2022-01-05 December 2021 57 34-93869 https://www.sec.gov/litigation/opinions/2021/34-93869.pdf 2021-12-27 Digital Brand Media & Marketing Group, Inc., et al. Ottimo, Louis Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93870 https://www.sec.gov/litigation/opinions/2021/34-93870.pdf 2021-12-28 Digital Brand Media & Marketing Group, Inc., et al. Metatron, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93877 https://www.sec.gov/litigation/admin/2021/34-93877.pdf 2021-12-29 1 Global Capital, LLC Walker, Matthew L. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-93882 https://www.sec.gov/litigation/admin/2021/34-93882.pdf 2021-12-30 Bangi Investments, LLC Birch, Nicole T., Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93884 https://www.sec.gov/litigation/admin/2021/34-93884.pdf 2021-12-30 Bangi Investments, LLC Petrescu, Vicent C., aka Vincent Petrescu, CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93889 https://www.sec.gov/litigation/opinions/2021/34-93889.pdf 2021-12-30 J.W. Korth & Company, LP J.W. Korth & Company, LP Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11016 https://www.sec.gov/rules/final/2021/33-11016.pdf 2021-12-20 Adoption of Updated EDGAR Filer Manual Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93832 https://www.sec.gov/litigation/admin/2021/34-93832.pdf 2021-12-20 Golden Summit Investors Group, Ltd. Erwin, Jesse W., Jr., Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5930 https://www.sec.gov/litigation/admin/2021/ia-5930.pdf 2021-12-20 Global Infrastructure Management, LLC Global Infrastructure Management, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5932 https://www.sec.gov/litigation/admin/2021/ia-5932.pdf 2021-12-20 1st Global Advisors, Inc. 1st Global Advisors, Inc., now known as Avantax Advisory Services, Inc. Gensler Approved Peirce Approved with Exception Approved except as to the penalty Roisman Approved Lee Approved Crenshaw Approved 33-11018 https://www.sec.gov/litigation/admin/2021/33-11018.pdf 2021-12-21 Nikola Corporation Nikola Corporation Gensler Approved Peirce Approved with Exception Approved except as to the 13a-15(a) charge Roisman Approved Lee Approved Crenshaw Approved 33-11019 https://www.sec.gov/litigation/admin/2021/33-11019.pdf 2021-12-21 New York Alaska ETF Management LLC Abbate, Nicholas Gensler Approved Peirce Approved with Exception Approved except as to the undertaking Roisman Approved Lee Approved Crenshaw Approved 34-93844 https://www.sec.gov/litigation/opinions/2021/34-93844.pdf 2021-12-21 Paul Jurberg, Jonathan Morrone, and Brett Hamburger Hamburger, Brett Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93846 https://www.sec.gov/litigation/opinions/2021/34-93846.pdf 2021-12-21 Paul Jurberg, Jonathan Morrone, and Brett Hamburger Jurberg, Paul Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93847 https://www.sec.gov/litigation/opinions/2021/34-93847.pdf 2021-12-21 Paul Jurberg, Jonathan Morrone, and Brett Hamburger Morrone, Jonathan Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11020 https://www.sec.gov/litigation/admin/2021/33-11020.pdf 2021-12-22 PeachCap Tax & Advisory, LLC PeachCap Tax & Advisory, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Miller, David H. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved 34-93855 https://www.sec.gov/litigation/opinions/2021/34-93855.pdf 2021-12-22 Brightane Corp. Brightlane Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93859 https://www.sec.gov/rules/sro/nysearca/2021/34-93859.pdf 2021-12-22 NYSE Arca, Inc.; Order Disapproving a Proposed Rule Change to List and Trade Shares of the Valkyrie Bitcoin Fund under NYSE Arca Rule 8.201-E (Commodity-Based Trust Shares) Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-93860 https://www.sec.gov/rules/sro/cboebzx/2021/34-93860.pdf 2021-12-22 Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change to List and Trade Shares of the Kryptoin Bitcoin ETF Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-93753 https://www.sec.gov/litigation/admin/2021/34-93753.pdf 2021-12-13 WEX Inc. WEX Inc. Gensler 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 34-93757 https://www.sec.gov/litigation/opinions/2021/34-93757.pdf 2021-12-13 Shlomo Sharbat Sharbat, Shlomo Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93759 https://www.sec.gov/litigation/opinions/2021/34-93759.pdf 2021-12-13 Digital Brand Media & Marketing Group, Inc., et al. Cantone Research Group, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93760 https://www.sec.gov/litigation/opinions/2021/34-93760.pdf 2021-12-13 Shad Nhebi Clayton Clayton, Shad Nhebi Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93761 https://www.sec.gov/litigation/opinions/2021/34-93761.pdf 2021-12-13 Digital Brand Media & Marketing Group, Inc., et al. Feathers, Mark Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93762 https://www.sec.gov/litigation/opinions/2021/34-93762.pdf 2021-12-13 Digital Brand Media & Marketing Group, Inc., et al. KJM Securities, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93766 https://www.sec.gov/litigation/admin/2021/34-93766.pdf 2021-12-13 Crews & Associates, Inc. Crews & Associates, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Harding, Rush F., III Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5924 https://www.sec.gov/litigation/admin/2021/ia-5924.pdf 2021-12-14 Indio Entertainment, LLC Siniscalchi, James Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11015 https://www.sec.gov/litigation/admin/2021/33-11015.pdf 2021-12-15 Possible Manipulative Schemes Involving Microcap and Other Securities Wedbush Securities Inc. Gensler Approved Peirce Approved with Exception Approved except as to certain undertakings Roisman Approved Lee Approved Crenshaw Approved 34-93791 https://www.sec.gov/litigation/opinions/2021/34-93791.pdf 2021-12-15 Digital Brand Media & Marketing Group, Inc., et al. Silver Leaf Partners, LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93792 https://www.sec.gov/litigation/opinions/2021/34-93792.pdf 2021-12-15 Digital Brand Media & Marketing Group, Inc., et al. Consolidated Arbitration Applications Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93807 https://www.sec.gov/litigation/admin/2021/34-93807.pdf 2021-12-17 JPMorgan Chase & Co. Internal Communications J.P. Morgan Securities LLC Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93817 https://www.sec.gov/rules/sro/nms/2021/34-93817.pdf 2021-12-17 Proposed Amendment to the National Market System Plan Governing the Consolidated Audit Trail relating to the Funding Model and Participant Fees Joint Industry Plan; Notice of Withdrawal of Amendment to the National Market System Plan Governing the Consolidated Audit Trail Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11014 https://www.sec.gov/rules/other/2021/33-11014.pdf 2021-12-15 The 2022 Final Budget and Accounting Support Fee for the Public Company Accounting Oversight Board The 2022 Final Budget and Accounting Support Fee for the Public Company Accounting Oversight Board Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93784 https://www.sec.gov/rules/proposed/2021/34-93784.pdf 2021-12-15 Security-Based Swap Positions Security-Based Swap Positions Gensler Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved IC-34441 https://www.sec.gov/rules/proposed/2021/ic-34441.pdf 2021-12-15 Money Market Fund Reforms Money Market Fund Reforms Gensler Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved 34-93783 https://www.sec.gov/rules/proposed/2021/34-93783.pdf 2021-12-15 Share Repurchase Disclosure Modernization Share Repurchase Disclosure Modernization Gensler Approved Peirce Not Approved Roisman Not Approved Lee Approved Crenshaw Approved 33-11013 https://www.sec.gov/rules/proposed/2021/33-11013.pdf 2021-12-15 Rule 10b5-1 and Insider Trading Rule 10b5-1 and Insider Trading Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11011 https://www.sec.gov/litigation/admin/2021/33-11011.pdf 2021-12-06 Coyote Capital Investments, LLC Turner, Steven A. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93719 https://www.sec.gov/litigation/opinions/2021/34-93719.pdf 2021-12-06 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Primera Foods Corporation Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved Super 8 Motels Texas Ltd. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93723 https://www.sec.gov/litigation/opinions/2021/34-93723.pdf 2021-12-06 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Quest Entertainment Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93725 https://www.sec.gov/litigation/admin/2021/34-93725.pdf 2021-12-07 Smart Initiatives, LLC Lloyd Marketing, LLC Clayton Approved Peirce Approved Roisman Approved Lee Approved Lloyd, Charles G. Clayton Approved Peirce Approved Roisman Approved Lee Approved 34-93735 https://www.sec.gov/litigation/opinions/2021/34-93735.pdf 2021-12-07 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing General Energy Resources & Technology Corp. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93737 https://www.sec.gov/litigation/opinions/2021/34-93737.pdf 2021-12-07 Certain Exchange Act Section 12(j) proceedings assigned to the Commission for a hearing Glacier Holdings, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93747 https://www.sec.gov/litigation/opinions/2021/34-93747.pdf 2021-12-09 Digital Brand Media & Marketing Group, Inc., et al. Digital Brand Media & Marketing Group, Inc. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 33-11012 https://www.sec.gov/litigation/admin/2021/33-11012.pdf 2021-12-10 McDonald Partners, LLC Mansour, Rita Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93749 https://www.sec.gov/litigation/admin/2021/34-93749.pdf 2021-12-10 Ernst & Young LLP Bering, Adam D., Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93750 https://www.sec.gov/litigation/admin/2021/34-93750.pdf 2021-12-10 Ernst & Young LLP Greenwell, Alan C., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93751 https://www.sec.gov/litigation/admin/2021/34-93751.pdf 2021-12-10 Ernst & Young LLP Hurak, Philip S., Esq. Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93752 https://www.sec.gov/litigation/admin/2021/34-93752.pdf 2021-12-10 Ernst & Young LLP Clark, Scott D., CPA Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved IA-5920 https://www.sec.gov/litigation/admin/2021/ia-5920.pdf 2021-12-10 Newman Ladd Capital Advisors, LLC Newman Ladd Capital Advisors, LLC Gensler Approved Peirce Approved with Exception Approved except as to the cease-and-desist proceeding Roisman Approved Lee Approved Crenshaw Approved 34-93768 https://www.sec.gov/rules/other/2021/34-93768.pdf 2021-12-14 Credit Risk Retention - Notification of Determination of Review Credit Risk Retention - Notification of Determination of Review Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93701 https://www.sec.gov/rules/final/2021/34-93701.pdf 2021-12-02 Holding Foreign Companies Accountable Act Disclosure Holding Foreign Companies Accountable Act Disclosure Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93693 https://www.sec.gov/litigation/opinions/2021/34-93693.pdf 2021-12-01 Edward M. Daspin, et al. J.W. Korth & Company, LP Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93700 https://www.sec.gov/rules/sro/cboebzx/2021/34-93700.pdf 2021-12-01 Proposed rule change SR-CboeBZX-2021-024 by Cboe BZX Exchange, Inc. to list and trade shares of the WisdomTree Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Cboe BZX Exchange, Inc.; Order Disapproving a Proposed Rule Change to List and Trade Shares of the WisdomTree Bitcoin Trust under BZX Rule 14.11(e)(4), Commodity-Based Trust Shares Gensler Approved Peirce Not Approved Roisman Approved Lee Approved Crenshaw Approved 34-93706 https://www.sec.gov/litigation/admin/2021/34-93706.pdf 2021-12-02 HCR Wealth Advisors HCR Wealth Advisors Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved 34-93712 https://www.sec.gov/litigation/admin/2021/34-93712.pdf 2021-12-02 ALPAX, LLC Conley, Phillip W. Gensler Approved Peirce Approved with Exception Approved except as to the penny stock bar Roisman Approved Lee Approved Crenshaw Approved IA-5918 https://www.sec.gov/litigation/admin/2021/ia-5918.pdf 2021-12-02 Pactiv Evergreen, Inc. Boccara, Guillaume David Gensler Approved Peirce Approved Roisman Approved Lee Approved Crenshaw Approved