2021-06-02 May 2021 49 34-91977 https://www.sec.gov/litigation/opinions/2021/34-91977.pdf 2021-05-24 Southeast Investment, N.C., Inc. and Frank Black Southeast Investments, N.C., Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Black, Frank Harmon Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91978 https://www.sec.gov/litigation/opinions/2021/34-91978.pdf 2021-05-24 Thomas Christophe Prentice Prentice, Thomas Christophe Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91982 https://www.sec.gov/litigation/opinions/2021/34-91982.pdf 2021-05-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing A La Carte Charts Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Iron Sands Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91985 https://www.sec.gov/litigation/opinions/2021/34-91985.pdf 2021-05-24 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Fantastic Financial Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved STAT Software Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Walnut Valley Ventures, Inc. a/k/a Walnut Valley Management Corp or Extension Media, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5737 https://www.sec.gov/litigation/admin/2021/ia-5737.pdf 2021-05-24 Bristol Advisors, LLC Heckler, George Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-92003 https://www.sec.gov/litigation/opinions/2021/34-92003.pdf 2021-05-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Medigreen Holdings Corporation (a/k/a Rapid Fire Marketing Inc.) Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92009 https://www.sec.gov/litigation/opinions/2021/34-92009.pdf 2021-05-25 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Trimerica Energy Corporation f/k/a Treaty Energy Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92027 https://www.sec.gov/litigation/suspensions/2021/34-92027.pdf Order 2021-05-26 Minerco, Inc. Minerco, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92030 https://www.sec.gov/litigation/opinions/2021/34-92030.pdf 2021-05-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing SiVault Systems, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved SVC Financial Services Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved The Heritage Organization, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92031 https://www.sec.gov/litigation/opinions/2021/34-92031.pdf 2021-05-26 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Soupman, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92034 https://www.sec.gov/litigation/opinions/2021/34-92034.pdf 2021-05-26 ABN AMRO Clearing Chicago LLC ABN AMRO Clearing Chicago LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5739 https://www.sec.gov/litigation/opinions/2021/ia-5739.pdf 2021-05-26 Charles R. Kokesh Kokesh, Charles R. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10945 https://www.sec.gov/litigation/admin/2021/33-10945.pdf 2021-05-27 LJM Preservation & Growth Fund Ariathurai, Arjuna Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92054 https://www.sec.gov/litigation/opinions/2021/34-92054.pdf 2021-05-27 Eugene Terracciano Terracciano, Eugene Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92060 https://www.sec.gov/litigation/opinions/2021/34-92060.pdf 2021-05-27 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Debt Resolve, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Elite Group, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92064 https://www.sec.gov/litigation/opinions/2021/34-92064.pdf 2021-05-27 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Competitive Companies, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Unilava Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92066 https://www.sec.gov/litigation/admin/2021/34-92066.pdf 2021-05-28 LFS Funding Limited Partnership Thompson, Steven Michael Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-92070 https://www.sec.gov/rules/sro/nms/2021/34-92070.pdf 2021-05-28 Orders Approving the (1) Thirty-Sixth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan, and the Twenty-Seventh Amendment to the Restated Consolidated Quotation Plan, and (2) Fiftieth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, as Modified by Amendment Nos. 1 and 2. Consolidated Tape Association; ; Order Approving the Thirty-Sixth Substantive Amendment to the Second Restatement of the CTA Plan and the Twenty-Seventh Substantive Amendment to the Restated CQ Plan Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92071 https://www.sec.gov/rules/sro/nms/2021/34-92071.pdf 2021-05-28 Orders Approving the (1) Thirty-Sixth Substantive Amendment to the Second Restatement of the Consolidated Tape Association Plan, and the Twenty-Seventh Amendment to the Restated Consolidated Quotation Plan, and (2) Fiftieth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privilege Basis, as Modified by Amendment Nos. 1 and 2. Joint Industry Plan; Order Approving the Fiftieth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis, as Modified by Amendment Nos. 1 and 2 Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92074 https://www.sec.gov/litigation/opinions/2021/34-92074.pdf 2021-05-28 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Enumeral Biomedical Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved International Cigar Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Lepora Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-92075 https://www.sec.gov/litigation/admin/2021/34-92075.pdf 2021-05-28 Randall Goulding, Esq. Goulding, Randall, Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10943 https://www.sec.gov/litigation/admin/2021/33-10943.pdf 2021-05-17 Trading in Volatility-Related Complex Exchange Traded Products S&P Dow Jones Indices LLC Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-91913 https://www.sec.gov/litigation/opinions/2021/34-91913.pdf 2021-05-17 Christopher M. Gibson Gibson, Christopher M. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5736 https://www.sec.gov/litigation/opinions/2021/ia-5736.pdf 2021-05-17 The Robare Group, et. al. The Robare Group, Ltd. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Robare, Mark L. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Jones, Jack L., Jr. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91938 https://www.sec.gov/litigation/admin/2021/34-91938.pdf 2021-05-19 Spot Option Petersen, Kai Christian Lee Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Crenshaw Approved Beserglik, Gil Lee Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Crenshaw Approved Beserglik, Raz Lee Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Crenshaw Approved 34-91950 https://www.sec.gov/litigation/opinions/2021/34-91950.pdf 2021-05-20 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Aurum, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Ecosphere Technologies, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91953 https://www.sec.gov/litigation/opinions/2021/34-91953.pdf 2021-05-20 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Briarwood Holdings Group, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Heyu Leisure Holidays Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved TJ Roasters Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91967 https://www.sec.gov/litigation/opinions/2021/34-91967.pdf 2021-05-21 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Veris Gold Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91968 https://www.sec.gov/litigation/opinions/2021/34-91968.pdf 2021-05-21 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Innocom Technology Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved The Pulse Beverage Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91974 https://www.sec.gov/litigation/admin/2021/34-91974.pdf 2021-05-21 Meyers Associates, L.P. Botvinnik, Emil Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91810 https://www.sec.gov/litigation/opinions/2021/34-91810.pdf 2021-05-10 Wilson-Davis & Co., James C. Snow, and Byron B. Barkley Wilson-Davis & Co. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Snow, James C. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Barkley, Byron B. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91811 https://www.sec.gov/litigation/admin/2021/34-91811.pdf 2021-05-10 CapSource, Inc. Byrne, Stephen J. Clayton Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-91812 https://www.sec.gov/litigation/opinions/2021/34-91812.pdf 2021-05-10 BlackBook Capital, Inc., and Franklin Ogele BlackBook Capital, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Ogele, Franklin Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91814 https://www.sec.gov/litigation/admin/2021/34-91814.pdf 2021-05-10 CapSource, Inc. Herlean, Gregory P. Clayton Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved IA-5732 https://www.sec.gov/litigation/admin/2021/ia-5732.pdf 2021-05-10 EAS Crow Point Alternatives Fund DeCaprio, Peter J. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved IA-5733 https://www.sec.gov/rules/other/2021/ia-5733.pdf 2021-05-10 Performance-Based Investment Advisory Fees Performance-Based Investment Advisory Fees Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10942 https://www.sec.gov/rules/other/2020/33-10942.pdf 2021-05-11 Regulatory Flexibility Act Agenda Regulatory Flexibility Act Agenda Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91853 https://www.sec.gov/litigation/admin/2021/34-91853.pdf 2021-05-12 GWFS Equities, Inc. GWFS Equities, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91865 https://www.sec.gov/litigation/opinions/2021/34-91865.pdf 2021-05-12 Scottsdale Capital Advisors Corporation, et al. Scottsdale Capital Advisors Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Hurry, John J. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved DiBlasi, Timothy B. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Cruz, D. Michael Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91893 https://www.sec.gov/litigation/suspensions/2021/34-91893.pdf Order 2021-05-13 Kingold Jewelry, Inc. Kingold Jewelry, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10940 https://www.sec.gov/litigation/admin/2021/33-10940.pdf 2021-05-03 Under Armour, Inc. Under Armour, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 34-91746 https://www.sec.gov/litigation/opinions/2021/34-91746.pdf 2021-05-04 Joseph S. Amundsen, Michael T. Remus, and Michael Remus CPA Amundsen, Joseph S. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Remus, Michael T. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Remus, Michael, CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91747 https://www.sec.gov/litigation/opinions/2021/34-91747.pdf 2021-05-04 J.W. Korth & Company, LP J.W. Korth & Company, LP Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91749 https://www.sec.gov/litigation/admin/2021/34-91749.pdf 2021-05-04 The Joseph Project Tennison, Bradley J. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-91770 https://www.sec.gov/rules/sro/nscc-an/2021/34-91770.pdf 2021-05-04 Advance Notice filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the National Securities Clearing Corporation to Modify the Calculation and Collection of Supplemental Liquidity Deposits National Securities Clearing Corporation; Notice of No Objection to Advance Notice to Amend the Supplemental Liquidity Deposit Requirements Gensler Abstained Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-10941 https://www.sec.gov/litigation/admin/2021/33-10941.pdf 2021-05-05 Drever Capital Management Drever, Maxwell Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-91772 https://www.sec.gov/litigation/admin/2021/34-91772.pdf 2021-05-05 Norse Holdings, LLC Levine, Seth P. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91795 https://www.sec.gov/litigation/admin/2021/34-91795.pdf 2021-05-07 Strayne Holdings, LLC Jones, Corbyn W., Esq. Lee Approved Peirce Approved Roisman Approved Crenshaw Approved 34-91798 https://www.sec.gov/rules/other/2021/34-91798.pdf 2021-05-07 Application filed by DTCC Data Repository (U.S.), LLC on Form SDR to register as a security-based swap data repository pursuant to Section 13(n)(1) of the Securities Exchange Act of 1934 and Rule 13n-1 thereunder and as a securities information processor pursuant to Section 11A(b) of the Exchange Act DTCC Data Repository (U.S.), LLC; Order Approving Application for Registration as a Security-Based Swap Data Repository Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved