exchange LLC, Long-Term Stock Exchange LLC, Miami International Securities Exchange, LLC, MIAX EMERALD, LLC, MIAX PEARL, LLC, Nasdaq BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, Nasdaq PHLX LLC, The Nasdaq Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE American, LLC, NYSE Chicago, Inc. and NYSE National, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10791 https://www.sec.gov/litigation/opinions/2020/33-10791.pdf 2020-06-12 Alexandre S. Clug, Aurum Mining, LLC, PanAm Terra, Inc., and The Corsair Group, Inc. Alexandre S. Clug Clayton Approved Peirce Approved Roisman Approved Lee Approved Aurum Mining, LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved PanAmTerra, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved The Corsair Group, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89054 https://www.sec.gov/litigation/opinions/2020/34-89054.pdf 2020-06-12 Cantone Research, Inc. Cantone Research, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Cantone, Anthony Clayton Approved Peirce Approved Roisman Approved Lee Approved Cantone, Christine Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89065 https://www.sec.gov/rules/sro/nysenat/2020/34-89065.pdf 2020-06-12 Request for Information and Additional Comment on a proposed rule change by NYSE National, Inc. to establish fees for the NYSE National Integrated Feed (File No. SR-NYSENAT-2020-05) NYSE National, Inc.; Request for Information and Additional Comment on a Proposed Rule Change to Establish Fees for the NYSE National Integrated Feed Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89066 https://www.sec.gov/rules/sro/nms/2020/34-89066.pdf 2020-06-12 Motion for Stay of May 6, 2020 Governance Order pending resolution of: THE NASDAQ STOCK MARKET LLC, NASDAQ BX, INC., and NASDAQ PHLX LLC v. SEC, No. 20-1181 (D.C. Cir., filed June 1, 2020). The NASDAQ Stock Market LLC; Order Denying Stay Clayton Approved Peirce Approved Roisman Approved Lee Approved NASDAQ BX, Inc.; Order Denying Stay Clayton Approved Peirce Approved Roisman Approved Lee Approved NASDAQ PHLX LLC; Order Denying Stay Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-88976 https://www.sec.gov/litigation/admin/2020/34-88976.pdf 2020-06-01 U.S. Bancorp Investments, Inc. U.S. Bancorp Investments, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10789 https://www.sec.gov/litigation/admin/2020/33-10789.pdf 2020-06-02 Bryan Funding, Inc. Vescio, William Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-88998 https://www.sec.gov/litigation/admin/2020/34-88998.pdf 2020-06-03 Airware Labs Corp. formerly known as Crown Dynamics Corp. Larson, Christopher D., CPA Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89004 https://www.sec.gov/rules/sro/occ-an/2020/34-89004.pdf 2020-06-04 Advance Notice Filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the Options Clearing Corporation related to proposed changes to the Options Clearing Corporation’s Framework for Liquidity Risk Management (File No. SR-OCC-2020-802) The Options Clearing Corporation; Notice of No Objection to Advance Notice Related to Proposed Changes to The Options Clearing Corporation’s Framework for Liquidity Risk Management Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89006 https://www.sec.gov/litigation/opinions/2020/34-89006.pdf 2020-06-04 David B. Tysk Tysk, David B. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89009 https://www.sec.gov/litigation/admin/2020/34-89009.pdf 2020-06-04 Argo Group International Holdings, Ltd. Argo Group International Holdings, Ltd. Clayton Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved 34-89013 https://www.sec.gov/litigation/admin/2020/34-89013.pdf 2020-06-04 Train, Babcock Advisors LLC Train, Babcock Advisors LLC Clayton Approved Stein Approved Piwowar Approved 33-10790 https://www.sec.gov/litigation/opinions/2020/33-10790.pdf 2020-06-05 John Thomas Capital Management Group LLC, d/b/a Patriot 28, LLC, and George R. Jarkesy Jr. John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved Jarkesy, George R., Jr. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89021 https://www.sec.gov/litigation/admin/2020/34-89021.pdf 2020-06-05 Behavioral Recognition Systems, Inc. Steele, Tamara Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89023 https://www.sec.gov/litigation/admin/2020/34-89023.pdf 2020-06-05 Illumina, Inc. Kiena, Jana Faith, CPA Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89024 https://www.sec.gov/litigation/admin/2020/34-89024.pdf 2020-06-05 Fifth Street Fair Fund Fifth Street Management, LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89025 https://www.sec.gov/litigation/admin/2020/34-89025.pdf 2020-06-05 JL Capital Management Fair Fund Licht, Jeremy A., d/b/a JL Capital Management Clayton Approved Peirce Approved Roisman Approved Lee Approved IA-5518 https://www.sec.gov/litigation/opinions/2020/ia-5518.pdf 2020-06-05 The Robare Group, et al. The Robare Group, Ltd. Clayton Approved Peirce Approved Roisman Approved Lee Approved Robare, Mark L. Clayton Approved Peirce Approved Roisman Approved Lee Approved Jones, Jack L., Jr. Clayton Approved Peirce Approved Roisman Approved Lee Approved IA-5519 https://www.sec.gov/litigation/admin/2020/ia-5519.pdf 2020-06-05 Dutchess Capital Management LLC Leighton, Douglas Clayton Approved Peirce Approved Roisman Approved Lee Approved