2021-02-03 January 2021 56 33-10922 https://www.sec.gov/litigation/opinions/2021/33-10922.pdf 2021-01-25 Timothy W. Carnahan and CYIOS Corporation Carnahan, Timothy W. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved CYIOS Corporation Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90976 https://www.sec.gov/litigation/opinions/2021/34-90976.pdf 2021-01-25 Edward Beyn and Craig S. Taddonio Beyn, Edward Roisman Approved Peirce Approved Lee Approved Crenshaw Approved Taddonio, Craig S. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90978 https://www.sec.gov/litigation/opinions/2021/34-90978.pdf 2021-01-25 Digital Brand Media & Marketing Group, Inc. Digital Brand Media & Marketing Group, Inc. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90979 https://www.sec.gov/litigation/opinions/2021/34-90979.pdf 2021-01-25 Laurie Bebo and John Buono, CPA Bebo, Laurie Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90992 https://www.sec.gov/litigation/opinions/2021/34-90992.pdf 2021-01-26 Bradley C. Reifler Reifler, Bradley C. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-90998 https://www.sec.gov/litigation/opinions/2021/34-90998.pdf 2021-01-27 Piedmont Mining Company, Inc. and Rainbow Coral Corp. Piedmont Mining Company, Inc. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved Rainbow Coral Corp. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 33-10923 https://www.sec.gov/rules/other/2021/33-10923.pdf 2021-01-28 Review of the 2021 accounting support fee for the Financial Accounting Standards Board FASB 2021 Accounting Support Fee Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-91020 https://www.sec.gov/litigation/admin/2021/34-91020.pdf 2021-01-29 Smart Initiatives, LLC Johnson, Anthony Todd Lee Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Crenshaw Approved 34-91021 https://www.sec.gov/litigation/admin/2021/34-91021.pdf 2021-01-29 Smart Initiatives, LLC Johnson, Jeremy Lee Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Crenshaw Approved 34-91022 https://www.sec.gov/litigation/admin/2021/34-91022.pdf 2021-01-29 Smart Initiatives, LLC Green Bud Initiatives LLC Lee Approved Peirce Approved Roisman Approved Crenshaw Approved IA-5675 https://www.sec.gov/litigation/admin/2021/ia-5675.pdf 2021-01-29 Essex Capital Corp. Van Wyk, Gregory Daniel Lee Approved Peirce Approved Roisman Approved Crenshaw Approved Daniel Investment Associates, LLC Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-90940 https://www.sec.gov/litigation/suspensions/2021/34-90940.pdf Order 2021-01-19 View Systems, Inc. View Systems, Inc. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90958 https://www.sec.gov/litigation/opinions/2021/34-90958.pdf 2021-01-21 Certain Exchange Act Section 12(j) proceedings Dynamic Enviro Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved United Restaurant Group International, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90959 https://www.sec.gov/litigation/admin/2021/34-90959.pdf 2021-01-21 Dominick & Dominick LLC and Robert X. Reilly Dominick & Dominick LLC Roisman Approved Peirce Approved Lee Approved Crenshaw Approved Reilly, Robert X. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90961 https://www.sec.gov/litigation/opinions/2021/34-90961.pdf 2021-01-21 Certain Exchange Act Section 12(j) proceedings Oceanus Acquisition Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Pinkbrick Holdings Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Puravita Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IC-34176 https://www.sec.gov/rules/ic/2021/ic-34176.pdf 2021-01-21 Application of KKR Registered Advisor LLC and KKR Real Estate Select Trust Inc. under section 6(c) of the Investment Company Act of 1940 for an exemption from section 23(a)(1) of the Act to permit closed-end investment companies that are registered or that have elected to be regulated as business development companies to pay advisory fees in shares of their common stock KKR Registered Advisor LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Not Approved KKR Real Estate Select Trust Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Not Approved IC-34180 https://www.sec.gov/rules/ic/2021/ic-34180.pdf 2021-01-21 Application of J.P. Morgan Investment Management Inc. and each registered open-end management investment company listed in Exhibit A thereto under section 6(c) of the Investment Company Act of 1940 for an exemption from rules 22e-4(a)(6), 22e-4(a)(8), 22e-4(a)(10), 22e-4(a)(12), 22e-4(b)(1)(ii), 22e-4(b)(1)(iii), and 22e-4(b)(1)(iv) under the Act, and for an exemption from Items B.7, B.8 and C.7 of Form N-PORT and from Parts B through D of Form N-LIQUID, to rely on a liquidity risk management program that is not fully compliant with those provisions JPMORGAN TRUST I Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved JPMORGAN TRUST II Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved JPMORGAN TRUST IV Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved JPMORGAN INSURANCE TRUST Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved JPMORGAN INSTITUTIONAL TRUST Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved J.P. MORGAN FLEMING MUTUAL FUND GROUP, INC. Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved J. P. MORGAN MUTUAL FUND INVESTMENT TRUST Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved J. P. MORGAN EXCHANGE-TRADED FUND TRUST UNDISCOVERED MANAGER FUNDS Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved J. P. MORGAN INVESTMENT MANAGEMENT INC. Clayton Approved Peirce Approved Roisman Approved Lee Not Approved Crenshaw Not Approved 34-90972 https://www.sec.gov/litigation/opinions/2021/34-90972.pdf 2021-01-22 Certain Exchange Act Section 12(j) proceedings Performance Capital Management, LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Silicon Mountain Holdings, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90884 https://www.sec.gov/litigation/opinions/2021/34-90884.pdf 2021-01-11 Scottsdale Capital Advisors Corporation, et al. Scottsdale Capital Advisors Corporation Roisman Approved Peirce Approved Lee Approved Crenshaw Approved Hurry, John J. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved DiBlasi, Timothy B. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved Cruz, D. Michael Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90886 https://www.sec.gov/litigation/opinions/2021/34-90886.pdf 2021-01-11 ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90888 https://www.sec.gov/litigation/opinions/2021/34-90888.pdf 2021-01-11 American Patriot Brands, Inc. aka The Grilled Cheese Truck, Inc. and Big Tree Group Inc. Big Tree Group, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90889 https://www.sec.gov/litigation/opinions/2021/34-90889.pdf 2021-01-11 Certain Exchange Act Section 12(j) proceedings ATNA Resources, Ltd. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Orckit Communications Ltd. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90898 https://www.sec.gov/litigation/admin/2021/34-90898.pdf 2021-01-11 Wells Fargo & Company Wells Fargo & Company Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90902 https://www.sec.gov/litigation/admin/2021/34-90902.pdf 2021-01-11 GT Media, Inc. Hoffman, Kerry L. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90904 https://www.sec.gov/litigation/opinions/2021/34-90904.pdf 2021-01-12 Certain Exchange Act Section 12(j) proceedings N-Viro International Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90905 https://www.sec.gov/litigation/opinions/2021/34-90905.pdf 2021-01-12 Certain Exchange Act Section 12(j) proceedings TN-K Energy Group Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Total Sports Media, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90911 https://www.sec.gov/litigation/opinions/2021/34-90911.pdf 2021-01-13 Equitec Proprietary Markets, LLC Equitec Proprietary Markets, LLC Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90913 https://www.sec.gov/litigation/opinions/2021/34-90913.pdf 2021-01-13 Certain Exchange Act Section 12(j) proceedings Universal Detection Technology Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved VinCompass Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90915 https://www.sec.gov/litigation/opinions/2021/34-90915.pdf 2021-01-13 Certain Exchange Act Section 12(j) proceedings Sputnik Enterprises, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90920 https://www.sec.gov/litigation/admin/2021/34-90920.pdf 2021-01-14 ARC Holdings, LLC Robbins, Thomas J. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90921 https://www.sec.gov/litigation/admin/2021/34-90921.pdf 2021-01-14 ARC Holdings, LLC Merriman, Daniel J. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90930 https://www.sec.gov/rules/pcaob/2021/34-90930.pdf 2021-01-14 Public Company Accounting Oversight Board Rulemaking Public Company Accounting Oversight Board; Order Granting Approval of Amendments to PCAOB Interim Independence Standards and PCAOB Rules to Align with Amendments to Rule 2-01 of Regulation S-X Clayton Approved Peirce Approved Roisman Approved Lee Recused Crenshaw Not Approved 34-90931 https://www.sec.gov/rules/sro/ficc-an/2021/34-90931.pdf 2021-01-14 Advance Notice filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the Fixed Income Clearing Corporation to Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division’s Delivery-Versus-Payment Service, and Make Other Changes (File No. SR-FICC-2020-803) Fixed Income Clearing Corporation; Notice of No Objection to Advance Notice to Include Same-Day Settling Trades in the Risk Management, Novation, Guarantee, and Settlement Services of the Government Securities Division’s Delivery-Versus-Payment Service, and Make Other Changes Clayton Did Not Vote Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5668 https://www.sec.gov/litigation/opinions/2021/ia-5668.pdf 2021-01-14 Saving2Retire LLC and Marian P. Young Saving2Retire, LLC Roisman Approved Peirce Approved Lee Approved Crenshaw Approved Young, Marian P. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved IA-5670 https://www.sec.gov/litigation/admin/2021/ia-5670.pdf 2021-01-14 Advanced Practice Advisors, LLC Advanced Practice Advisors, LLC Roisman Approved Peirce Approved Lee Approved Crenshaw Approved Spitzer, Paul C. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 33-10920 https://www.sec.gov/litigation/admin/2021/33-10920.pdf 2021-01-15 Wireline, Inc. Wireline, Inc. Roisman Approved Peirce Approved with Exception Approved except as to an undertaking Lee Approved Crenshaw Approved 34-90932 https://www.sec.gov/rules/other/2021/34-90932.pdf 2021-01-15 Order Making Fiscal Year 2021 Annual Adjustments to Transaction Fee Rates FY 2021 Annual Adjustments to Transaction Rates Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90938 https://www.sec.gov/litigation/admin/2021/34-90938.pdf 2021-01-15 Wireline, Inc. Wireline, Inc. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90939 https://www.sec.gov/rules/sro/finra/2021/34-90939.pdf 2021-01-15 Review of Division action by delegated authority approving a proposed rule change by Financial Industry Regulatory Authority, Inc. to establish a new issue reference data service for corporate bonds Financial Industry Regulatory Authority, Inc.; Order Setting Aside Action by Delegated Authority and Approving a Proposed Rule Change, as Modified by Amendment No. 2, to Establish a Corporate Bond New Issue Reference Data Service Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90843 https://www.sec.gov/litigation/admin/2021/34-90843.pdf 2021-01-04 Rockwell Debt Free Properties, Inc. Nelson, Jordan S. Clayton Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved 34-90844 https://www.sec.gov/litigation/admin/2021/34-90844.pdf 2021-01-04 Rockwell Debt Free Properties, Inc. Ashby, Christopher J. Clayton Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved 34-90845 https://www.sec.gov/litigation/admin/2021/34-90845.pdf 2021-01-04 Rockwell Debt Free Properties, Inc. Beynon, Scott W. Clayton Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved 34-90847 https://www.sec.gov/litigation/opinions/2021/34-90847.pdf 2021-01-04 Trevor Michael Saliba and Arthur Mansourian Saliba, Trevor Michael Roisman Approved Peirce Approved Lee Approved Crenshaw Approved Mansourian, Arthur Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90848 https://www.sec.gov/litigation/admin/2021/34-90848.pdf 2021-01-05 Morgan Stanley Certain Unauthorized Transactions Connell, Barry F. Clayton Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-90850 https://www.sec.gov/litigation/opinions/2021/34-90850.pdf 2021-01-05 Certain Exchange Act Section 12(j) proceedings Medical Safetec, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved ML Bancorp, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Pioneer Western Properties Income Fund Limited Partnership Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved U.S. Coal Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90851 https://www.sec.gov/litigation/opinions/2021/34-90851.pdf 2021-01-05 Certain Exchange Act Section 12(j) proceedings Hengyi International Industries Group, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90855 https://www.sec.gov/litigation/opinions/2021/34-90855.pdf 2021-01-06 Certain Exchange Act Section 12(j) proceedings Tongli Pharmaceuticals (USA), Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Vansen Pharma, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90856 https://www.sec.gov/litigation/opinions/2021/34-90856.pdf 2021-01-06 Certain Exchange Act Section 12(j) proceedings Black Stallion Oil & Gas, Inc. (n/k/a Arize Therapeutics, Inc.) Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90857 https://www.sec.gov/litigation/opinions/2021/34-90857.pdf 2021-01-06 David B. Tysk Tysk, David B. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved IA-5662 https://www.sec.gov/litigation/opinions/2021/ia-5662.pdf 2021-01-06 The Robare Group, et al. The Robare Group, Ltd. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved Robare, Mark L. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved Jones, Jack L., Jr. Roisman Approved Peirce Approved Lee Approved Crenshaw Approved 34-90869 https://www.sec.gov/litigation/opinions/2021/34-90869.pdf 2021-01-07 Certain Exchange Act Section 12(j) proceedings Comarco, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Eco-Shift Power Corp. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90870 https://www.sec.gov/litigation/opinions/2021/34-90870.pdf 2021-01-07 Certain Exchange Act Section 12(j) proceedings IDdriven, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10918 https://www.sec.gov/rules/other/2021/33-10918.pdf 2021-01-08 Adjusting civil monetary penalties authorized by statutes administered by the Commission for inflation, as required by the Federal Civil Penalties Inflation Adjustment Act Improvements Act of 2015 Adjustment of Civil Monetary Penalty Amounts Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90875 https://www.sec.gov/litigation/admin/2021/34-90875.pdf 2021-01-08 Deutsche Bank AG Deutsche Bank AG Clayton Approved Peirce Approved with Exception Approved except as to disgorgement and prejudgment interest Roisman Approved Lee Approved Crenshaw Approved 34-90876 https://www.sec.gov/litigation/opinions/2021/34-90876.pdf 2021-01-08 Certain Exchange Act Section 12(j) proceedings Atlas Technologies International, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Centenary International Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-90877 https://www.sec.gov/litigation/opinions/2021/34-90877.pdf 2021-01-08 Certain Exchange Act Section 12(j) proceedings Activecare, Inc., n/k/a Acar Wind Down, Inc. Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Ramtal, Inc., a/k/a Ramtal Corporation Clayton Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved