2021-05-13 August 2020 105 34-89686 https://www.sec.gov/rules/sro/iex/2020/34-89686.pdf 2020-08-26 Advance Notices, as Modified by Amendments No. 1, filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the Fixed Income Clearing Corporation and the National Securities Clearing Corporation to Introduce the Margin Liquidity Adjustment Charge and Include a Bid-Ask Risk Charge in the VaR Charge Investors Exchange LLC; Order Approving a Proposed Rule Change to Add a New Discretionary Limit Order Type Called D-Limit ClaytonApproved PeirceApproved RoismanApproved LeeApproved CrenshawApproved 34-89714 https://www.sec.gov/litigation/admin/2020/34-89714.pdf 2020-08-31 Affiliated Food Stores, Inc., et al. Northsight Capital, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89715 https://www.sec.gov/litigation/suspensions/2020/34-89715.pdf Order 2020-08-31 Affiliated Food Stores, Inc., et al. Northsight Capital, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89716 https://www.sec.gov/litigation/admin/2020/34-89716.pdf 2020-08-31 Affiliated Food Stores, Inc., et al. Oncolix, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89717 https://www.sec.gov/litigation/suspensions/2020/34-89717.pdf Order 2020-08-31 Affiliated Food Stores, Inc., et al. Oncolix, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89714 https://www.sec.gov/litigation/admin/2020/34-89714.pdf 2020-08-31 Affiliated Food Stores, Inc., et al. Northsight Capital, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89715 https://www.sec.gov/litigation/suspensions/2020/34-89715.pdf Order 2020-08-31 Affiliated Food Stores, Inc., et al. Northsight Capital, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89716 https://www.sec.gov/litigation/admin/2020/34-89716.pdf 2020-08-31 Affiliated Food Stores, Inc., et al. Oncolix, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89717 https://www.sec.gov/litigation/suspensions/2020/34-89717.pdf Order 2020-08-31 Affiliated Food Stores, Inc., et al. Oncolix, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89642 https://www.sec.gov/litigation/admin/2020/34-89642.pdf 2020-08-24 THT Heat Transfer Technology, Inc. THT Heat Transfer Technology, Inc. Clayton Not Participating Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89643 https://www.sec.gov/litigation/suspensions/2020/34-89643.pdf Order 2020-08-24 THT Heat Transfer Technology, Inc. THT Heat Transfer Technology, Inc. Clayton Not Participating Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89644 https://www.sec.gov/litigation/admin/2020/34-89644.pdf 2020-08-24 Digiliti Money Group, Inc. Digiliti Money Group, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89645 https://www.sec.gov/litigation/suspensions/2020/34-89645.pdf Order 2020-08-24 Digiliti Money Group, Inc. Digiliti Money Group, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89647 https://www.sec.gov/litigation/admin/2020/34-89647.pdf 2020-08-24 Certain Unregistered Securities Transactions Tenhulzen, Dale Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10822 https://www.sec.gov/litigation/admin/2020/33-10822.pdf 2020-08-25 Super Micro Computer, Inc. Super Micro Computer, Inc. Clayton Approved Peirce Approved with Exception Approved except as to the penalty and 17(a)(2) charge Roisman Approved Lee Approved Crenshaw Approved 34-89646 https://www.sec.gov/litigation/suspensions/2020/34-89646.pdf Order 2020-08-25 Rising Biosciences, Inc. Rising Biosciences, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89648 https://www.sec.gov/litigation/admin/2020/34-89648.pdf 2020-08-25 Affiliated Food Stores, Inc., et al. MC Informatics, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89649 https://www.sec.gov/litigation/admin/2020/34-89649.pdf 2020-08-25 Affiliated Food Stores, Inc., et al. Celebiddy, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89650 https://www.sec.gov/litigation/admin/2020/34-89650.pdf 2020-08-25 Affiliated Food Stores, Inc., et al. Billion Holding Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89657 https://www.sec.gov/litigation/admin/2020/34-89657.pdf 2020-08-25 Super Micro Computer, Inc. Hideshima, Howard Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89658 https://www.sec.gov/litigation/admin/2020/34-89658.pdf 2020-08-25 Super Micro Computer, Inc. Liang, Charles Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89660 https://www.sec.gov/litigation/admin/2020/34-89660.pdf 2020-08-25 Affiliated Food Stores, Inc., et al. Agora Holdings, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89661 https://www.sec.gov/litigation/suspensions/2020/34-89661.pdf Order 2020-08-25 Affiliated Food Stores, Inc., et al. Agora Holdings, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89665 https://www.sec.gov/litigation/admin/2020/34-89665.pdf 2020-08-25 Affiliated Food Stores, Inc., et al. All Marketing Solutions, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89666 https://www.sec.gov/litigation/suspensions/2020/34-89666.pdf Order 2020-08-25 Affiliated Food Stores, Inc., et al. All Marketing Solutions, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10823 https://www.sec.gov/rules/other/2020/33-10823.pdf 2020-08-26 Amending the “Accredited Investor” Definition Order Designating Certain Professional Licenses as Qualifying Natural Persons for Accredited Investor Status Pursuant to Rule 501(a)(10) under the Securities Act of 1933 Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved 33-10826 https://www.sec.gov/rules/other/2020/33-10826.pdf 2020-08-26 Order Making Fiscal Year 2021 Annual Adjustments to the Fee Rates Applicable Under Section 6(b) of the Securities Act of 1933 and Sections 13(e) and 14(g) of the Securities Exchange Act of 1934. Fiscal Year 2021 Annual Adjustments to Registration Fee Rates Applicable Under Section 6(b) Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10827 https://www.sec.gov/litigation/opinions/2020/33-10827.pdf 2020-08-26 Axesstel, Inc. et al Canso Enterprises, Ltd. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Privoz Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Universal Movers Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Lorilay Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Formous Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Lion Print Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89672 https://www.sec.gov/litigation/opinions/2020/34-89672.pdf 2020-08-26 Axesstel, Inc. et al Axesstel, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89675 https://www.sec.gov/litigation/opinions/2020/34-89675.pdf 2020-08-26 Axesstel, Inc. et al GS Enviroservices, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IPOWorld Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Parabel, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89676 https://www.sec.gov/litigation/opinions/2020/34-89676.pdf 2020-08-26 ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89677 https://www.sec.gov/litigation/admin/2020/34-89677.pdf 2020-08-26 BorgWarner Inc. BorgWarner Inc. Clayton Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved with Exception Approved except as to the penalty Lee Approved Crenshaw Approved 34-89680 https://www.sec.gov/litigation/admin/2020/34-89680.pdf 2020-08-26 Affiliated Food Stores, Inc., et al. Spindle, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89681 https://www.sec.gov/litigation/admin/2020/34-89681.pdf 2020-08-26 Affiliated Food Stores, Inc., et al. ForeverGreen Worldwide Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89682 https://www.sec.gov/litigation/suspensions/2020/34-89682.pdf Order 2020-08-26 Affiliated Food Stores, Inc., et al. Spindle, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89683 https://www.sec.gov/litigation/suspensions/2020/34-89683.pdf Order 2020-08-26 Affiliated Food Stores, Inc., et al. ForeverGreen Worldwide Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89685 https://www.sec.gov/litigation/opinions/2020/34-89685.pdf 2020-08-26 Alpine Securities Corporation and Scottsdale Capital Advisors Corp. Alpine Securities Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Scottsdale Capital Advisors Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10828 https://www.sec.gov/litigation/admin/2020/33-10828.pdf 2020-08-27 America Northcoast Securities, Inc. Barone, Christopher R. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89687 https://www.sec.gov/litigation/admin/2020/34-89687.pdf 2020-08-27 VStock Transfer LLC VStock Transfer LLC Clayton Approved Peirce Approved with Exception Approved except as to the 17Ad-2(c) charge Roisman Approved Lee Approved Crenshaw Approved 34-89688 https://www.sec.gov/litigation/admin/2020/34-89688.pdf 2020-08-27 Affiliated Food Stores, Inc., et al. ICTV Brands Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89689 https://www.sec.gov/litigation/suspensions/2020/34-89689.pdf Order 2020-08-27 Affiliated Food Stores, Inc., et al. ICTV Brands Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89690 https://www.sec.gov/litigation/admin/2020/34-89690.pdf 2020-08-27 Affiliated Food Stores, Inc., et al. InventaBioTech Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89691 https://www.sec.gov/litigation/suspensions/2020/34-89691.pdf Order 2020-08-27 Affiliated Food Stores, Inc., et al. InventaBioTech Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89696 https://www.sec.gov/litigation/admin/2020/34-89696.pdf 2020-08-27 Affiliated Food Stores, Inc., et al. WeedClub, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89697 https://www.sec.gov/litigation/admin/2020/34-89697.pdf 2020-08-27 Affiliated Food Stores, Inc., et al. American Blockchain Biochar Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89698 https://www.sec.gov/litigation/admin/2020/34-89698.pdf 2020-08-27 Affiliated Food Stores, Inc., et al. Terra Telecommunications Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89699 https://www.sec.gov/litigation/admin/2020/34-89699.pdf 2020-08-27 America Northcoast Securities, Inc. Barone, Richard A. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89701 https://www.sec.gov/litigation/admin/2020/34-89701.pdf 2020-08-27 Affiliated Food Stores, Inc., et al. Affiliated Food Stores, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89702 https://www.sec.gov/litigation/admin/2020/34-89702.pdf 2020-08-27 Affiliated Food Stores, Inc., et al. GrandBanc, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5566 https://www.sec.gov/litigation/admin/2020/ia-5566.pdf 2020-08-27 Aldo Marchena Marchena, Aldo Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89704 https://www.sec.gov/litigation/admin/2020/34-89704.pdf 2020-08-28 Herbalife Herbalife Nutrition Ltd. Clayton Approved Peirce Approved with Exception Approved except as to the disgorgement Roisman Approved Lee Approved Crenshaw Approved 34-89711 https://www.sec.gov/litigation/admin/2020/34-89711.pdf 2020-08-28 Bankrate, Inc. Bankrate, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Lerner, Hyunjin, CPA Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89572 https://www.sec.gov/litigation/opinions/2020/34-89572.pdf 2020-08-17 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Caleminder Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Hyperfeed Technologies, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved ASN Satellites, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89573 https://www.sec.gov/litigation/opinions/2020/34-89573.pdf 2020-08-17 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Aramex International Limited Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89587 https://www.sec.gov/litigation/suspensions/2020/34-89587.pdf Order 2020-08-17 Mansfield-Martin Exploration & Mining, Inc. & Certain Other Microcap Issuers Global Resource Energy, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89588 https://www.sec.gov/litigation/admin/2020/34-89588.pdf 2020-08-17 deVere USA, Inc. Fair Fund deVere USA, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89604 https://www.sec.gov/litigation/opinions/2020/34-89604.pdf 2020-08-18 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing BTHC X, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89606 https://www.sec.gov/litigation/opinions/2020/34-89606.pdf 2020-08-18 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing BCI Holding Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Bulova Technologies Group, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Omni Bio Pharmaceutical, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89609 https://www.sec.gov/litigation/opinions/2020/34-89609.pdf 2020-08-19 Gopi Krishna Vungarala Vungarala, Gopi Krishna Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89619 https://www.sec.gov/litigation/opinions/2020/34-89619.pdf 2020-08-19 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Rolling Pin Kitchen Emporium, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Speed of Thought, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89620 https://www.sec.gov/litigation/opinions/2020/34-89620.pdf 2020-08-19 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Fighton Succession Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Grand Enterprises, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89624 https://www.sec.gov/litigation/admin/2020/34-89624.pdf 2020-08-20 NPB Financial Group, LLC NPB Financial Group, LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89626 https://www.sec.gov/litigation/opinions/2020/34-89626.pdf 2020-08-20 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Ceetop Inc. n/k/a S.Q. Hydrogen Power, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved China Internet Café Holdings Group, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Starlight Supply Chain Management Company Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89627 https://www.sec.gov/litigation/suspensions/2020/34-89627.pdf Order 2020-08-20 Lord Global Corp. Lord Global Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89628 https://www.sec.gov/litigation/opinions/2020/34-89628.pdf 2020-08-20 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Sweetwater Investing, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Thunor International, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89630 https://www.sec.gov/litigation/opinions/2020/34-89630.pdf 2020-08-21 Southeast Investments, N.C., Inc. and Frank Harmon Black Southeast Investments, N.C., Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Black, Frank Harmon Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89634 https://www.sec.gov/litigation/opinions/2020/34-89634.pdf 2020-08-21 Bruce Zipper and Dakota Securities International Zipper, Bruce Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Dakota Securities International, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89510 https://www.sec.gov/litigation/admin/2020/34-89510.pdf 2020-08-10 Interactive Brokers Interactive Brokers LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89515 https://www.sec.gov/rules/sro/occ-an/2020/34-89515.pdf 2020-08-10 Advance Notice Filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the Options Clearing Corporation regarding Concerning Proposed Changes to Enhance OCC’s Stock Loan Close-Out Process (File No. SR-OCC-2020-805) The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Proposed Changes to Enhance OCC’s Stock Loan CloseOut Process Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89517 https://www.sec.gov/litigation/admin/2020/34-89517.pdf 2020-08-10 Scottrade, Inc. Scrivener, Nicholas Mejia Clayton Approved Peirce Not Approved Roisman Approved Lee Approved 34-89533 https://www.sec.gov/litigation/opinions/2020/34-89533.pdf 2020-08-12 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Agritech Worldwide, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Dominovas Energy Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89535 https://www.sec.gov/litigation/opinions/2020/34-89535.pdf 2020-08-12 United Development Funding III, LP, United Development Funding IV, and United Development Funding Income Fund V United Development Funding III, LP Clayton Approved Peirce Approved Roisman Approved Lee Approved United Development Funding IV Clayton Approved Peirce Approved Roisman Approved Lee Approved United Development Funding Income Fund V Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89538 https://www.sec.gov/litigation/opinions/2020/34-89538.pdf 2020-08-12 Alpine Securities Corporation and Scottsdale Capital Advisors Corp. Alpine Securities Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Scottsdale Capital Advisors Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10817 https://www.sec.gov/litigation/admin/2020/33-10817.pdf 2020-08-13 Boon.Tech Kelvin Boon, LLC Clayton Approved Peirce Approved with Exception Approved except as to the disgorgement and an undertaking Roisman Approved Lee Approved Pavithran, Rajesh Clayton Approved Peirce Approved with Exception Approved except as to an undertaking Roisman Approved Lee Approved 33-10818 https://www.sec.gov/litigation/admin/2020/33-10818.pdf 2020-08-13 Joseph Stone Capital, LLC Gaylor, Garrett Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89544 https://www.sec.gov/litigation/opinions/2020/34-89544.pdf 2020-08-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Daleco Resources Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89546 https://www.sec.gov/litigation/opinions/2020/34-89546.pdf 2020-08-13 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing American Rare Earths and Materials, Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved SpendSmart Networks, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89552 https://www.sec.gov/litigation/admin/2020/34-89552.pdf 2020-08-13 Breitling Oil & Gas Corporation Matlock, Brian Dee, CPA Clayton Approved Peirce Approved with Exception Approved except as to the 102(e) bar Roisman Approved Lee Approved IA-5560 https://www.sec.gov/litigation/admin/2020/ia-5560.pdf 2020-08-13 SCF Investment Advisors, Inc. SCF Investment Advisors, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10819 https://www.sec.gov/litigation/opinions/2020/33-10819.pdf 2020-08-14 Alexandre S. Clug, Aurum Mining, LLC, PanAm Terra, Inc., and The Corsair Group, Inc. Clug, Alexandre S. Clayton Approved Peirce Approved Roisman Approved Lee Approved Aurum Mining, LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved PanAm Terra, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved The Corsair Group, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10820 https://www.sec.gov/litigation/opinions/2020/33-10820.pdf 2020-08-14 James A. Winkelmann Sr. and Blue Ocean Portfolios LLC Winkelmann, James A. Sr. Clayton Approved Peirce Approved Roisman Approved Lee Approved Blue Ocean Portfolios, LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89568 https://www.sec.gov/litigation/admin/2020/34-89568.pdf 2020-08-14 Possible Manipulative Schemes Involving Microcap and Other Securities Patel, Milan K., Esq. Clayton Approved Jackson Approved Peirce Approved Roisman Approved Lee Approved 34-89570 https://www.sec.gov/litigation/opinions/2020/34-89570.pdf 2020-08-14 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Alife Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Feather Valley Financial Ltd. Clayton Approved Peirce Approved Roisman Approved Lee Approved Budget Group Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89571 https://www.sec.gov/litigation/opinions/2020/34-89571.pdf 2020-08-14 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Aroga Holding Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Global Sources Limited Clayton Approved Peirce Approved Roisman Approved Lee Approved United States Properties, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10813 https://www.sec.gov/litigation/opinions/2020/33-10813.pdf 2020-08-03 Edward M. Daspin Daspin, Edward M. a/k/a Edward (ED) Michael Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89473 https://www.sec.gov/litigation/opinions/2020/34-89473.pdf 2020-08-04 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Electronic Cigarettes International Group, Ltd. Clayton Approved Peirce Approved Roisman Approved Lee Approved Seaniemac International, Ltd. Clayton Approved Peirce Approved Roisman Approved Lee Approved Ziwira, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89474 https://www.sec.gov/litigation/opinions/2020/34-89474.pdf 2020-08-04 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing American Business Services, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Soul & Vibe Interactive Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89475 https://www.sec.gov/litigation/admin/2020/34-89475.pdf 2020-08-04 Petition of Tommy Shek, CPA for reinstatement Shek, Tommy, CPA Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10814 https://www.sec.gov/rules/proposed/2020/33-10814.pdf 2020-08-05 Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10815 https://www.sec.gov/litigation/opinions/2020/33-10815.pdf 2020-08-05 John Thomas Capital Management Group LLC, d/b/a Patriot 28 LLC, and George R. Jarkesy Jr. John Thomas Capital Management Group LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved Jarkesy, George R. Jr. Clayton Approved Peirce Approved Roisman Approved Lee Approved 33-10816 https://www.sec.gov/litigation/admin/2020/33-10816.pdf 2020-08-05 Fusion Pharm, Inc.; Scott M. Dittman, CPA Dittman, Scott M., CPA Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89477 https://www.sec.gov/litigation/admin/2020/34-89477.pdf 2020-08-05 Randolph Acquisitions, Inc. Randolph Acquisitions, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89481 https://www.sec.gov/litigation/admin/2020/34-89481.pdf 2020-08-05 Certain Payment for Order Flow Practices WBI Investments, Inc. Clayton Approved Peirce Approved with exception Approved except as to the penalty Roisman Approved Lee Approved Millington Securities, Inc. Clayton Approved Peirce Approved with exception Approved except as to the penalty Roisman Approved Lee Approved 34-89486 https://www.sec.gov/litigation/opinions/2020/34-89486.pdf 2020-08-05 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Arabella Exploration, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89487 https://www.sec.gov/litigation/opinions/2020/34-89487.pdf 2020-08-05 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Axiom Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89489 https://www.sec.gov/litigation/admin/2020/34-89489.pdf 2020-08-06 World Acceptance Corporation World Acceptance Corporation Clayton Approved Peirce Approved with Exception Approved except as to the disgorgement and prejudgment interest Roisman Approved Lee Approved 34-89495 https://www.sec.gov/litigation/opinions/2020/34-89495.pdf 2020-08-06 Consolidated Arbitration Applications Sullivan, Timothy Charles Clayton Approved Peirce Approved Roisman Approved Lee Approved Rosenthal, William Burk Clayton Approved Peirce Approved Roisman Approved Lee Approved Kaplow, Bart Steven Clayton Approved Peirce Approved Roisman Approved Lee Approved Cole, Daryl Andrew Clayton Approved Peirce Approved Roisman Approved Lee Approved Cuenca, Frank Augustine Clayton Approved Peirce Approved Roisman Approved Lee Approved Jackson, Curt Charles Clayton Approved Peirce Approved Roisman Approved Lee Approved Mosely, Brock Clayton Approved Peirce Approved Roisman Approved Lee Approved Wetzel, Ronald R. Clayton Approved Peirce Approved Roisman Approved Lee Approved Ramsay, Peter Ashley Clayton Approved Peirce Approved Roisman Approved Lee Approved Wojnowski, Donald Anthony Clayton Approved Peirce Approved Roisman Approved Lee Approved Rottler, Mark Vernon Clayton Approved Peirce Approved Roisman Approved Lee Approved Gordinier, Carl G. Clayton Approved Peirce Approved Roisman Approved Lee Approved Waring, Jordan Whitney Clayton Approved Peirce Approved Roisman Approved Lee Approved Pearce, Kent Clayton Approved Peirce Approved Roisman Approved Lee Approved Rossi, Vincent Harl Clayton Approved Peirce Approved Roisman Approved Lee Approved Murphy, Michael Patrick Clayton Approved Peirce Approved Roisman Approved Lee Approved Shulman, Scott Clayton Approved Peirce Approved Roisman Approved Lee Approved Davis, Alton Theodore Jr. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89503 https://www.sec.gov/litigation/opinions/2020/34-89503.pdf 2020-08-07 Securities Industry and Financial Markets Association and Bloomberg, L.P. Securities Industry and Financial Markets Association Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89504 https://www.sec.gov/litigation/opinions/2020/34-89504.pdf 2020-08-07 Securities Industry and Financial Markets Association and Bloomberg, L.P. Securities Industry and Financial Markets Association Clayton Approved Peirce Approved Roisman Approved Lee Approved Bloomberg, L.P. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89505 https://www.sec.gov/litigation/opinions/2020/34-89505.pdf 2020-08-07 David B. Tysk Tysk, David B. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89506 https://www.sec.gov/litigation/opinions/2020/34-89506.pdf 2020-08-07 J.W. Korth & Company, LP J.W. Korth & Company, LP Clayton Approved Peirce Approved Roisman Approved Lee Approved IA-5558 https://www.sec.gov/litigation/admin/2020/ia-5558.pdf 2020-08-07 Rialto Capital Management, LLC Rialto Capital Management, LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved IA-5559 https://www.sec.gov/litigation/opinions/2020/ia-5559.pdf 2020-08-07 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 33-10814 https://www.sec.gov/rules/proposed/2020/33-10814.pdf 2020-08-05 Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements Tailored Shareholder Reports, Treatment of Annual Prospectus Updates for Existing Investors, and Improved Fee and Risk Disclosure for Mutual Funds and Exchange-Traded Funds; Fee Information in Investment Company Advertisements Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-89618 https://www.sec.gov/rules/final/2020/34-89618.pdf 2020-08-19 Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments Rescission of Effective-Upon-Filing Procedure for NMS Plan Fee Amendments and Modified Procedures for Proposed NMS Plans and Plan Amendments Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-89632 https://www.sec.gov/rules/proposed/2020/34-89632.pdf 2020-08-21 Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security Amendments to the National Market System Plan Governing the Consolidated Audit Trail to Enhance Data Security Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10821 https://www.sec.gov/rules/proposed/2020/33-10821.pdf 2020-08-21 Administration of the Electronic Data Gathering, Analysis, and Retrieval System Administration of the Electronic Data Gathering, Analysis, and Retrieval System Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10824 https://www.sec.gov/rules/final/2020/33-10824.pdf 2020-08-26 Amending the “Accredited Investor” Definition Amending the “Accredited Investor” Definition Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved 33-10825 https://www.sec.gov/rules/final/2020/33-10825.pdf 2020-08-26 Modernization of Regulation S-K Items 101, 103, and 105 Modernization of Regulation S-K Items 101, 103, and 105 Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved 33-10829 https://www.sec.gov/rules/interim/2020/33-10829.pdf 2020-08-26 Temporary Amendments to Regulation Crowdfunding; Extension Temporary Amendments to Regulation Crowdfunding; Extension Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved