2021-08-18 Calendar Year 2016 974 34-79294 https://www.sec.gov/files/34-79294_0.pdf 2016-11-14 Whistleblower Claimant 1 White Approved Stein Approved Piwowar Approved Claimant 2 White Approved Stein Approved Piwowar Approved Claimant 3 White Approved Stein Approved Piwowar Approved ic-32379 https://www.sec.gov/rules/ic/2016/ic-32379.pdf 2016-12-06 Stifel, Nicolaus & Company, Inc., et al.; Notice of Application and Temporary Order Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79543 https://www.sec.gov/rules/other/2016/34-79543.pdf 2016-12-13 In the Matter of the Application of MIAX PEARL, LLC for Registration as a National Securities Exchange Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4595 https://www.sec.gov/rules/ia/2016/ia-4595.pdf 2016-12-28 Merrill Lynch, Pierce, Fenner & Smith Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10274 https://www.sec.gov/litigation/admin/2016/33-10274.pdf 2016-12-19 Doxey, Joseph P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79592 https://www.sec.gov/rules/sro/nscc-an/2016/34-79592.pdf 2016-12-19 National Securities Clearing Corporation; Notice of No Objection to Advance Notice Filing to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of “Off-the-Market Transactions,” and Make Other Changes Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79593 https://www.sec.gov/litigation/admin/2016/34-79593.pdf 2016-12-19 NeuStar, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-79601 https://www.sec.gov/litigation/admin/2016/34-79601.pdf 2016-12-19 3C Advisors & Associates, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79602 https://www.sec.gov/litigation/admin/2016/34-79602.pdf 2016-12-19 Jones, Stephen Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79606 https://www.sec.gov/litigation/admin/2016/34-79606.pdf 2016-12-20 Morgan Stanley & Co. LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79607 https://www.sec.gov/litigation/admin/2016/34-79607.pdf 2016-12-20 SandRidge Energy, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-79625 https://www.sec.gov/litigation/admin/2016/34-79625.pdf 2016-12-20 Milligan, Robert D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4591 https://www.sec.gov/litigation/admin/2016/ia-4591.pdf 2016-12-20 Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Porter, John T. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Duszynski, Thomas F. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10275 https://www.sec.gov/rules/other/2016/33-10275.pdf 2016-12-21 Goldman Sachs Group, Inc. Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved Goldman, Sachs & Co. Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 34-79643 https://www.sec.gov/rules/sro/ficc-an/2016/34-79643.pdf 2016-12-21 Fixed Income Clearing Corporation; Notice of Filing of an Advance Notice to Implement a Change to the Methodology Used in the MBSD VaR Model Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79650 https://www.sec.gov/litigation/admin/2016/34-79650.pdf 2016-12-21 Jack Henry & Associates, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79656 https://www.sec.gov/litigation/admin/2016/34-79656.pdf 2016-12-22 AFN, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Allen Energy Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved American Cascade Energy, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Millenia Hope, Inc. (n/k/a Clubs Choice Holdings, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79657 https://www.sec.gov/litigation/admin/2016/34-79657.pdf 2016-12-22 PAB Bankshares, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved USABG Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79668 https://www.sec.gov/litigation/admin/2016/34-79668.pdf 2016-12-22 Saraf, Alok CA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79669 https://www.sec.gov/litigation/admin/2016/34-79669.pdf 2016-12-22 Wipro Limited Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Komandur, Badree ACA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Arunachalam, Satish CA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79691 https://www.sec.gov/litigation/admin/2016/34-79691.pdf 2016-12-27 Greifeld, Philip CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79692 https://www.sec.gov/litigation/admin/2016/34-79692.pdf 2016-12-27 Rose, Brian C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79693 https://www.sec.gov/litigation/admin/2016/34-79693.pdf 2016-12-27 McGregor, Robert S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79694 https://www.sec.gov/litigation/admin/2016/34-79694.pdf 2016-12-27 Smith, Jason B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79695 https://www.sec.gov/litigation/admin/2016/34-79695.pdf 2016-12-27 Loveall, Brent Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79698 https://www.sec.gov/litigation/admin/2016/34-79698.pdf 2016-12-27 Loppert, David A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79700 https://www.sec.gov/litigation/opinions/2016/34-79700.pdf 2016-12-28 MKM Partners LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4596 https://www.sec.gov/rules/ia/2016/ia-4596.pdf 2016-12-28 Robert W. Baird & Co. Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4597 https://www.sec.gov/rules/ia/2016/ia-4597.pdf 2016-12-28 UBS Financial Services Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4598 https://www.sec.gov/rules/ia/2016/ia-4598.pdf 2016-12-28 Wells Fargo Advisors, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Wells Fargo Advisors Financial Network, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79702 https://www.sec.gov/litigation/admin/2016/34-79702.pdf 2016-12-29 General Cable Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-79703 https://www.sec.gov/litigation/admin/2016/34-79703.pdf 2016-12-29 General Cable Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79704 https://www.sec.gov/litigation/admin/2016/34-79704.pdf 2016-12-29 Zimmer, Karl J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79707 https://www.sec.gov/rules/other/2016/34-79707.pdf 2016-12-29 LCH SA; Order Granting Application for Registration as a Clearing Agency and Request for Exemptive Relief Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79708 https://www.sec.gov/litigation/admin/2016/34-79708.pdf 2016-12-29 Calleja, Rafael Antonio Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ic-32390 https://www.sec.gov/litigation/admin/2016/ic-32390.pdf 2016-12-12 State Street Bank & Trust Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79542 https://www.sec.gov/litigation/admin/2016/34-79542.pdf 2016-12-13 Ben Franklin Retail Stores, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Enrotek Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Spectre Gaming, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10266 https://www.sec.gov/rules/other/2016/33-10266.pdf 2016-12-14 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2017 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved ia-4587 https://www.sec.gov/litigation/admin/2016/ia-4587.pdf 2016-12-14 New Silk Route Advisors, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79566 https://www.sec.gov/litigation/admin/2016/34-79566.pdf 2016-12-15 Deucher, Chad Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79567 https://www.sec.gov/litigation/admin/2016/34-79567.pdf 2016-12-15 Clatfelter, Richard Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79568 https://www.sec.gov/litigation/admin/2016/34-79568.pdf 2016-12-15 TPG Advisors, LLC (d/b/a The Phillips Group Advisors) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Phillips, Larry M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10267 https://www.sec.gov/litigation/admin/2016/33-10267.pdf 2016-12-16 Nguyen, Lan Phuong Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10268 https://www.sec.gov/litigation/admin/2016/33-10268.pdf 2016-12-16 Muellerleile, Michael J. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved M2 Law Professional Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10269 https://www.sec.gov/litigation/admin/2016/33-10269.pdf 2016-12-16 Felix, Joel Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10270 https://www.sec.gov/litigation/admin/2016/33-10270.pdf 2016-12-16 Empire Stock Transfer Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Participating Blevins, Matthew J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Participating 33-10271 https://www.sec.gov/rules/other/2016/33-10271.pdf 2016-12-16 Deutsche Bank Aktiengesellschaft Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 33-10272 https://www.sec.gov/litigation/admin/2016/33-10272.pdf 2016-12-16 Deutsche Bank Securities Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10273 https://www.sec.gov/rules/other/2016/33-10273.pdf 2016-12-16 Deutsche Bank Aktiengesellschaft Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 34-79572 https://www.sec.gov/litigation/suspensions/2016/34-79572.pdf https://www.sec.gov/litigation/suspensions/2016/34-79572-o.pdf 2016-12-16 American Energy Development Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79577 https://www.sec.gov/rules/other/2016/34-79577.pdf 2016-12-16 Euroclear Bank SA/NV; Order of the Commission Approving an Application to Modify an Existing Exemption from Clearing Agency Registration Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79578 https://www.sec.gov/litigation/admin/2016/34-79578.pdf 2016-12-16 Barkley, Byron B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Davis, Paul N. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79579 https://www.sec.gov/litigation/admin/2016/34-79579.pdf 2016-12-16 Kerrigone, Anthony B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79580 https://www.sec.gov/litigation/admin/2016/34-79580.pdf 2016-12-16 Wilson-Davis & Company, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79581 https://www.sec.gov/litigation/admin/2016/34-79581.pdf 2016-12-16 Myers, Jo Ann Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Pickett, Hollis W. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79440 https://www.sec.gov/litigation/admin/2016/34-79440.pdf 2016-12-01 GMB Capital Management LLC Fair Fund Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79451 https://www.sec.gov/litigation/admin/2016/34-79451.pdf 2016-12-01 Flowers, Thomas A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4577 https://www.sec.gov/litigation/admin/2016/ia-4577.pdf 2016-12-01 Pacific Investment Management Company LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4578 https://www.sec.gov/rules/ia/2016/ia-4578.pdf 2016-12-01 Merrill Lynch, Pierce, Fenner & Smith Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4579 https://www.sec.gov/rules/ia/2016/ia-4579.pdf 2016-12-01 Robert W. Baird & Co. Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4580 https://www.sec.gov/rules/ia/2016/ia-4580.pdf 2016-12-01 UBS Financial Services Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4581 https://www.sec.gov/rules/ia/2016/ia-4581.pdf 2016-12-01 Wells Fargo Advisors, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Wells Fargo Advisors Financial Network, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79454 https://www.sec.gov/litigation/admin/2016/34-79454.pdf 2016-12-02 United Continental Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-79459 https://www.sec.gov/litigation/opinions/2016/34-79459.pdf 2016-12-02 Hill, Charles L. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79460 https://www.sec.gov/litigation/admin/2016/34-79460.pdf 2016-12-02 Winters, Marc Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79461 https://www.sec.gov/litigation/admin/2016/34-79461.pdf 2016-12-02 Cole, Bruce A. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79462 https://www.sec.gov/litigation/suspensions/2016/34-79462.pdf https://www.sec.gov/litigation/suspensions/2016/34-79462-o.pdf 2016-12-05 WGE Holdings Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10262 https://www.sec.gov/litigation/admin/2016/33-10262.pdf 2016-12-06 Equidate, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Equidate Holdings LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10263 https://www.sec.gov/rules/other/2016/33-10263.pdf 2016-12-06 Stifel, Nicolaus & Co., Inc. Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 34-79483 https://www.sec.gov/litigation/admin/2016/34-79483.pdf 2016-12-06 KPMG LLP Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 34-79484 https://www.sec.gov/litigation/admin/2016/34-79484.pdf 2016-12-06 Kessel, Roy D. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79487 https://www.sec.gov/litigation/admin/2016/34-79487.pdf 2016-12-06 Aquanatural Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bullet Sports International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Pearce Systems International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79489 https://www.sec.gov/litigation/admin/2016/34-79489.pdf 2016-12-07 Curlew Lake Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79503 https://www.sec.gov/litigation/admin/2016/34-79503.pdf 2016-12-07 Noack, David W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4584 https://www.sec.gov/litigation/admin/2016/ia-4584.pdf 2016-12-07 Garrison, Harold D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10264 https://www.sec.gov/litigation/admin/2016/33-10264.pdf 2016-12-08 Baker, Robert L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Herrera, Jacob B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bowen, Michael D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ballard, Terrance A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79504 https://www.sec.gov/litigation/suspensions/2016/34-79504.pdf https://www.sec.gov/litigation/suspensions/2016/34-79504-o.pdf 2016-12-08 Sen Yu International Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79505 https://www.sec.gov/litigation/admin/2016/34-79505.pdf 2016-12-08 Sen Yu International Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79521 https://www.sec.gov/litigation/admin/2016/34-79521.pdf 2016-12-09 Stuthers, Donald M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76848 http://www.sec.gov/rules/other/2016/34-76848.pdf 2016-01-07 Order Making Fiscal Year 2016 Annual Adjustments to Transaction Fee Rates Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76932 http://www.sec.gov/litigation/admin/2016/34-76932.pdf 2016-01-19 Snedeker, Michael T. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10005 http://www.sec.gov/litigation/opinions/2016/33-10005.pdf 2016-01-19 Labine, Lawrence M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76934 http://www.sec.gov/litigation/opinions/2016/34-76934.pdf 2016-01-19 Pinard, Dean Zenon Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76939 http://www.sec.gov/litigation/suspensions/2016/34-76939.pdf 2016-01-21 Vadda Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76940 http://www.sec.gov/litigation/admin/2016/34-76940.pdf 2016-01-21 China Ticket Center, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Dawn Capital Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Nanotailor, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved New Century Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Vadda Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10007 http://www.sec.gov/litigation/admin/2016/33-10007.pdf 2016-01-21 ARRG Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Spiegel, Edward H. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76979 http://www.sec.gov/litigation/admin/2016/34-76979.pdf 2016-01-27 3C Advisors & Associates, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Jones, Stephen Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Prolman, David Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76980 http://www.sec.gov/litigation/admin/2016/34-76980.pdf 2016-01-27 Dalmy, Diane D., Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76987 http://www.sec.gov/litigation/admin/2016/34-76987.pdf 2016-01-28 Diversified Health & Fitness, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Engenyous Technologies, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Equitex 2000, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Gifts of Learning Foundation, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76988 http://www.sec.gov/litigation/admin/2016/34-76988.pdf 2016-01-28 Eight-Eight Acquisition Corp. I Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Eight-Eight Acquisition Corp. II Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Eight-Eight Acquisition Corp. III Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10009 http://www.sec.gov/litigation/admin/2016/33-10009.pdf 2016-01-28 QED Benchmark Management, L.L.C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kuperman, Peter Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10010 http://www.sec.gov/litigation/admin/2016/33-10010.pdf 2016-01-31 Barclays Capital Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10011 http://www.sec.gov/rules/other/2016/33-10011.pdf 2016-01-31 Barclays Capital Inc. Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 33-10012 http://www.sec.gov/rules/other/2016/33-10012.pdf 2016-01-31 Barclays PLC Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved Barclays Bank PLC Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 33-10013 http://www.sec.gov/litigation/admin/2016/33-10013.pdf 2016-01-31 Credit Suisse Securities (USA) LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10014 http://www.sec.gov/litigation/admin/2016/33-10014.pdf 2016-01-31 Credit Suisse Securities (USA) LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76818 http://www.sec.gov/litigation/admin/2016/34-76818.pdf 2016-01-04 Shields, Vivian S. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76821 http://www.sec.gov/rules/sro/occ-an/2016/34-76821.pdf 2016-01-04 Notice of No Objection to Advance Notice Filing, as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporation's Non-Bank Liquidity Facility Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10001 http://www.sec.gov/litigation/admin/2016/33-10001.pdf 2016-01-06 J.P. Morgan Securities LLC Mary Jo White Not Participating Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76846 http://www.sec.gov/litigation/admin/2016/34-76846.pdf 2016-01-07 China Holdings Group, Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Design Products, Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Divia.com, Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Environmental Products & Technologies Corp. (a/k/a Enviro Products & Technologies Corp.) Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Financial Group Connection, Inc. (a/k/a Financial Group Connection, Inc.) Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Four Peaks Group Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76847 http://www.sec.gov/litigation/admin/2016/34-76847.pdf 2016-01-07 Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.) Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Corvair Resources Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Dalian Capital Group, Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Denver Resources Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4307 http://www.sec.gov/litigation/admin/2016/ia-4307.pdf 2016-01-08 Cohen, Steven A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76860 http://www.sec.gov/litigation/suspensions/2016/34-76860.pdf 2016-01-11 DC Brands International Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76861 http://www.sec.gov/litigation/admin/2016/34-76861.pdf 2016-01-11 DC Brands International Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76872 http://www.sec.gov/litigation/admin/2016/34-76872.pdf 2016-01-11 Go Green Smokeless Oil International, Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved T.O Entertainment, Inc. (f/k/a IBI Acquisitions, Inc.) Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Xian Resources, Ltd. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76873 http://www.sec.gov/litigation/admin/2016/34-76873.pdf 2016-01-11 NHS Financial, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10002 http://www.sec.gov/litigation/admin/2016/33-10002.pdf 2016-01-12 Miller Energy Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76878 http://www.sec.gov/litigation/admin/2016/34-76878.pdf 2016-01-12 Higgins, Richard M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76879 http://www.sec.gov/litigation/admin/2016/34-76879.pdf 2016-01-12 Hackney, Reid A. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76882 http://www.sec.gov/litigation/admin/2016/34-76882.pdf 2016-01-13 Champion Enterprises, Inc. (a/k/a CEI Liquidation Estate) Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10003 http://www.sec.gov/rules/interim/2016/33-10003.pdf 2016-01-13 Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies; Interim final rules; request for comment Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76897 http://www.sec.gov/litigation/admin/2016/34-76897.pdf 2016-01-14 Everhart Financial Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Everhart, Richard Scott Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Romeo, Matthew James Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76898 http://www.sec.gov/litigation/admin/2016/34-76898.pdf 2016-01-14 Andain, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76899 http://www.sec.gov/litigation/admin/2016/34-76899.pdf 2016-01-14 Goldman, Sachs & Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76904 http://www.sec.gov/litigation/admin/2016/34-76904.pdf 2016-01-14 DeBaggis, Vincent J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76905 http://www.sec.gov/litigation/admin/2016/34-76905.pdf 2016-01-14 Street State Bank and Trust Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76916 http://www.sec.gov/litigation/admin/2016/34-76916.pdf 2016-01-14 INVENT Ventures, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Knight, Bryce M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76922 http://www.sec.gov/rules/proposed/2016/34-76922.pdf 2016-01-15 Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement; Reopening of comment period Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10004 http://www.sec.gov/litigation/admin/2016/33-10004.pdf 2016-01-19 Equinox Fund Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76928 http://www.sec.gov/litigation/admin/2016/34-76928.pdf 2016-01-19 Barclays Capital Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76938 http://www.sec.gov/litigation/admin/2016/34-76938.pdf 2016-01-20 Ocwen Financial Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76951 http://www.sec.gov/litigation/admin/2016/34-76951.pdf 2016-01-21 Daytona Systems Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Equitel, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76958 http://www.sec.gov/rules/proposed/2016/34-76958.pdf 2016-01-21 Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers; Extension of comment period Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76961 http://www.sec.gov/litigation/suspensions/2016/34-76961.pdf 2016-01-22 99 Cent Stuff, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Bizzingo, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Clicker, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Incentra Solutions, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Maxray Optical Technology Co. Ltd. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Peer Review Mediation & Arbitration, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76962 http://www.sec.gov/litigation/admin/2016/34-76962.pdf 2016-01-22 99 Cent Stuff, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Bizzingo, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Clicker, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Incentra Solutions, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Maxray Optical Technology Co. Ltd. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Peer Review Mediation & Arbitration, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76963 http://www.sec.gov/litigation/suspensions/2016/34-76963.pdf 2016-01-22 Oldwebsites.com, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved RPHL Acquisition Corp. (a/k/a Rockport Healthcare Group, Inc.) Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved The Brainy Brands Company, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved TheraBiogen, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved U.S. Helicopter Corporation Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Vicor Technologies, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76964 http://www.sec.gov/litigation/admin/2016/34-76964.pdf 2016-01-22 Oldwebsites.com, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved RPHL Acquisition Corp. (a/k/a Rockport Healthcare Group, Inc.) Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved The Brainy Brands Company, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved TheraBiogen, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved U.S. Helicopter Corporation Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Vicor Technologies, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76822 http://www.sec.gov/rules/sro/nms/2016/34-76822.pdf 2016-01-05 Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add EDGX Exchange, Inc. ("EDGX") as a Plan Sponsor Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76823 http://www.sec.gov/rules/sro/nms/2016/34-76823.pdf 2016-01-05 Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the EDGX Exchange, Inc. as a Participant Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76837 http://www.sec.gov/litigation/admin/2016/34-76837.pdf 2016-01-05 Gregg C. Lorenzo and Charles Vista, LLC Fair Fund Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-76978 http://www.sec.gov/litigation/admin/2016/34-76978.pdf 2016-01-27 Lee, Justin Moongyu, Esq., CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79237 http://www.sec.gov/rules/interim/2016/34-79237.pdf 2016-11-03 Interim Final Temporary Rule Regarding the Consolidated Audit Trail; Interim final temporary rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10243 https://www.sec.gov/litigation/admin/2016/33-10243.pdf 2016-11-01 Agostini , Luigi Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-79207 https://www.sec.gov/litigation/admin/2016/34-79207.pdf 2016-11-01 Smith, Gregory J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79208 https://www.sec.gov/litigation/admin/2016/34-79208.pdf 2016-11-01 Morley, Ronald D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved The New Wealth, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79218 https://www.sec.gov/litigation/suspensions/2016/34-79218.pdf 2016-11-02 Bill the Butcher, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hitor Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Xun Energy, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79219 https://www.sec.gov/litigation/admin/2016/34-79219.pdf 2016-11-02 Bill the Butcher, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hitor Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Xun Energy, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79224 https://www.sec.gov/rules/sro/dtc-an/2016/34-79224.pdf 2016-11-03 The Depository Trust Company; Notice of Filing of and Extension of Review Period of Advance Notice Relating to Processing of Transactions in Money Market Instruments Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79235 https://www.sec.gov/litigation/admin/2016/34-79235.pdf 2016-11-03 G-Trade Services LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Convergex Global Markets Limited Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Convergex Execution Solutions LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10245 https://www.sec.gov/litigation/admin/2016/33-10245.pdf 2016-11-04 The Registration Statement of Flaster Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10246 https://www.sec.gov/litigation/admin/2016/33-10246.pdf 2016-11-04 The Registration Statement of iLOAN Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10247 https://www.sec.gov/litigation/admin/2016/33-10247.pdf 2016-11-04 The Registration Statement of Zubra Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10248 https://www.sec.gov/litigation/admin/2016/33-10248.pdf 2016-11-04 The Registration Statement of Instride, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79238 https://www.sec.gov/litigation/suspensions/2016/34-79238.pdf 2016-11-04 Instride, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79243 https://www.sec.gov/litigation/admin/2016/34-79243.pdf 2016-11-04 Easter, Kent W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79247 https://www.sec.gov/litigation/admin/2016/34-79247.pdf 2016-11-04 OppenheimerFunds, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved OppenheimerFunds Distributor, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79254 https://www.sec.gov/litigation/admin/2016/34-79254.pdf 2016-11-07 Moriarty, Philip E. II Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79256 https://www.sec.gov/litigation/admin/2016/34-79256.pdf 2016-11-07 PowerSecure International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. IA-4566 https://www.sec.gov/litigation/opinions/2016/ia-4566.pdf 2016-11-07 The Robare Group, Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the penalty. Robare, Marc L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the penalty. Jones, Jack L. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the penalty. 33-10249 https://www.sec.gov/litigation/admin/2016/33-10249.pdf 2016-11-08 Johnson, Glenn Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Sinish, William Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10250 https://www.sec.gov/litigation/admin/2016/33-10250.pdf 2016-11-10 Todd, Derik J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Madison Capital Energy Income Fund II GP LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Big Horn Minerals LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Madison Capital Investments LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Madison Royalty Management LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10251 https://www.sec.gov/litigation/admin/2016/33-10251.pdf 2016-11-10 EZTD Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IC-32357 https://www.sec.gov/rules/ic/2016/ic-32357.pdf 2016-11-10 State Farm Associates' Funds Trust, et al. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10252 https://www.sec.gov/litigation/admin/2016/33-10252.pdf 2016-11-14 Kon, Alexander Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10253 https://www.sec.gov/litigation/admin/2016/33-10253.pdf 2016-11-14 Cummings, Casey Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10254 https://www.sec.gov/litigation/admin/2016/33-10254.pdf 2016-11-14 Dias, Raimundo Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved OTC Global Partners, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10255 https://www.sec.gov/rules/other/2016/33-10255.pdf 2016-11-14 Order Approving Public Company Accounting Oversight Board Supplemental Budget for Calendar Year 2016 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 33-10256 https://www.sec.gov/litigation/admin/2016/33-10256.pdf 2016-11-15 Egan, Christopher Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79318 https://www.sec.gov/rules/sro/nms/2016/34-79318.pdf 2016-11-15 Order Approving the National Market System Plan Governing the Consolidated Audit Trail Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79319 https://www.sec.gov/litigation/admin/2016/34-79319.pdf 2016-11-15 Questrust Ventures, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Zaring Homes, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79320 https://www.sec.gov/litigation/suspensions/2016/34-79320.pdf 2016-11-16 Kogeto, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Lustros, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Med-X Systems, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79321 https://www.sec.gov/litigation/admin/2016/34-79321.pdf 2016-11-16 Kogeto, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Lustros, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Med-X Systems, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79325 https://www.sec.gov/litigation/admin/2016/34-79325.pdf 2016-11-16 Anderson, Bryan Wayne Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79332 https://www.sec.gov/litigation/admin/2016/34-79332.pdf 2016-11-17 Altair Nanotechnologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-79333 https://www.sec.gov/litigation/suspensions/2016/34-79333.pdf 2016-11-17 Harvey Westbury Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved InterCore, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kalex Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79334 https://www.sec.gov/litigation/admin/2016/34-79334.pdf 2016-11-17 Harvey Westbury Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved InterCore, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kalex Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79335 https://www.sec.gov/litigation/admin/2016/34-79335.pdf 2016-11-17 JPMorgan Chase & Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79338 https://www.sec.gov/litigation/admin/2016/34-79338.pdf 2016-11-17 Holt (aka Mark D. Holthusen), Mark D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79348 https://www.sec.gov/litigation/admin/2016/34-79348.pdf 2016-11-18 Winters, Cody M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79349 https://www.sec.gov/litigation/admin/2016/34-79349.pdf 2016-11-18 Hamilton, Nicholas R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79358 https://www.sec.gov/litigation/suspensions/2016/34-79358.pdf 2016-11-21 MGN Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79359 https://www.sec.gov/litigation/admin/2016/34-79359.pdf 2016-11-21 MGN Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79364 https://www.sec.gov/litigation/admin/2016/34-79364.pdf 2016-11-21 PMB Helin Donovan, LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bauer, Christopher CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Jamieson, Jeffrey CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79365 https://www.sec.gov/litigation/admin/2016/34-79365.pdf 2016-11-21 All-Pro Products, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Cashtek Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Gotham Apparel Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Lafayette Industries, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79368 https://www.sec.gov/litigation/admin/2016/34-79368.pdf 2016-11-21 Grassi & Co., CPAs, P.C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79369 https://www.sec.gov/litigation/admin/2016/34-79369.pdf 2016-11-21 Purwin, Gary R. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79370 https://www.sec.gov/rules/sro/nyse/2016/34-79370.pdf 2016-11-21 New York Stock Exchange LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79372 https://www.sec.gov/litigation/admin/2016/34-79372.pdf 2016-11-22 American Mortgage and Investment Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10259 https://www.sec.gov/litigation/admin/2016/33-10259.pdf 2016-11-23 Ringer, Dennis Ira Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79382 https://www.sec.gov/rules/other/2016/34-79382.pdf 2016-11-23 Order Granting Registration of HR Ratings de México, S.A. de C.V. for Two Additional Classes of Credit Ratings Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79391 https://www.sec.gov/rules/sro/nscc-an/2016/34-79391.pdf 2016-11-23 National Securities Clearing Corporation; Notice of Filing of Advance Notice to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of “Off-the-Market Transactions,” and Make Other Changes Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79393 https://www.sec.gov/litigation/admin/2016/34-79393.pdf 2016-11-23 Merkley, Kendall G. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79394 https://www.sec.gov/litigation/admin/2016/34-79394.pdf 2016-11-23 Krohn, Michael K. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79395 https://www.sec.gov/litigation/admin/2016/34-79395.pdf 2016-11-23 Shapiro, Mark David CPA Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 34-79396 https://www.sec.gov/litigation/admin/2016/34-79396.pdf 2016-11-23 Zucker, Brian CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79397 https://www.sec.gov/litigation/admin/2016/34-79397.pdf 2016-11-23 Hozie, Stephen Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 34-79410 https://www.sec.gov/rules/sro/nms/2016/34-79410.pdf 2016-11-28 Notice of Filing of the Twelfth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79416 https://www.sec.gov/litigation/suspensions/2016/34-79416.pdf https://www.sec.gov/litigation/suspensions/2016/34-79416-o.pdf 2016-11-29 Odyssey Pictures Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Portus Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Vampt America, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Westport Energy Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79417 https://www.sec.gov/litigation/admin/2016/34-79417.pdf 2016-11-29 Odyssey Pictures Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Portus Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Vampt America, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Westport Energy Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79422 https://www.sec.gov/rules/sro/nms/2016/34-79422.pdf 2016-11-29 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Investors Exchange, LLC as a Party Thereto Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79427 https://www.sec.gov/litigation/admin/2016/34-79427.pdf 2016-11-29 Wilson, Michael S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Cotterman-Wilson, CPAs, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Budden, James T. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Budden, Alexander W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79434 https://www.sec.gov/litigation/admin/2016/34-79434.pdf 2016-11-30 Mars Acquisitions, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SoftNet Technology Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10228 http://www.sec.gov/litigation/admin/2016/33-10228.pdf 2016-10-04 Laurence I. Balter (d/b/a Oracle Investment Research) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10229 http://www.sec.gov/litigation/admin/2016/33-10229.pdf 2016-10-05 Credit Suisse AG Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10230 http://www.sec.gov/litigation/admin/2016/33-10230.pdf 2016-10-05 Bögli, Rolf Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79042 http://www.sec.gov/litigation/suspensions/2016/34-79042.pdf 2016-10-05 Boreal Water Collection, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79043 http://www.sec.gov/litigation/admin/2016/34-79043.pdf 2016-10-05 Boreal Water Collection, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4546 http://www.sec.gov/litigation/admin/2016/ia-4546.pdf 2016-10-05 Dupree Financial Group, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79065 http://www.sec.gov/litigation/admin/2016/34-79065.pdf 2016-10-06 Risinger, Jeffrey B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79066 http://www.sec.gov/litigation/admin/2016/34-79066.pdf 2016-10-06 Risinger, Jeffrey B. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10231 http://www.sec.gov/rules/final/2016/33-10231.pdf 2016-10-13 Investment Company Reporting Modernization; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 33-10233 http://www.sec.gov/rules/final/2016/33-10233.pdf 2016-10-13 Investment Company Liquidity Risk Management Programs; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10234 http://www.sec.gov/rules/final/2016/33-10234.pdf 2016-10-13 Investment Company Swing Pricing; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-79083 https://www.sec.gov/litigation/admin/2016/34-79083.pdf 2016-10-12 Deutsche Bank Securities, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4549 https://www.sec.gov/litigation/admin/2016/ia-4549.pdf 2016-10-12 Savva, Nicholas S Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10232 https://www.sec.gov/litigation/admin/2016/33-10232.pdf 2016-10-13 Forcerank LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79096 https://www.sec.gov/rules/sro/occ-an/2016/34-79096.pdf 2016-10-13 The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation’s Escrow Deposit Program Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4550 https://www.sec.gov/litigation/admin/2016/ia-4550.pdf 2016-10-13 Artis Capital Management, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Harden, Michael W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79102 https://www.sec.gov/litigation/admin/2016/34-79102.pdf 2016-10-14 Rogers, Keith Michael Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10238 https://www.sec.gov/rules/final/2016/33-10238.pdf 2016-10-26 Exemptions to Facilitate Intrastate and Regional Securities Offerings; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79164 https://www.sec.gov/rules/proposed/2016/34-79164.pdf 2016-10-26 Universal Proxy; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved IA-4552 https://www.sec.gov/litigation/admin/2016/ia-4552.pdf 2016-10-17 Haab, Matthew D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10236 https://www.sec.gov/litigation/admin/2016/33-10236.pdf 2016-10-18 Lebel, Paul T. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79109 https://www.sec.gov/litigation/admin/2016/34-79109.pdf 2016-10-18 Ernst & Young LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Fronckiewicz, Craig R. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Adams, Sarah E. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79113 https://www.sec.gov/litigation/admin/2016/34-79113.pdf 2016-10-18 Bank Leumi le-Israel B.M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Leumi Private Bank Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bank Leumi (Luxembourg) S.A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4554 https://www.sec.gov/litigation/admin/2016/ia-4554.pdf 2016-10-18 Calvert Investment Management, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79120 https://www.sec.gov/litigation/admin/2016/34-79120.pdf 2016-10-19 Aronson, David A. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79121 https://www.sec.gov/litigation/admin/2016/34-79121.pdf 2016-10-19 Sizer, Craig V. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79123 https://www.sec.gov/litigation/admin/2016/34-79123.pdf 2016-10-19 Meza, Miguel Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79124 https://www.sec.gov/litigation/admin/2016/34-79124.pdf 2016-10-19 Yaffar-Pena, Lia Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4556 https://www.sec.gov/litigation/admin/2016/ia-4556.pdf 2016-10-19 Aubry, Mark J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79126 https://www.sec.gov/litigation/admin/2016/34-79126.pdf 2016-10-20 Valentine, John Leo Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79127 https://www.sec.gov/litigation/admin/2016/34-79127.pdf 2016-10-20 FMC Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Favret, Jeffrey CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Croft, Steven K. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10237 https://www.sec.gov/litigation/admin/2016/33-10237.pdf 2016-10-21 Navagate, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Rorke, Gregory Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79137 https://www.sec.gov/litigation/admin/2016/34-79137.pdf 2016-10-21 Chandler, Julianne M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79141 https://www.sec.gov/litigation/suspensions/2016/34-79141.pdf 2016-10-24 Dynamic Response Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Eagle Telephonics, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Far East Energy Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79142 https://www.sec.gov/litigation/admin/2016/34-79142.pdf 2016-10-24 Dynamic Response Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Eagle Telephonics, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Far East Energy Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79143 https://www.sec.gov/litigation/suspensions/2016/34-79143.pdf 2016-10-24 Cala Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved China Huaren Organic Products, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Daystar Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hangover Joe's Holding Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79144 https://www.sec.gov/litigation/admin/2016/34-79144.pdf 2016-10-24 Cala Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved China Huaren Organic Products, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Daystar Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hangover Joe's Holding Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79147 https://www.sec.gov/litigation/admin/2016/34-79147.pdf 2016-10-24 David S. Hall, P.C. d/b/a The Hall Group, CPAs Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hall, David S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79168 https://www.sec.gov/litigation/admin/2016/34-79168.pdf 2016-10-26 Pittera, Joseph L. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10239 https://www.sec.gov/litigation/admin/2016/33-10239.pdf 2016-10-27 Kramer, Curt Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hope Capital, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79170 https://www.sec.gov/litigation/admin/2016/34-79170.pdf 2016-10-27 Cain, Michael S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79175 https://www.sec.gov/litigation/admin/2016/34-79175.pdf 2016-10-27 Henning-Carey Proprietary Trading, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79176 https://www.sec.gov/litigation/admin/2016/34-79176.pdf 2016-10-27 Bedwell, Robert P. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79179 https://www.sec.gov/litigation/admin/2016/34-79179.pdf 2016-10-28 Q Lotus Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Spare Backup, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79180 https://www.sec.gov/litigation/suspensions/2016/34-79180.pdf 2016-10-28 InterAmerican Gaming, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Spot Mobile International Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79181 https://www.sec.gov/litigation/admin/2016/34-79181.pdf 2016-10-28 BioNovo, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved InterAmerican Gaming, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Spot Mobile International Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10241 https://www.sec.gov/litigation/admin/2016/33-10241.pdf 2016-10-31 Reger, Michael L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10242 https://www.sec.gov/litigation/admin/2016/33-10242.pdf 2016-10-31 PKF O’Connor Davies, LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Consolo, Domenick F. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79193 https://www.sec.gov/litigation/admin/2016/34-79193.pdf 2016-10-31 Beamish, Adrian D. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79195 https://www.sec.gov/litigation/admin/2016/34-79195.pdf 2016-10-31 Shermeta, Nicholas H. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Napa Properties, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79202 https://www.sec.gov/litigation/admin/2016/34-79202.pdf 2016-10-31 Pensley, Joel Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79022 https://www.sec.gov/litigation/suspensions/2016/34-79022.pdf https://www.sec.gov/litigation/suspensions/2016/34-79022-o.pdf 2016-10-03 Avatar Ventures Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10235 https://www.sec.gov/litigation/opinions/2016/33-10235.pdf 2016-10-13 Mex-X, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79136 https://www.sec.gov/litigation/admin/2016/34-79136.pdf 2016-10-21 Strong Capital Management, Inc., et al. Fair Fund Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79139 https://www.sec.gov/litigation/admin/2016/34-79139.pdf 2016-10-21 GMB Capital Management, LLC, Fair Fund Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79152 https://www.sec.gov/rules/sro/nms/2016/34-79152.pdf 2016-10-25 Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Professional Subscriber Device-Based Fees and Policies with Respect to Device-Based Fees Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79153 https://www.sec.gov/rules/sro/nms/2016/34-79153.pdf 2016-10-25 Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA’s Non-Display Use Fees Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78754 http://www.sec.gov/litigation/admin/2016/34-78754.pdf 2016-09-01 Tahmazian, Jilbert Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78775 http://www.sec.gov/litigation/admin/2016/34-78775.pdf 2016-09-07 Kazinec, Aaron Nash Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78776 http://www.sec.gov/litigation/admin/2016/34-78776.pdf 2016-09-07 Diaz, Eduardo Guillermo Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78783 http://www.sec.gov/litigation/admin/2016/34-78783.pdf 2016-09-08 Morariu, Marius Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4525 http://www.sec.gov/litigation/admin/2016/ia-4525.pdf 2016-09-08 Raymond James & Associates, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4526 http://www.sec.gov/litigation/admin/2016/ia-4526.pdf 2016-09-08 Robert W. Baird & Co. Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IC-32254 http://www.sec.gov/rules/ic/2016/ic-32254.pdf 2016-09-08 Advisors Series Trust and Orinda Asset Management, LLC; Notice of Intention to Rescind an Order Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10204 http://www.sec.gov/litigation/admin/2016/33-10204.pdf 2016-09-09 BOKF, NA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78824 http://www.sec.gov/litigation/admin/2016/34-78824.pdf 2016-09-13 Portugal Telecom, SGPS, S.A., now known as PHAROL SGPS, S.A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-78825 http://www.sec.gov/litigation/admin/2016/34-78825.pdf 2016-09-13 Zhang, Jun Ping Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78832 https://www.sec.gov/litigation/admin/2016/34-78832.pdf 2016-09-13 Weed, Richard Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78834 http://www.sec.gov/rules/sro/occ-an/2016/34-78834.pdf 2016-09-14 The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning The Options Clearing Corporation’s Escrow Deposit Program Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4529 http://www.sec.gov/litigation/admin/2016/ia-4529.pdf 2016-09-14 First Reserve Management, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10209 http://www.sec.gov/rules/other/2016/33-10209.pdf 2016-09-15 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78852 http://www.sec.gov/litigation/admin/2016/34-78852.pdf 2016-09-15 Kreais, Francis W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78853 http://www.sec.gov/litigation/admin/2016/34-78853.pdf 2016-09-15 Jenkins, Gordon W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78854 http://www.sec.gov/litigation/admin/2016/34-78854.pdf 2016-09-15 Sweeten, Theodore P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10210 http://www.sec.gov/litigation/admin/2016/33-10210.pdf 2016-09-16 Fusion Pharm, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10211 http://www.sec.gov/litigation/admin/2016/33-10211.pdf 2016-09-16 Dittman, Scott M. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10212 http://www.sec.gov/litigation/admin/2016/33-10212.pdf 2016-09-16 Sears, William J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10213 http://www.sec.gov/litigation/admin/2016/33-10213.pdf 2016-09-16 Microcap Management LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bayside Realty Holdings LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Meadpoint Venture Partners, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10214 http://www.sec.gov/litigation/admin/2016/33-10214.pdf 2016-09-16 Bodden, Cliffe R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10215 http://www.sec.gov/litigation/admin/2016/33-10215.pdf 2016-09-16 Ditommaso, Tod A. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10216 http://www.sec.gov/litigation/admin/2016/33-10216.pdf 2016-09-16 Med-X, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78856 http://www.sec.gov/litigation/suspensions/2016/34-78856.pdf 2016-09-16 All Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved As Seen On TV, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78857 http://www.sec.gov/litigation/admin/2016/34-78857.pdf 2016-09-16 All Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved As Seen On TV, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78858 https://www.sec.gov/litigation/admin/2016/34-78858.pdf 2016-09-16 Affordable Green Homes International Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Jilco Industries, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved TMP Land Mortgage Fund, Ltd., a California Limited Partnership Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78872 http://www.sec.gov/litigation/admin/2016/34-78872.pdf 2016-09-19 Ernst & Young LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bednar, Gregory S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78873 http://www.sec.gov/litigation/admin/2016/34-78873.pdf 2016-09-19 Ernst & Young LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Brehl, Robert J. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hartford, Pamela J. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kamienski, Michael T. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78875 http://www.sec.gov/litigation/admin/2016/34-78875.pdf 2016-09-19 Zimmerman, David A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78876 http://www.sec.gov/litigation/admin/2016/34-78876.pdf 2016-09-19 Phu, Kenny Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78877 http://www.sec.gov/litigation/admin/2016/34-78877.pdf 2016-09-19 Prolman, David Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78884 http://www.sec.gov/litigation/admin/2016/34-78884.pdf 2016-09-20 Nu Skin Enterprises, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78891 http://www.sec.gov/litigation/admin/2016/34-78891.pdf 2016-09-20 Bluforest, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78893 https://www.sec.gov/rules/sro/occ-an/2016/34-78893.pdf 2016-09-21 The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation’s Proposal to Enter Into a New Credit Facility Agreement Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78895 http://www.sec.gov/litigation/admin/2016/34-78895.pdf 2016-09-21 Hahn, Karl E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78896 http://www.sec.gov/litigation/admin/2016/34-78896.pdf 2016-09-21 Park National Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-78897 http://www.sec.gov/litigation/admin/2016/34-78897.pdf 2016-09-21 Waegelein, Robert CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78903 http://www.sec.gov/litigation/admin/2016/34-78903.pdf 2016-09-22 AIC International Resources Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Stellar Metals, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78904 http://www.sec.gov/litigation/admin/2016/34-78904.pdf 2016-09-22 Amarillo Mesquite Grill, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Global Opportunity Fund LP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Healthrenu Medical, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hynes & Howes Insurance Counselors, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78905 http://www.sec.gov/litigation/admin/2016/34-78905.pdf 2016-09-22 Capital Preferred Yield Fund-III, LP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Clearly Canadian Beverage Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Diversinet Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78906 http://www.sec.gov/litigation/admin/2016/34-78906.pdf 2016-09-22 Wilmington Savings Fund Society, FSB Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78921 http://www.sec.gov/litigation/admin/2016/34-78921.pdf 2016-09-23 Paterson, David A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78922 http://www.sec.gov/litigation/admin/2016/34-78922.pdf 2016-09-23 Koppelman, Charles A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78923 http://www.sec.gov/litigation/admin/2016/34-78923.pdf 2016-09-23 Medient Studios, Inc., a/k/a Moon River Studios, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78924 http://www.sec.gov/litigation/admin/2016/34-78924.pdf 2016-09-23 Mellon, Matthew T. II Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4534 http://www.sec.gov/litigation/admin/2016/ia-4534.pdf 2016-09-23 Aviva Investors Americas, LLC, as successor entity to Aviva Investors North America, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78961 http://www.sec.gov/rules/final/2016/34-78961.pdf 2016-09-28 Standards for Covered Clearing Agencies; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78962 http://www.sec.gov/rules/proposed/2016/34-78962.pdf 2016-09-28 Amendment to Securities Transaction Settlement Cycle; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78963 http://www.sec.gov/rules/proposed/2016/34-78963.pdf 2016-09-28 Definition of "Covered Clearing Agency"; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78928 http://www.sec.gov/litigation/suspensions/2016/34-78928.pdf 2016-09-26 A.A. Importing Co., Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ACM Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Alleghany Pharmacal Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Amiworld, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved BTHC XIV, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Buccaneer Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved CECO Filters, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Child World, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Comp Services Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Connohio, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Dadongnan Holding., Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Day & Meyer, Murray & Young Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved DEI Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Diversified Thermal Solutions, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Global Industries Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Havaya Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Helpeo, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hua Ye Gas Group Holding Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved International Capital & Technology Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kinemotive Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Old Fashion Foods, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Peptide Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved PTI Holding, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Rancho Santa Monica Developments, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Restaurant Acquisition Partners, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Richland Resources Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SMSA Humble Acquisition Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SMSA Treemont Acquisition Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Stevens International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Sur Ventures, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved USA InvestCo Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Whole Gold International Group Holding Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Winter Sports, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Wintex Mill, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Wyndmoor Industries, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ya Zhu Silk, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78929 http://www.sec.gov/litigation/admin/2016/34-78929.pdf 2016-09-26 Merrill Lynch, Pierce, Fenner & Smith Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78932 http://www.sec.gov/litigation/admin/2016/34-78932.pdf 2016-09-26 Bonacci, Nicholas M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78933 http://www.sec.gov/litigation/admin/2016/34-78933.pdf 2016-09-26 Accel Brands, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78934 http://www.sec.gov/litigation/admin/2016/34-78934.pdf 2016-09-26 Connexus Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78937 http://www.sec.gov/litigation/admin/2016/34-78937.pdf 2016-09-26 Barucci, Frank S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78938 http://www.sec.gov/litigation/admin/2016/34-78938.pdf 2016-09-26 Barucci, Frank P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78939 http://www.sec.gov/litigation/admin/2016/34-78939.pdf 2016-09-26 Rajan, Vijay S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78940 http://www.sec.gov/litigation/admin/2016/34-78940.pdf 2016-09-26 Hashim, Syed A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10221 http://www.sec.gov/litigation/admin/2016/33-10221.pdf 2016-09-27 Weatherford International plc, f/k/a Weatherford International Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hudgins, James CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kitay, Darryl CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10222 http://www.sec.gov/litigation/admin/2016/33-10222.pdf 2016-09-27 Orrstown Financial Services, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Quinn, Thomas R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Everly, Bradley S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Embly, Jeffrey W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Barton, Douglas P. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10223 http://www.sec.gov/litigation/admin/2016/33-10223.pdf 2016-09-27 Silverman, Jeffrey A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Silverman, Anthony Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78941 https://www.sec.gov/rules/other/2016/34-78941.pdf 2016-09-27 LCH SA; Notice of Filing of Application for Registration as a Clearing Agency and Request for Exemptive Relief Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78942 http://www.sec.gov/litigation/suspensions/2016/34-78942.pdf 2016-09-27 Accel Brands, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78955 http://www.sec.gov/litigation/admin/2016/34-78955.pdf 2016-09-27 Bluefire Renewables, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78957 http://www.sec.gov/litigation/admin/2016/34-78957.pdf 2016-09-28 Anheuser-Busch InBev SA/NV Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78958 http://www.sec.gov/litigation/admin/2016/34-78958.pdf 2016-09-28 UBS Financial Services, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78970 http://www.sec.gov/litigation/admin/2016/34-78970.pdf 2016-09-28 Cantab Pharmaceuticals PLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved International Panorama Resource Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Zealous, Inc. (n/k/a CoreStream Energy, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78971 http://www.sec.gov/litigation/admin/2016/34-78971.pdf 2016-09-28 Telestone Technologies Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved US Fuel Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Victory Eagle Resources Corp. Mary Jo White Kara M. Stein Michael S. Piwowar IA-4537 http://www.sec.gov/litigation/admin/2016/ia-4537.pdf 2016-09-28 Gleisner, Jan Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Pagan, Keith D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78972 http://www.sec.gov/litigation/suspensions/2016/34-78972.pdf 2016-09-29 Sierra Resource Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78973 http://www.sec.gov/litigation/admin/2016/34-78973.pdf 2016-09-29 Sierra Resource Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78975 http://www.sec.gov/rules/exorders/2016/34-78975.pdf 2016-09-29 Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934 Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 34-78976 http://www.sec.gov/litigation/admin/2016/34-78976.pdf 2016-09-29 Whitehead, Kenneth S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78989 http://www.sec.gov/litigation/admin/2016/34-78989.pdf 2016-09-29 Och-Ziff Capital Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved OZ Management LP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Och, Daniel S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Frank, Joel M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78991 http://www.sec.gov/litigation/admin/2016/34-78991.pdf 2016-09-29 International Game Technology Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78994 http://www.sec.gov/litigation/admin/2016/34-78994.pdf 2016-09-29 Cleary, James E. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78995 http://www.sec.gov/litigation/admin/2016/34-78995.pdf 2016-09-29 Ganton, Jason M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78996 http://www.sec.gov/litigation/admin/2016/34-78996.pdf 2016-09-29 Newman, Mason D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78997 http://www.sec.gov/litigation/admin/2016/34-78997.pdf 2016-09-29 Altair Nanotechnologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-78998 http://www.sec.gov/litigation/admin/2016/34-78998.pdf 2016-09-29 Altair Nanotechnologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-78999 http://www.sec.gov/litigation/admin/2016/34-78999.pdf 2016-09-29 Cope, Jason Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4538 http://www.sec.gov/litigation/admin/2016/ia-4538.pdf 2016-09-29 Whelehan, Colin Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4539 http://www.sec.gov/litigation/admin/2016/ia-4539.pdf 2016-09-29 Tsai, Sheren Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10226 http://www.sec.gov/litigation/admin/2016/33-10226.pdf 2016-09-30 Rainbow International, Corp. (a/k/a Raintree Brands Incorporated) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Corn, Donald R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79000 http://www.sec.gov/litigation/suspensions/2016/34-79000.pdf 2016-09-30 Infinex Ventures, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79001 http://www.sec.gov/litigation/suspensions/2016/34-79001.pdf 2016-09-30 Rainbow International, Corp. (a/k/a Raintree Brands Incorporated) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79003 http://www.sec.gov/litigation/admin/2016/34-79003.pdf 2016-09-30 Moloney Securities Co., Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Medley, Joseph R. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79004 http://www.sec.gov/litigation/admin/2016/34-79004.pdf 2016-09-30 D'Arelli Pruzansky, P.A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved D’Arelli, Joseph CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Pruzansky, Mitchell J. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79005 http://www.sec.gov/litigation/admin/2016/34-79005.pdf 2016-09-30 GlaxoSmithKline plc Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79011 http://www.sec.gov/litigation/admin/2016/34-79011.pdf 2016-09-30 Elray Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79015 http://www.sec.gov/litigation/admin/2016/34-79015.pdf 2016-09-30 Greenfield, Jonathan Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79020 http://www.sec.gov/litigation/admin/2016/34-79020.pdf 2016-09-30 Duban, Dennis CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79021 http://www.sec.gov/litigation/admin/2016/34-79021.pdf 2016-09-30 Brazile, Steven M. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10203 https://www.sec.gov/rules/other/2016/33-10203.pdf 2016-09-02 Regulatory Flexibility Agenda; Notice of semiannual regulatory agenda Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10205 https://www.sec.gov/litigation/opinions/2016/33-10205.pdf 2016-09-09 Cohen, Moshe Marc Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10206 https://www.sec.gov/litigation/opinions/2016/33-10206.pdf 2016-09-13 Feldman, Jonathan I. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved optionsXpress, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10207 https://www.sec.gov/litigation/opinions/2016/33-10207.pdf 2016-09-13 Malouf, Dennis J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4531 https://www.sec.gov/rules/other/2016/ia4531.pdf 2016-09-20 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order with Respect to MSRB Rule G-37 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4532 https://www.sec.gov/rules/other/2016/ia4532.pdf 2016-09-20 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order with respect to FINRA Rule 2030 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10217 https://www.sec.gov/rules/final/2016/33-10217.pdf 2016-09-20 Adoption of Updated EDGAR Filer Manual; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10218 https://www.sec.gov/litigation/admin/2016/33-10218.pdf 2016-09-21 Rose, Sheldon Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved MKJJ Consulting LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10219 https://www.sec.gov/litigation/opinions/2016/33-10219.pdf 2016-09-21 Schalk, Russell C. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78899 https://www.sec.gov/litigation/opinions/2016/34-78899.pdf 2016-09-21 Hsu, Li-Lin Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10227 https://www.sec.gov/litigation/opinions/2016/33-10227.pdf 2016-09-30 Grossman, Larry C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79007 https://www.sec.gov/litigation/opinions/2016/34-79007.pdf 2016-09-30 Akindemowo, Kenny Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79008 https://www.sec.gov/litigation/opinions/2016/34-79008.pdf 2016-09-30 Wanger, Eric David Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79010 https://www.sec.gov/litigation/opinions/2016/34-79010.pdf 2016-09-30 AutoChina International Limited Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79016 https://www.sec.gov/litigation/opinions/2016/34-79016.pdf 2016-09-30 Murphy, Kevin M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79018 https://www.sec.gov/litigation/opinions/2016/34-79018.pdf 2016-09-30 Fillet, Mitchell H. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79019 https://www.sec.gov/litigation/admin/2016/34-79019.pdf 2016-09-30 Ritter, Alan CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78757 https://www.sec.gov/litigation/suspensions/2016/34-78757.pdf https://www.sec.gov/litigation/suspensions/2016/34-78757-o.pdf 2016-09-02 Preston Royalty Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10224 https://www.sec.gov/rules/other/2016/33-10224.pdf 2016-09-28 SG Americas Securities, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78457 http://www.sec.gov/litigation/admin/2016/34-78457.pdf 2016-08-02 Alison, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Alison, Stephen D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78458 http://www.sec.gov/litigation/opinions/2016/34-78458.pdf 2016-08-02 Woolf, Linda Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4469 http://www.sec.gov/litigation/opinions/2016/ia-4469.pdf 2016-08-02 Eisnaugle, Jeffry C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78463 http://www.sec.gov/litigation/opinions/2016/34-78463.pdf 2016-08-02 Stuart, Stephen Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78464 http://www.sec.gov/litigation/opinions/2016/34-78464.pdf 2016-08-02 Sheinwald, Alan Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78465 http://www.sec.gov/litigation/opinions/2016/34-78465.pdf 2016-08-02 McGee, Timothy J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78466 http://www.sec.gov/litigation/opinions/2016/34-78466.pdf 2016-08-02 Guyette, John B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4470 http://www.sec.gov/litigation/opinions/2016/ia-4470.pdf 2016-08-02 Gowrish, Vinayak S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78467 http://www.sec.gov/litigation/opinions/2016/34-78467.pdf 2016-08-02 Zurita, Michael Antonio Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78468 http://www.sec.gov/litigation/opinions/2016/34-78468.pdf 2016-08-02 Boppre, Brian W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78469 http://www.sec.gov/litigation/opinions/2016/34-78469.pdf 2016-08-02 Turner, James F. II Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78470 http://www.sec.gov/litigation/opinions/2016/34-78470.pdf 2016-08-02 Healy, Sean Nathan Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78477 http://www.sec.gov/rules/sro/nms/2016/34-78477.pdf 2016-08-04 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, ISE Mercury, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78490 http://www.sec.gov/litigation/opinions/2016/34-78490.pdf 2016-08-05 Aesoph, John J. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the bar sanctions. Bennett, Darren M. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the bar sanctions. 34-78506 http://www.sec.gov/litigation/suspensions/2016/34-78506.pdf 2016-08-09 Chang-On International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Computer Graphics International Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Guanwei Recycling Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved John D. Oil and Gas Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Legal Life Plans, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Powder River Coal Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Reunion Industries, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ThermoEnergy Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78507 http://www.sec.gov/litigation/admin/2016/34-78507.pdf 2016-08-09 Capitol City Bancshares, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Chang-On International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Computer Graphics International Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved John D. Oil and Gas Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Legal Life Plans, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Powder River Coal Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4473 http://www.sec.gov/litigation/admin/2016/ia-4473.pdf 2016-08-09 Sawano, Perry S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78515 http://www.sec.gov/litigation/admin/2016/34-78515.pdf 2016-08-09 Lobelsky, Terry Pickering Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78516 http://www.sec.gov/litigation/admin/2016/34-78516.pdf 2016-08-09 Gray, David R. II Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78518 http://www.sec.gov/litigation/admin/2016/34-78518.pdf 2016-08-09 Walter, Merle G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78528 http://www.sec.gov/litigation/admin/2016/34-78528.pdf 2016-08-10 BlueLinx Holdings Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 33-10119 http://www.sec.gov/litigation/opinions/2016/33-10119.pdf 2016-08-10 Gonnella, Thomas C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to Section III.A. IA-4478 http://www.sec.gov/litigation/admin/2016/ia-4478.pdf 2016-08-10 Hawkins, Brad R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78538 http://www.sec.gov/litigation/admin/2016/34-78538.pdf 2016-08-10 Dominion Minerals Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Foxwedge, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Harrington Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Juniper Acquisition Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Nexus Data Security Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78539 http://www.sec.gov/litigation/admin/2016/34-78539.pdf 2016-08-10 Ameralink, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Basin Industries, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Claire Coast Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Clinicorp, Inc. (n/k/a Trident Medical Concepts, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78540 http://www.sec.gov/litigation/admin/2016/34-78540.pdf 2016-08-10 Eastland Financial Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Granite Cliffs, Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Greater Asia Realty Holdings, Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78541 http://www.sec.gov/litigation/admin/2016/34-78541.pdf 2016-08-11 Morgan Asset Management, Inc., Morgan Keegan & Company, Inc., James C. Kelso, Jr., and Joseph Thompson Weller, CPA, Fair Fund Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4479 http://www.sec.gov/litigation/admin/2016/ia-4479.pdf 2016-08-11 McKee, Randall W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78551 http://www.sec.gov/litigation/admin/2016/34-78551.pdf 2016-08-11 Meyer, Ricky T. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78558 http://www.sec.gov/litigation/admin/2016/34-78558.pdf 2016-08-11 Key Energy Services, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78560 http://www.sec.gov/litigation/suspensions/2016/34-78560.pdf 2016-08-12 Safecode Drug Technologies Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Dynamic Ventures Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78561 http://www.sec.gov/litigation/admin/2016/34-78561.pdf 2016-08-12 Safecode Drug Technologies Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78562 http://www.sec.gov/litigation/admin/2016/34-78562.pdf 2016-08-12 Triumph Ventures Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78563 http://www.sec.gov/litigation/admin/2016/34-78563.pdf 2016-08-12 Dynamic Ventures Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4482 http://www.sec.gov/litigation/opinions/2016/ia-4482.pdf 2016-08-12 Ourand, Brian J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78568 http://www.sec.gov/litigation/opinions/2016/34-78568.pdf 2016-08-12 Wedbush Securities, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Wedbush, Edward William Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10120 http://www.sec.gov/litigation/admin/2016/33-10120.pdf 2016-08-15 Eden Arc Capital Advisors, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Eden Arc Capital Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Lathen, Donald F. ("Jay") Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78571 http://www.sec.gov/litigation/admin/2016/34-78571.pdf 2016-08-15 Zhou, Tianyu Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78574 http://www.sec.gov/litigation/admin/2016/34-78574.pdf 2016-08-15 Clare, Barry B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4483 http://www.sec.gov/litigation/admin/2016/ia-4483.pdf 2016-08-15 Bollinger, Jeff M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Fortius Financial Advisors, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Oliver, Gary E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10122 http://www.sec.gov/litigation/admin/2016/33-10122.pdf 2016-08-16 Delaney, David C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Delaney Equity Group LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kass, Ian C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78579 http://www.sec.gov/litigation/admin/2016/34-78579.pdf 2016-08-16 Barnes, Cathy S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Barnes, Damon M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78581 http://www.sec.gov/litigation/admin/2016/34-78581.pdf 2016-08-16 Bean, Daniel J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78582 http://www.sec.gov/litigation/admin/2016/34-78582.pdf 2016-08-16 Shipley, John L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78583 http://www.sec.gov/litigation/admin/2016/34-78583.pdf 2016-08-16 Beauregard, Jennifer M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Beauregard, Joshua M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78585 http://www.sec.gov/litigation/admin/2016/34-78585.pdf 2016-08-16 Chin, Edwin K. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78590 http://www.sec.gov/litigation/admin/2016/34-78590.pdf 2016-08-16 Health Net, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-78591 http://www.sec.gov/litigation/admin/2016/34-78591.pdf 2016-08-16 Oppenheim, Michael J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78597 http://www.sec.gov/litigation/suspensions/2016/34-78597.pdf 2016-08-17 Imperial Plantation Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78603 http://www.sec.gov/litigation/admin/2016/34-78603.pdf 2016-08-17 Delaney Equity Group LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78607 http://www.sec.gov/litigation/admin/2016/34-78607.pdf 2016-08-17 Maiher, Jason Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the bar under Rule 102(e) of the Rules of Practice. IA-4490 http://www.sec.gov/litigation/admin/2016/ia-4490.pdf 2016-08-17 Jackson, Paul J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78608 http://www.sec.gov/litigation/admin/2016/34-78608.pdf 2016-08-18 Amersey, Nitin M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bay City Transfer Agency and Registrar, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4509 http://www.sec.gov/rules/final/2016/ia-4509.pdf 2016-08-25 Form ADV and Investment Advisers Act Rules; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10198 http://www.sec.gov/rules/other/2016/33-10198.pdf 2016-08-25 Request for Comment on Subpart 400 of Regulation S-K Disclosure Requirements Relating to Management, Certain Security Holders and Corporate Governance Matters; Request for comment Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78716 http://www.sec.gov/rules/final/2016/34-78716.pdf 2016-08-29 Access to Data Obtained by Security-Based Swap Data Repositories; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78623 http://www.sec.gov/litigation/admin/2016/34-78623.pdf 2016-08-22 Miller, John W.R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78624 http://www.sec.gov/litigation/admin/2016/34-78624.pdf 2016-08-22 Global Earth Energy, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78639 http://www.sec.gov/litigation/admin/2016/34-78639.pdf 2016-08-23 Peterson, Curtis A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78645 http://www.sec.gov/litigation/admin/2016/34-78645.pdf 2016-08-23 Eratostene, David Anthony Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78646 http://www.sec.gov/litigation/admin/2016/34-78646.pdf 2016-08-23 Messina, Alan D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78647 http://www.sec.gov/litigation/admin/2016/34-78647.pdf 2016-08-23 Schultz, Gary X. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78648 http://www.sec.gov/litigation/admin/2016/34-78648.pdf 2016-08-23 Stein, Chazon Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78649 http://www.sec.gov/litigation/admin/2016/34-78649.pdf 2016-08-23 Calash, Michael J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78655 http://www.sec.gov/litigation/admin/2016/34-78655.pdf 2016-08-23 Kuber, Douglas Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4493 http://www.sec.gov/litigation/admin/2016/ia-4493.pdf 2016-08-23 Apollo Commodities Management, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved Apollo Management VII, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved Apollo Management VI, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved Apollo Management V, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 33-10128 http://www.sec.gov/litigation/admin/2016/33-10128.pdf 2016-08-24 City of Alameda Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10129 http://www.sec.gov/litigation/admin/2016/33-10129.pdf 2016-08-24 Ascension Health Alliance Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10130 http://www.sec.gov/litigation/admin/2016/33-10130.pdf 2016-08-24 Black Jack Fire Protection District of St. Louis County, Missouri Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10131 http://www.sec.gov/litigation/admin/2016/33-10131.pdf 2016-08-24 Blair Oaks R-II School District, Missouri Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10132 http://www.sec.gov/litigation/admin/2016/33-10132.pdf 2016-08-24 Board of Education of Madison County, Alabama Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10133 http://www.sec.gov/litigation/admin/2016/33-10133.pdf 2016-08-24 Board of Trustees of Arkansas Tech University Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10134 http://www.sec.gov/litigation/admin/2016/33-10134.pdf 2016-08-24 Borough of Roselle Park in the County of Union, New Jersey Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10135 http://www.sec.gov/litigation/admin/2016/33-10135.pdf 2016-08-24 Boulder County, Colorado Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10136 http://www.sec.gov/litigation/admin/2016/33-10136.pdf 2016-08-24 Carilion Clinic Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10137 http://www.sec.gov/litigation/admin/2016/33-10137.pdf 2016-08-24 Casella Waste Systems, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10138 http://www.sec.gov/litigation/admin/2016/33-10138.pdf 2016-08-24 City of Alliance, Nebraska Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10139 http://www.sec.gov/litigation/admin/2016/33-10139.pdf 2016-08-24 City of Andover, Kansas Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10140 http://www.sec.gov/litigation/admin/2016/33-10140.pdf 2016-08-24 City of Bainbridge Island, Washington Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10141 http://www.sec.gov/litigation/admin/2016/33-10141.pdf 2016-08-24 City of Cedar Rapids, Iowa Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10142 http://www.sec.gov/litigation/admin/2016/33-10142.pdf 2016-08-24 City of Chelsea, Massachusetts Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10143 http://www.sec.gov/litigation/admin/2016/33-10143.pdf 2016-08-24 City of Columbia, South Carolina Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10144 http://www.sec.gov/litigation/admin/2016/33-10144.pdf 2016-08-24 City of Devils Lake, North Dakota Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10145 http://www.sec.gov/litigation/admin/2016/33-10145.pdf 2016-08-24 City of Gary, Indiana Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10146 http://www.sec.gov/litigation/admin/2016/33-10146.pdf 2016-08-24 City of Ithaca, New York Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10147 http://www.sec.gov/litigation/admin/2016/33-10147.pdf 2016-08-24 City of Memphis, Tennessee Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10148 http://www.sec.gov/litigation/admin/2016/33-10148.pdf 2016-08-24 City of Nichols Hills, Oklahoma Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10149 http://www.sec.gov/litigation/admin/2016/33-10149.pdf 2016-08-24 City of Oconomowoc, Wisconsin Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10150 http://www.sec.gov/litigation/admin/2016/33-10150.pdf 2016-08-24 City of South Bend, Indiana Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10151 http://www.sec.gov/litigation/admin/2016/33-10151.pdf 2016-08-24 City of Vestavia Hills, Alabama Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10152 http://www.sec.gov/litigation/admin/2016/33-10152.pdf 2016-08-24 City of West Des Moines, Iowa Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10153 http://www.sec.gov/litigation/admin/2016/33-10153.pdf 2016-08-24 Collegium Charter School Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10154 http://www.sec.gov/litigation/admin/2016/33-10154.pdf 2016-08-24 Colorado Department of the Treasury and State Treasurer on Behalf of the Colorado Department of Transportation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10155 http://www.sec.gov/litigation/admin/2016/33-10155.pdf 2016-08-24 Community Unit School District Number 18 (Blue Ridge) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10156 http://www.sec.gov/litigation/admin/2016/33-10156.pdf 2016-08-24 County of Adams, Pennsylvania Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10157 http://www.sec.gov/litigation/admin/2016/33-10157.pdf 2016-08-24 County of Berrien, Michigan Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10158 http://www.sec.gov/litigation/admin/2016/33-10158.pdf 2016-08-24 County of Franklin, New York Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10159 http://www.sec.gov/litigation/admin/2016/33-10159.pdf 2016-08-24 Delaware Transportation Authority Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10160 http://www.sec.gov/litigation/admin/2016/33-10160.pdf 2016-08-24 East Ouachita Parish School District of the Parish of Ouachita, State of Louisiana Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10161 http://www.sec.gov/litigation/admin/2016/33-10161.pdf 2016-08-24 El Castillo Retirement Residences Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10162 http://www.sec.gov/litigation/admin/2016/33-10162.pdf 2016-08-24 Electric and Water Plant Board of the City of Frankfort, Kentucky Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10163 http://www.sec.gov/litigation/admin/2016/33-10163.pdf 2016-08-24 Fulton County, Georgia Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10164 http://www.sec.gov/litigation/admin/2016/33-10164.pdf 2016-08-24 Heber Light & Power Company, Utah Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10165 http://www.sec.gov/litigation/admin/2016/33-10165.pdf 2016-08-24 Hazleton Area School District Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10166 http://www.sec.gov/litigation/admin/2016/33-10166.pdf 2016-08-24 Idaho Housing and Finance Association Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10167 http://www.sec.gov/litigation/admin/2016/33-10167.pdf 2016-08-24 Kentucky Housing Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10168 http://www.sec.gov/litigation/admin/2016/33-10168.pdf 2016-08-24 Lauderdale County, Mississippi Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10169 http://www.sec.gov/litigation/admin/2016/33-10169.pdf 2016-08-24 Lawrence & Memorial Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Lawrence & Memorial Hospital, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10170 http://www.sec.gov/litigation/admin/2016/33-10170.pdf 2016-08-24 Metropolitan Airport Authority of Peoria, Peoria County, Illinois Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10171 http://www.sec.gov/litigation/admin/2016/33-10171.pdf 2016-08-24 Montgomery College Foundation, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10172 http://www.sec.gov/litigation/admin/2016/33-10172.pdf 2016-08-24 Montgomery College Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10173 http://www.sec.gov/litigation/admin/2016/33-10173.pdf 2016-08-24 North Carolina Eastern Municipal Power Agency Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10174 http://www.sec.gov/litigation/admin/2016/33-10174.pdf 2016-08-24 North Slope Borough, Alaska Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10175 http://www.sec.gov/litigation/admin/2016/33-10175.pdf 2016-08-24 Oklahoma Housing Finance Agency Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10176 http://www.sec.gov/litigation/admin/2016/33-10176.pdf 2016-08-24 Palatine Park District, Cook County, Illinois Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10177 http://www.sec.gov/litigation/admin/2016/33-10177.pdf 2016-08-24 Pecos County, Texas Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10178 http://www.sec.gov/litigation/admin/2016/33-10178.pdf 2016-08-24 Public Utility District No. 1 of Whatcom County, Washington Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10179 http://www.sec.gov/litigation/admin/2016/33-10179.pdf 2016-08-24 Sanitary District of the City of Gary, Indiana Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10180 http://www.sec.gov/litigation/admin/2016/33-10180.pdf 2016-08-24 Southern New Hampshire University Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10181 http://www.sec.gov/litigation/admin/2016/33-10181.pdf 2016-08-24 State of Hawaii Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10182 http://www.sec.gov/litigation/admin/2016/33-10182.pdf 2016-08-24 State of Minnesota Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10183 http://www.sec.gov/litigation/admin/2016/33-10183.pdf 2016-08-24 State of Montana Department of Transportation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10184 http://www.sec.gov/litigation/admin/2016/33-10184.pdf 2016-08-24 Syracuse University Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10185 http://www.sec.gov/litigation/admin/2016/33-10185.pdf 2016-08-24 Tea Area School District 41-5, South Dakota Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10186 http://www.sec.gov/litigation/admin/2016/33-10186.pdf 2016-08-24 County Commission of Ohio County, West Virginia Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10187 http://www.sec.gov/litigation/admin/2016/33-10187.pdf 2016-08-24 Municipal Authority of the City of McKeesport Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10188 http://www.sec.gov/litigation/admin/2016/33-10188.pdf 2016-08-24 The Ohio State University Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10189 http://www.sec.gov/litigation/admin/2016/33-10189.pdf 2016-08-24 Thompson School District No. R2-J Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10190 http://www.sec.gov/litigation/admin/2016/33-10190.pdf 2016-08-24 Town of Fairfield, Connecticut Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10191 http://www.sec.gov/litigation/admin/2016/33-10191.pdf 2016-08-24 Town of Hilton Head Island, South Carolina Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10192 http://www.sec.gov/litigation/admin/2016/33-10192.pdf 2016-08-24 Town of York, Maine Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10193 http://www.sec.gov/litigation/admin/2016/33-10193.pdf 2016-08-24 Township of East Brunswick, New Jersey Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10194 http://www.sec.gov/litigation/admin/2016/33-10194.pdf 2016-08-24 Unified School District No. 418, McPherson County, Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10195 http://www.sec.gov/litigation/admin/2016/33-10195.pdf 2016-08-24 Westchester County Health Care Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10196 http://www.sec.gov/litigation/admin/2016/33-10196.pdf 2016-08-24 Wyoming Community Development Authority Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10197 http://www.sec.gov/litigation/admin/2016/33-10197.pdf 2016-08-24 Yukon Municipal Authority, Yukon, Oklahoma Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78656 http://www.sec.gov/litigation/admin/2016/34-78656.pdf 2016-08-24 Ho, Thomas T. M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78657 http://www.sec.gov/litigation/admin/2016/34-78657.pdf 2016-08-24 Ivener & Fullmer, LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ivener, Mark A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78658 http://www.sec.gov/litigation/admin/2016/34-78658.pdf 2016-08-24 Lawler, Martin J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4494 http://www.sec.gov/litigation/admin/2016/ia-4494.pdf 2016-08-24 WL Ross & Co. LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-78683 https://www.sec.gov/rules/sro/finra/2016/34-78683.pdf 2016-08-25 Financial Industry Regulatory Authority, Inc.; Order Approving a Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “PayTo-Play” and Related Rules Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4496 http://www.sec.gov/litigation/admin/2016/ia-4496.pdf 2016-08-25 Shamrock Asset Management LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4497 http://www.sec.gov/litigation/admin/2016/ia-4497.pdf 2016-08-25 Schneider Downs Wealth Management Advisors, LP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4498 http://www.sec.gov/litigation/admin/2016/ia-4498.pdf 2016-08-25 Prospera Financial Services, Inc. Mary Jo White Approved Piwowar, Michael Approved Stein, Kara Approved IA-4499 http://www.sec.gov/litigation/admin/2016/ia-4499.pdf 2016-08-25 Banyan Partners, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4500 http://www.sec.gov/litigation/admin/2016/ia-4500.pdf 2016-08-25 HT Partners LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4501 http://www.sec.gov/litigation/admin/2016/ia-4501.pdf 2016-08-25 Ladenburg Thalmann Asset Management Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4502 http://www.sec.gov/litigation/admin/2016/ia-4502.pdf 2016-08-25 J.J.B Hilliard, W.L. Lyons LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4503 http://www.sec.gov/litigation/admin/2016/ia-4503.pdf 2016-08-25 Executive Monetary Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4504 http://www.sec.gov/litigation/admin/2016/ia-4504.pdf 2016-08-25 Risk Paradigm Group, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4505 http://www.sec.gov/litigation/admin/2016/ia-4505.pdf 2016-08-25 Constellation Wealth Advisors LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4506 http://www.sec.gov/litigation/admin/2016/ia-4506.pdf 2016-08-25 BB&T Securities, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4507 http://www.sec.gov/litigation/admin/2016/ia-4507.pdf 2016-08-25 Congress Wealth Management LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4508 http://www.sec.gov/litigation/admin/2016/ia-4508.pdf 2016-08-25 AssetMark, Inc. (f/k/a Genworth Financial Wealth Management, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4513 http://www.sec.gov/litigation/admin/2016/ia-4513.pdf 2016-08-25 Orinda Asset Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78699 http://www.sec.gov/litigation/admin/2016/34-78699.pdf 2016-08-26 Piterra, Joseph L. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78700 http://www.sec.gov/rules/sro/nms/2016/34-78700.pdf 2016-08-26 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 37 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 to Add the Investors Exchange LLC as a Participant Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78701 http://www.sec.gov/rules/sro/nms/2016/34-78701.pdf 2016-08-26 Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of Amendment No. 26 to the Second Restatement of the CTA Plan and Amendment No. 19 to the Restated CQ Plan to Add the Investors Exchange LLC as a Participant Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78702 http://www.sec.gov/rules/sro/nms/2016/34-78702.pdf 2016-08-26 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add the Investors Exchange LLC as a Participant Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78703 http://www.sec.gov/rules/sro/nms/2016/34-78703.pdf 2016-08-26 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Address Extraordinary Market Volatility to Add the Investors Exchange LLC as a Participant Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78704 http://www.sec.gov/rules/sro/nms/2016/34-78704.pdf 2016-08-26 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan Establishing Procedures Under Rule 605 of Regulation NMS to Add the Investors Exchange LLC as a Participant Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78707 http://www.sec.gov/litigation/admin/2016/34-78707.pdf 2016-08-26 Casey, Michael Ralph Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78708 http://www.sec.gov/litigation/admin/2016/34-78708.pdf 2016-08-26 Casey, Michael Ralph Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10201 http://www.sec.gov/rules/proposed/2016/33-10201.pdf 2016-08-31 Exhibit Hyperlinks and HTML Format; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78711 http://www.sec.gov/litigation/admin/2016/34-78711.pdf 2016-08-29 Dulek, Thomas CPA Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 34-78717 http://www.sec.gov/litigation/admin/2016/34-78717.pdf 2016-08-29 Watson, Pamella B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10200 http://www.sec.gov/rules/other/2016/33-10200.pdf 2016-08-30 Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78722 http://www.sec.gov/litigation/admin/2016/34-78722.pdf 2016-08-30 Fairfield Minerals, Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Metal Storm Limited Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78723 http://www.sec.gov/litigation/admin/2016/34-78723.pdf 2016-08-30 Ilio, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Industrial Imaging Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved JackRay Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78730 http://www.sec.gov/litigation/admin/2016/34-78730.pdf 2016-08-30 AstraZeneca PLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SIPA-178 http://www.sec.gov/rules/other/2016/sipa-178.pdf 2016-08-30 Securities Investor Protection Corporation: Order Approving a Proposed Bylaw Change Relating to SIPC Fund Assessments on SIPC Members Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78735 http://www.sec.gov/litigation/admin/2016/34-78735.pdf 2016-08-31 RBC Capital Markets, LLC White, Mary Jo Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78736 http://www.sec.gov/litigation/admin/2016/34-78736.pdf 2016-08-31 Mata, Paul Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4516 http://www.sec.gov/litigation/admin/2016/ia-4516.pdf 2016-08-31 Pincheira, Mario Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4517 http://www.sec.gov/litigation/admin/2016/ia-4517.pdf 2016-08-31 Kayatta, David Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78580 http://www.sec.gov/litigation/admin/2016/34-78580.pdf 2016-08-16 Barnes, Jeremy D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4488 http://www.sec.gov/litigation/admin/2016/ia-4488.pdf 2016-08-16 Jones, Anthony Tyrone Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10125 http://www.sec.gov/litigation/opinions/2016/33-10125.pdf 2016-08-16 Feldman, Jonathan I. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved optionsXpress, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78638 http://www.sec.gov/litigation/opinions/2016/34-78638.pdf 2016-08-22 Expleo Solutions, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4492 http://www.sec.gov/litigation/opinions/2016/ia-4492.pdf 2016-08-22 Boden, Walter William Anthony III Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Jones, Gordon II Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Timbervest, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Zell, Donald David Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA4492 2016-08-22 Shapiro, Joel Barth Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10127 http://www.sec.gov/rules/proposed/2016/33-10127.pdf 2016-08-22 Extension of Comment Period for Modernization of Property Disclosures for Mining Registrants; Extension of comment period Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78650 http://www.sec.gov/litigation/admin/2016/34-78650.pdf 2016-08-23 Angeletti, Michael T. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78669 http://www.sec.gov/litigation/opinions/2016/34-78669.pdf 2016-08-24 Parris, Christopher A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78670 http://www.sec.gov/rules/exorders/2016/34-78670.pdf 2016-08-24 Order Granting Conditional Exemption of Morningstar Credit Ratings, LLC from a Requirement in Section 15E(a)(1)(C)(iv) of the Securities Exchange Act of 1934 and Item 6C of Form NRSRO Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78671 http://www.sec.gov/rules/other/2016/34-78671.pdf 2016-08-24 Order Granting Registration of Morningstar Credit Ratings, LLC for Two Additional Classes of Credit Ratings Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4495 http://www.sec.gov/litigation/opinions/2016/ia-4495.pdf 2016-08-24 Patriarch Partners, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Patriarch Partners VIII, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Patriarch Partners XIV, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Patriarch Partners XV, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Tilton,Lynn Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4511 http://www.sec.gov/rules/other/2016/ia-4511.pdf 2016-08-25 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order with respect to FINRA Rule 2030; Notice of intent to issue order Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4512 http://www.sec.gov/rules/other/2016/ia-4512.pdf 2016-08-25 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Notice of Order with respect to MSRB Rule G-37; Notice of intent to issuer order Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78691 http://www.sec.gov/litigation/suspensions/2016/34-78691.pdf 2016-08-26 MarilynJean Interactive Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78732 http://www.sec.gov/litigation/admin/2016/34-78732.pdf 2016-08-31 Multi-Corp. International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Pan American Goldfields Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Sky Harvest Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78734 http://www.sec.gov/litigation/admin/2016/34-78734.pdf 2016-08-31 Grace Development, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Luxeyard, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SuperDirectories, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78651 https://www.sec.gov/litigation/admin/2016/34-78651.pdf 2016-08-23 Borgo, Christopher J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78224 http://www.sec.gov/litigation/admin/2016/34-78224.pdf 2016-07-01 Oppenheimerfunds, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Oppenheimerfunds Distributor, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78252 http://www.sec.gov/litigation/opinions/2016/34-78252.pdf 2016-07-07 Riad, Mohammed Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Swanson, Kevin Timothy Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78258 http://www.sec.gov/litigation/admin/2016/34-78258.pdf 2016-07-08 Easy Health Technologies Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Neptune Acquisition Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Segway IV Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78268 http://www.sec.gov/litigation/admin/2016/34-78268.pdf 2016-07-08 Chang, Cheongwha (Heywood) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78269 http://www.sec.gov/litigation/admin/2016/34-78269.pdf 2016-07-08 Chen, Toni Tong CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78270 http://www.sec.gov/litigation/admin/2016/34-78270.pdf 2016-07-08 Chen, Toni Tong CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78321 http://www.sec.gov/rules/final/2016/34-78321.pdf 2016-07-14 Regulation SBSR—Reporting and Dissemination of Security-Based Swap Information; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78309 http://www.sec.gov/rules/proposed/2016/34-78309.pdf 2016-07-13 Disclosure of Order Handling Information; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10110 http://www.sec.gov/rules/proposed/2016/33-10110.pdf 2016-07-13 Disclosure Update and Simplification; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78319 https://www.sec.gov/rules/final/2016/34-78319.pdf 2016-07-13 Amendments to the Commission’s Rules of Practice; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78273 http://www.sec.gov/litigation/admin/2016/34-78273.pdf 2016-07-11 Ackman, Blair D. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78274 http://www.sec.gov/litigation/admin/2016/34-78274.pdf 2016-07-11 Diaz, Alicia M. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4449 http://www.sec.gov/litigation/admin/2016/ia-4449.pdf 2016-07-11 Matthews, William Emery Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78282 http://www.sec.gov/litigation/admin/2016/34-78282.pdf 2016-07-11 Bitcoin Investment Trust Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SecondMarket, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78287 http://www.sec.gov/litigation/admin/2016/34-78287.pdf 2016-07-11 Johnson Controls, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78288 http://www.sec.gov/litigation/admin/2016/34-78288.pdf 2016-07-11 Breitling Energy Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78289 http://www.sec.gov/rules/pcaob/2016/34-78289.pdf 2016-07-11 Public Company Accounting Oversight Board; Order Granting Approval of Proposed Amendments to Board Rules Relating to Inspections Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78291 http://www.sec.gov/litigation/admin/2016/34-78291.pdf 2016-07-12 Citigroup Global Markets, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78307 http://www.sec.gov/litigation/admin/2016/34-78307.pdf 2016-07-13 HII Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78318 http://www.sec.gov/litigation/admin/2016/34-78318.pdf 2016-07-13 Gallagher, Jeffrey E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10111 http://www.sec.gov/litigation/admin/2016/33-10111.pdf 2016-07-14 RD Legal Capital, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Dersovitz, Roni Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4453 http://www.sec.gov/litigation/admin/2016/ia-4453.pdf 2016-07-14 RiverFront Investment Group, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78341 http://www.sec.gov/litigation/admin/2016/34-78341.pdf 2016-07-15 Phoenix Companies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-78349 http://www.sec.gov/litigation/admin/2016/34-78349.pdf 2016-07-15 Franklin Bank Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78350 https://www.sec.gov/litigation/admin/2016/34-78350.pdf 2016-07-15 Catipay, James Anthony Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78351 http://www.sec.gov/litigation/admin/2016/34-78351.pdf 2016-07-15 Hewlett-Packard Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4454 http://www.sec.gov/litigation/opinions/2016/ia-4454.pdf 2016-07-14 Page, Edgar R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved PageOne Financial Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78340 http://www.sec.gov/litigation/opinions/2016/34-78340.pdf 2016-07-15 Citadel Securities LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ronin Capital, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Susquehanna Investment Group Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Susquehanna Securities Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4455 http://www.sec.gov/litigation/admin/2016/ia-4455.pdf 2016-07-18 Advantage Investment Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4456 http://www.sec.gov/litigation/admin/2016/ia-4456.pdf 2016-07-18 Washington Wealth Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78362 http://www.sec.gov/litigation/admin/2016/34-78362.pdf 2016-07-19 Algorex Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Canadian Piper Air Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Capital and Services, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved NP Energy Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78363 http://www.sec.gov/litigation/admin/2016/34-78363.pdf 2016-07-19 Great Basin Gold Limited Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4457 http://www.sec.gov/litigation/admin/2016/ia-4457.pdf 2016-07-19 Saving2Retire, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Young, Marian P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10112 http://www.sec.gov/litigation/opinions/2016/33-10112.pdf 2016-07-19 Millennium Partners, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Millennium Management, L.L.C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Millennium International Management, L.L.C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78365 http://www.sec.gov/litigation/suspensions/2016/34-78365.pdf 2016-07-20 Scanner Technologies Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Seville Ventures Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved StarInvest Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved The Digital Development Group Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78366 http://www.sec.gov/litigation/admin/2016/34-78366.pdf 2016-07-20 Scanner Technologies Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Seville Ventures Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved StarInvest Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved The Digital Development Group Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10113 http://www.sec.gov/litigation/admin/2016/33-10113.pdf 2016-07-21 Concert Global Group Limited Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Concert Wealth Management, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Luna, Felipe Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10114 http://www.sec.gov/litigation/admin/2016/33-10114.pdf 2016-07-21 Navarra, Dennis Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78393 http://www.sec.gov/litigation/admin/2016/34-78393.pdf 2016-07-22 EFP Rotenberg, LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bottini, Nicholas CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78395 http://www.sec.gov/litigation/admin/2016/34-78395.pdf 2016-07-22 Schneider, James M. CPA Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 34-78402 http://www.sec.gov/litigation/admin/2016/34-78402.pdf 2016-07-25 LAN Airlines S.A.(nka LATAM Airlines Group) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78409 http://www.sec.gov/litigation/admin/2016/34-78409.pdf 2016-07-25 Braslau, Samuel Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78410 http://www.sec.gov/litigation/admin/2016/34-78410.pdf 2016-07-25 Braslau, Samuel Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78411 http://www.sec.gov/litigation/admin/2016/34-78411.pdf 2016-07-25 Nemeckay, Timothy A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78412 http://www.sec.gov/litigation/suspensions/2016/34-78412.pdf http://www.sec.gov/litigation/suspensions/2016/34-78412-o.pdf 2016-07-26 American Transportation Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78413 http://www.sec.gov/litigation/admin/2016/34-78413.pdf 2016-07-26 Chen, Yi CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78418 http://www.sec.gov/litigation/admin/2016/34-78418.pdf 2016-07-26 Schleifer, Nathan Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10115 http://www.sec.gov/litigation/opinions/2016/33-10115.pdf 2016-07-27 Malouf, Dennis J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78430 http://www.sec.gov/litigation/admin/2016/34-78430.pdf 2016-07-27 Sand International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77959 http://www.sec.gov/litigation/admin/2016/34-77959.pdf 2016-06-01 Blackstreet Capital Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Gunty, Murry N. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10084 http://www.sec.gov/litigation/opinions/2016/33-10084.pdf 2016-06-01 Deru, Terry M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10085 http://www.sec.gov/litigation/admin/2016/33-10085.pdf 2016-06-01 Starrett, Jane E. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-77965 http://www.sec.gov/litigation/opinions/2016/34-77965.pdf 2016-06-01 Hall, Charles Mark Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77966 http://www.sec.gov/litigation/opinions/2016/34-77966.pdf 2016-06-01 Bellia, Robert A. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77968 http://www.sec.gov/litigation/admin/2016/34-77968.pdf 2016-06-01 Medoff, Craig Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77969 http://www.sec.gov/rules/interim/2016/34-77969.pdf 2016-06-01 Form 10-K Summary; Interim final rule; request for comment Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77971 http://www.sec.gov/litigation/admin/2016/34-77971.pdf 2016-06-01 Albert Fried & Company, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77972 http://www.sec.gov/litigation/admin/2016/34-77972.pdf 2016-06-01 Halperin, Jack H. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10086 http://www.sec.gov/litigation/admin/2016/33-10086.pdf 2016-06-02 NuGold Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10087 http://www.sec.gov/litigation/admin/2016/33-10087.pdf 2016-06-02 Stoecklein, Donald J. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10088 http://www.sec.gov/litigation/admin/2016/33-10088.pdf 2016-06-02 ZRHO Beverages, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77981 http://www.sec.gov/litigation/admin/2016/34-77981.pdf 2016-06-02 Koifman, Steve Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77984 http://www.sec.gov/litigation/opinions/2016/34-77984.pdf 2016-06-02 Butler, Joseph R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4413 http://www.sec.gov/litigation/admin/2016/ia-4413.pdf 2016-06-03 James Caird Asset Management LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Leslie, Timothy G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77993 http://www.sec.gov/litigation/opinions/2016/34-77993.pdf 2016-06-03 Litvak, Jesse C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77997 http://www.sec.gov/litigation/admin/2016/34-77997.pdf 2016-06-06 Silberstein Ungar PLLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Silberstein, Ronald N. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ungar, Joel M. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Gorback, Seth A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kobylarek, David A. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10089 http://www.sec.gov/litigation/admin/2016/33-10089.pdf 2016-06-07 Boyd, Paul W. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10090 http://www.sec.gov/litigation/admin/2016/33-10090.pdf 2016-06-07 Hall, David M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10091 http://www.sec.gov/litigation/admin/2016/33-10091.pdf 2016-06-07 Vogt, Carlton W. III, CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10092 http://www.sec.gov/litigation/admin/2016/33-10092.pdf 2016-06-07 Frazer Frost, LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Woo, Susan CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Suen, Miranda CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78011 http://www.sec.gov/rules/final/2016/34-78011.pdf 2016-06-08 Trade Acknowledgment and Verification of Security-Based Swap Transactions; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78017 http://www.sec.gov/litigation/admin/2016/34-78017.pdf 2016-06-08 IEC Electronics Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Years, Ronald J. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Doody, Donald S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78020 http://www.sec.gov/litigation/admin/2016/34-78020.pdf 2016-06-08 Marsh, Galen J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10093 http://www.sec.gov/litigation/admin/2016/33-10093.pdf 2016-06-08 Ethiopian Electric Power Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78021 http://www.sec.gov/litigation/admin/2016/34-78021.pdf 2016-06-08 Morgan Stanley Smith Barney LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78022 http://www.sec.gov/litigation/admin/2016/34-78022.pdf 2016-06-08 Eric B. Global Ventures, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Parallax Diagnostics, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Secure Digital, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10094 http://www.sec.gov/litigation/admin/2016/33-10094.pdf 2016-06-08 Afshar, Behruz Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Afshar, Shahryar Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kenny, Richard F. IV Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Fineline Trading Group LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Makino Capital LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78030 http://www.sec.gov/litigation/admin/2016/34-78030.pdf 2016-06-10 ICON Capital LLC, f/k/a ICON Capital Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78033 http://www.sec.gov/litigation/admin/2016/34-78033.pdf 2016-06-10 Alliance Capital Management, LP Mary Jo White Not Participating Luis A. Aguilar Approved Daniel M. Gallagher Not Participating Kara M. Stein Approved Michael S. Piwowar Approved 34-78041 http://www.sec.gov/rules/exorders/2016/34-78041.pdf 2016-06-13 Order Granting Limited and Conditional Exemption Under Section 36(a) of the Securities Exchange Act of 1934 from Compliance with Interactive Data File Exhibit Requirement in Forms 6-K, 8-K, 10-Q, 10-K, 20-F and 40-F to Facilitate Inline Filing of Tagged Financial Data Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78042 http://www.sec.gov/litigation/admin/2016/34-78042.pdf 2016-06-13 American Life, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved Liebman, Henry G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 33-10095 http://www.sec.gov/rules/final/2016/33-10095.pdf 2016-06-13 Adoption of Updated EDGAR Filer Manual; Final rule Mary Jo White Affirmed Kara M. Stein Affirmed Michael S. Piwowar Affirmed 34-78049 http://www.sec.gov/litigation/opinions/2016/34-78049.pdf 2016-06-13 Riad, Mohammed Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Swanson, Kevin Timothy Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78053 http://www.sec.gov/litigation/admin/2016/34-78053.pdf 2016-06-13 Keygent LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hsieh, Anthony Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Wang, Chet Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78054 http://www.sec.gov/litigation/admin/2016/34-78054.pdf 2016-06-13 School Business Consulting, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bradley, Terrance Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IC-32151 http://www.sec.gov/litigation/admin/2016/ic-32151.pdf 2016-06-13 The Bank of New York Mellon Mary Jo White Not Participating Kara M. Stein Approved Michael S. Piwowar Approved 34-78059 http://www.sec.gov/litigation/suspensions/2016/34-78059.pdf 2016-06-14 Enterprise Energy, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4422 http://www.sec.gov/litigation/admin/2016/ia-4422.pdf 2016-06-14 Gold, Alan H. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78077 2016-06-14 2 West, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Mijust, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved KAKids, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Alton Partners, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Old Farm, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bloomfield, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Katz Imports, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Katz, Todd B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4421 http://www.sec.gov/rules/other/2016/ia-4421.pdf 2016-06-14 Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205-3 under the Investment Advisers Act of 1940 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78066 http://www.sec.gov/litigation/opinions/2016/34-78066.pdf 2016-06-14 McDuff, Gary L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4423 http://www.sec.gov/litigation/admin/2016/ia-4423.pdf 2016-06-15 Davis, Richard W. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78067 http://www.sec.gov/litigation/suspensions/2016/34-78067.pdf 2016-06-15 MIT Holding, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78068 http://www.sec.gov/litigation/admin/2016/34-78068.pdf 2016-06-15 MIT Holding, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78069 http://www.sec.gov/litigation/suspensions/2016/34-78069.pdf 2016-06-15 Cascade Technologies Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Echo Automotive, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Vision Industries Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78070 http://www.sec.gov/litigation/admin/2016/34-78070.pdf 2016-06-15 Cascade Technologies Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Echo Automotive, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Vision Industries Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78073 http://www.sec.gov/litigation/admin/2016/34-78073.pdf 2016-06-15 Advanced Life Sciences Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Anoteros, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Emperial Americas, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Nord Resources Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved UNR Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78074 http://www.sec.gov/litigation/suspensions/2016/34-78074.pdf 2016-06-15 Advanced Life Sciences Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Anoteros, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Emperial Americas, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Nord Resources Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved UNR Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78083 http://www.sec.gov/litigation/admin/2016/34-78083.pdf 2016-06-15 Post, David L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78084 http://www.sec.gov/litigation/admin/2016/34-78084.pdf 2016-06-15 Rosenberg, Jonathan E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78085 http://www.sec.gov/litigation/admin/2016/34-78085.pdf 2016-06-15 Gardner, Clark S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4428 http://www.sec.gov/litigation/admin/2016/ia-4428.pdf 2016-06-16 Apex Fund Services (US), Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4429 http://www.sec.gov/litigation/admin/2016/ia-4429.pdf 2016-06-16 Apex Fund Services (US), Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10098 http://www.sec.gov/rules/proposed/2016/33-10098.pdf 2016-06-16 Modernization of Property Disclosures for Mining Registrants; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78092 http://www.sec.gov/litigation/admin/2016/34-78092.pdf 2016-06-16 Essential Telecommunications, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Medisys Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved New Day Financial Management, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Pivotal Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78093 http://www.sec.gov/litigation/opinions/2016/34-78093.pdf 2016-06-16 Electronic Transaction Clearing, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Murphy, Kevin Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Cloyd, Harvey C. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78096 http://www.sec.gov/litigation/admin/2016/34-78096.pdf 2016-06-17 Jones, Gregory G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78097 http://www.sec.gov/litigation/admin/2016/34-78097.pdf 2016-06-17 Jones, Gregory G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78101 http://www.sec.gov/rules/other/2016/34-78101.pdf 2016-06-17 Investors' Exchange, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Concurring in part and dissenting with respect to Sections III.C.7. and III.C.8. 34-78102 http://www.sec.gov/rules/interp/2016/34-78102.pdf 2016-06-17 Commission Interpretation Regarding Automated Quotations Under Regulation NMS Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 33-10100 http://www.sec.gov/litigation/opinions/2016/33-10100.pdf 2016-06-17 J.S. Oliver Capital Management, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Mausner, Ian O. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78113 http://www.sec.gov/litigation/admin/2016/34-78113.pdf 2016-06-21 Analogic Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Frost, Lars Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78114 http://www.sec.gov/litigation/admin/2016/34-78114.pdf 2016-06-21 Feltl & Company, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78115 http://www.sec.gov/litigation/admin/2016/34-78115.pdf 2016-06-21 Galileo Petroleum Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hyperion Acquisition Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Satori Beverages International, Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78118 http://www.sec.gov/litigation/admin/2016/34-78118.pdf 2016-06-21 Alternative Securities Markets Group Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Blue Coast Securities Corp., dba GlobalCrowdTV, Inc. and Blue Coast Banc Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Muehler, Steven J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78128 http://www.sec.gov/litigation/admin/2016/34-78128.pdf 2016-06-22 Simpson Hughes Financial, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Simpson, Mark C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78134 http://www.sec.gov/litigation/opinions/2016/34-78134.pdf 2016-06-22 Guevara, Rogelio Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78135 http://www.sec.gov/litigation/suspensions/2016/34-78135.pdf 2016-06-23 Coastal Pacific Mining Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Petaquilla Minerals Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78136 http://www.sec.gov/litigation/admin/2016/34-78136.pdf 2016-06-23 Coastal Pacific Mining Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Petaquilla Minerals Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78137 http://www.sec.gov/litigation/suspensions/2016/34-78137.pdf 2016-06-23 Caspian International Oil Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Elevate, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Frawley Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Groen Brothers Aviation, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Logic Devices, Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78138 http://www.sec.gov/litigation/admin/2016/34-78138.pdf 2016-06-23 Caspian International Oil Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Elevate, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Frawley Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Groen Brothers Aviation, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Logic Devices, Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78139 http://www.sec.gov/litigation/suspensions/2016/34-78139.pdf 2016-06-23 Rebornne (USA) Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78140 http://www.sec.gov/litigation/admin/2016/34-78140.pdf 2016-06-23 Rebornne (USA) Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78141 http://www.sec.gov/litigation/admin/2016/34-78141.pdf 2016-06-23 Merrill Lynch, Pierce, Fenner & Smith Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Merrill Lynch Professional Clearing Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78142 http://www.sec.gov/litigation/admin/2016/34-78142.pdf 2016-06-23 Tirrell, William Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10103 http://www.sec.gov/litigation/admin/2016/33-10103.pdf 2016-06-23 Merrill Lynch, Pierce, Fenner & Smith Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78147 http://www.sec.gov/litigation/admin/2016/34-78147.pdf 2016-06-23 Ross, Sinclaire & Associates, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Sinclaire, Murray Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10104 http://www.sec.gov/rules/interim/2016/33-10104.pdf 2016-06-24 Adjustments to Civil Monetary Penalty Amounts; Interim final rule; request for comment Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78148 http://www.sec.gov/litigation/suspensions/2016/34-78148.pdf 2016-06-24 Breitling Energy Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10107 http://www.sec.gov/rules/proposed/2016/33-10107.pdf 2016-06-27 Amendments to Smaller Reporting Company Definition; Proposed rules Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78159 http://www.sec.gov/litigation/admin/2016/34-78159.pdf 2016-06-27 Longwei Petroleum Investment Holding Limited Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78167 http://www.sec.gov/rules/final/2016/34-78167.pdf 2016-06-27 Disclosure of Payments by Resource Extraction Issuers; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-78169 http://www.sec.gov/rules/other/2016/34-78169.pdf 2016-06-27 Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, Canada and the U.S. Extractive Industries Transparency Initiative as Substantially Similar to the Requirements of Rule 13q-1 under the Securities Exchange Act of 1934 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4439 http://www.sec.gov/rules/proposed/2016/ia-4439.pdf 2016-06-28 Adviser Business Continuity and Transition Plans; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78170 http://www.sec.gov/litigation/admin/2016/34-78170.pdf 2016-06-28 Mackaronis, Patrick G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78173 http://www.sec.gov/litigation/admin/2016/34-78173.pdf 2016-06-28 North East Capital, LLC Fair Fund Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10108 http://www.sec.gov/litigation/admin/2016/33-10108.pdf 2016-06-28 Helen, Jan E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78189 http://www.sec.gov/litigation/admin/2016/34-78189.pdf 2016-06-28 WFG Advisors, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78197 http://www.sec.gov/litigation/admin/2016/34-78197.pdf 2016-06-29 Weiss, Lee D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78210 http://www.sec.gov/litigation/admin/2016/34-78210.pdf 2016-06-30 ICAN Investment Group, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78211 http://www.sec.gov/litigation/admin/2016/34-78211.pdf 2016-06-30 NFS Group, LLC d/b/a Novers Financial a/k/a Safe Retirement Experts Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78212 http://www.sec.gov/litigation/admin/2016/34-78212.pdf 2016-06-30 Speers Financial Group, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78213 http://www.sec.gov/litigation/admin/2016/34-78213.pdf 2016-06-30 Novinger, Christopher A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78214 http://www.sec.gov/litigation/admin/2016/34-78214.pdf 2016-06-30 Speers, Brady J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78215 http://www.sec.gov/rules/exorders/2016/34-78215.pdf 2016-06-30 Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78216 http://www.sec.gov/rules/other/2016/34-78216.pdf 2016-06-30 Security-Based Swap Data Repositories; DTCC Data Repository (U.S.) LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78087 http://www.sec.gov/litigation/admin/2016/34-78087.pdf 2016-06-16 Bansal, Rohit Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78145 http://www.sec.gov/litigation/admin/2016/34-78145.pdf 2016-06-23 Quintanilla, Timothy CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4417 http://www.sec.gov/litigation/opinions/2016/ia-4417.pdf 2016-06-09 Zavanelli, Max E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ZPR Investment Management, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77755 http://www.sec.gov/litigation/admin/2016/34-77755.pdf 2016-05-02 MaloneBailey, LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Norris, Jay Phillip CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77756 http://www.sec.gov/litigation/suspensions/2016/34-77756.pdf 2016-05-03 Solarbrook Water and Power Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10075 http://www.sec.gov/rules/final/2016/33-10075.pdf 2016-05-03 Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77759 http://www.sec.gov/litigation/suspensions/2016/34-77759.pdf 2016-05-04 EQCO2, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hondo Minerals Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Liberty Gold Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77760 http://www.sec.gov/litigation/admin/2016/34-77760.pdf 2016-05-04 EQCO2, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hondo Minerals Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Liberty Gold Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77761 http://www.sec.gov/litigation/suspensions/2016/34-77761.pdf 2016-05-04 Giant Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Rush Exploration, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77762 http://www.sec.gov/litigation/admin/2016/34-77762.pdf 2016-05-04 Giant Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Rush Exploration, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10076 http://www.sec.gov/litigation/opinions/2016/33-10076.pdf 2016-05-04 Clug, Alexandre S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77772 http://www.sec.gov/litigation/opinions/2016/34-77772.pdf 2016-05-05 Osunkwo, David I. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Strategic Consulting Advisors, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10077 http://www.sec.gov/litigation/opinions/2016/33-10077.pdf 2016-05-05 Doxey, Joseph P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77776 http://www.sec.gov/rules/proposed/2016/34-77776.pdf 2016-05-06 Incentive-based Compensation Arrangements; Notice of Proposed Rulemaking and Request for Comment Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-77774 http://www.sec.gov/litigation/suspensions/2016/34-77774.pdf 2016-05-06 Code Rebel Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4384 http://www.sec.gov/litigation/admin/2016/ia-4384.pdf 2016-05-09 Brochu, David Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77787 http://www.sec.gov/rules/pcaob/2016/34-77787.pdf 2016-05-09 Public Company Accounting Oversight Board; Order Granting Approval of Proposed Rules to Require Disclosure of Certain Audit Participants on a New PCAOB Form and Related Amendments to Auditing Standards Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10078 http://www.sec.gov/litigation/opinions/2016/33-10078.pdf 2016-05-10 Feldmann, Richard D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77806 http://www.sec.gov/litigation/admin/2016/34-77806.pdf 2016-05-10 GroveWare Technologies Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Luve Sports, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Northcore Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77807 http://www.sec.gov/litigation/suspensions/2016/34-77807.pdf 2016-05-10 GroveWare Technologies Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Luve Sports, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Northcore Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77804 http://www.sec.gov/litigation/suspensions/2016/34-77804.pdf 2016-05-11 Li-ion Motors Corp. (a/k/a Terra Inventions Corp.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved PetroHunter Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Shrink Nanotechnologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77805 http://www.sec.gov/litigation/admin/2016/34-77805.pdf 2016-05-11 Li-ion Motors Corp. (a/k/a Terra Inventions Corp.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved PetroHunter Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Shrink Nanotechnologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77826 http://www.sec.gov/litigation/admin/2016/34-77826.pdf 2016-05-12 Blount, John Steven Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77852 http://www.sec.gov/litigation/admin/2016/34-77852.pdf 2016-05-18 Renaldi, Salvatore Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10080 http://www.sec.gov/litigation/admin/2016/33-10080.pdf 2016-05-19 Blue Ocean Portfolios, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Winkelmann, James Arthur Sr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77866 http://www.sec.gov/litigation/admin/2016/34-77866.pdf 2016-05-20 Bodisen Biotech, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved China Global Media, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved China Heli Resource Renewable, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved GFR Pharmaceuticals, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77867 http://www.sec.gov/litigation/suspensions/2016/34-77867.pdf 2016-05-20 Bodisen Biotech, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved China Global Media, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved China Heli Resource Renewable, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved GFR Pharmaceuticals, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77868 http://www.sec.gov/litigation/admin/2016/34-77868.pdf 2016-05-20 Dragon Bright Mintai Botanical Technology Cayman Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved JinZangHuang Tibet Pharmaceuticals, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Macau Resources Group Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77869 http://www.sec.gov/litigation/suspensions/2016/34-77869.pdf 2016-05-20 Dragon Bright Mintai Botanical Technology Cayman Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved JinZangHuang Tibet Pharmaceuticals, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Macau Resources Group Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77870 http://www.sec.gov/litigation/suspensions/2016/34-77870.pdf 2016-05-20 NuTech Energy Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77874 http://www.sec.gov/rules/final/2016/34-77874.pdf 2016-05-20 Retail Foreign Exchange Transactions; Notice of Expiration of 17 CFR 15b12-1 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10081 http://www.sec.gov/litigation/admin/2016/33-10081.pdf 2016-05-24 Swisher Hygiene, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77893 http://www.sec.gov/litigation/admin/2016/34-77893.pdf 2016-05-24 China Unistone Acquisition Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ideal Restaurant Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77894 http://www.sec.gov/litigation/admin/2016/34-77894.pdf 2016-05-24 Greenpower International Group Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hauge Technology, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77917 http://www.sec.gov/rules/sro/nms/2016/34-77917.pdf 2016-05-25 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 3 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10082 http://www.sec.gov/litigation/admin/2016/33-10082.pdf 2016-05-25 American Registrar & Transfer Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Day, Christopher Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4394 http://www.sec.gov/litigation/admin/2016/ia-4394.pdf 2016-05-26 Stanfill, Jacqueline J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77932 http://www.sec.gov/litigation/opinions/2016/34-77932.pdf 2016-05-26 Tripodi, Michael A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4396 http://www.sec.gov/litigation/opinions/2016/ia-4396.pdf 2016-05-26 Ribotsky, Corey Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77933 http://www.sec.gov/litigation/opinions/2016/34-77933.pdf 2016-05-26 Musich, Ronald Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4398 http://www.sec.gov/litigation/opinions/2016/ia-4398.pdf 2016-05-26 Teeple, Matthew G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77935 http://www.sec.gov/litigation/opinions/2016/34-77935.pdf 2016-05-26 Mandell, Ross Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77936 http://www.sec.gov/litigation/opinions/2016/34-77936.pdf 2016-05-26 Neves, Fabrizio D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4399 http://www.sec.gov/litigation/admin/2016/ia-4399.pdf 2016-05-27 Biscayne Capital International, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Cortes, Roberto G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Weisson, Ernesto H. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Cortes, Juan Carlos Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Chatburn, Frank R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4400 http://www.sec.gov/litigation/opinions/2016/ia-4400.pdf 2016-05-27 Page, Edgar R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved PageOne Financial Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4401 http://www.sec.gov/litigation/admin/2016/ia-4401.pdf 2016-05-27 Federated Global Investment Management Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4402 http://www.sec.gov/litigation/opinions/2016/ia-4402.pdf 2016-05-27 Lawton, John W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77944 http://www.sec.gov/litigation/opinions/2016/34-77944.pdf 2016-05-27 Vaughn, Charles M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77945 http://www.sec.gov/litigation/opinions/2016/34-77945.pdf 2016-05-27 Raspa, Charles M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77946 http://www.sec.gov/litigation/opinions/2016/34-77946.pdf 2016-05-27 Cotellessa-Pitz, Enrica Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4404 http://www.sec.gov/litigation/opinions/2016/ia-4404.pdf 2016-05-27 Johnson, John V. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4405 http://www.sec.gov/litigation/opinions/2016/ia-4405.pdf 2016-05-27 Whitman, Douglas F. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77953 http://www.sec.gov/litigation/admin/2016/34-77953.pdf 2016-05-31 China VantagePoint Acquisition Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Citizens Community Bancorp, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Solis Pharma US, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77954 http://www.sec.gov/litigation/opinions/2016/34-77954.pdf 2016-05-31 Daifotis, Kimon P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77955 http://www.sec.gov/litigation/opinions/2016/34-77955.pdf 2016-05-31 Madoff, Peter B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4409 http://www.sec.gov/litigation/opinions/2016/ia-4409.pdf 2016-05-31 Zarefsky, Evan Andrew Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4410 http://www.sec.gov/litigation/opinions/2016/ia-4410.pdf 2016-05-31 Rubin, David Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77504 http://www.sec.gov/litigation/suspensions/2016/34-77504.pdf 2016-04-04 Go EZ Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77497 http://www.sec.gov/litigation/admin/2016/34-77497.pdf 2016-04-01 Amerprise Financial, Inc., Fair Fund Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77498 http://www.sec.gov/litigation/admin/2016/34-77498.pdf 2016-04-01 Amerprise Financial, Inc., Fair Fund Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77503 http://www.sec.gov/litigation/opinions/2016/34-77503.pdf 2016-04-01 Jarkas, Rani T. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77525 http://www.sec.gov/litigation/admin/2016/34-77525.pdf 2016-04-05 Pappas, Steve Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4361 http://www.sec.gov/litigation/admin/2016/ia-4361.pdf 2016-04-05 Cambridge Investment Research Advisors, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77528 http://www.sec.gov/litigation/admin/2016/34-77528.pdf 2016-04-05 Bastron, Alexander R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77531 http://www.sec.gov/litigation/admin/2016/34-77531.pdf 2016-04-05 Caughran, William H. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77532 http://www.sec.gov/litigation/admin/2016/34-77532.pdf 2016-04-05 White, James A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77542 http://www.sec.gov/litigation/admin/2016/34-77542.pdf 2016-04-06 Thakkar CPA, PLLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Williford, Gregory Scott CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Thakkar, Mahesh CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Thakkar, Poovesh Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77544 http://www.sec.gov/litigation/admin/2016/34-77544.pdf 2016-04-06 Expleo Solutions, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Numida, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77546 http://www.sec.gov/litigation/admin/2016/34-77546.pdf 2016-04-06 Skypeck, Thomas E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77555 http://www.sec.gov/litigation/admin/2016/34-77555.pdf 2016-04-07 Las Vegas Sands Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77566 http://www.sec.gov/litigation/admin/2016/34-77566.pdf 2016-04-08 Ragas, Jabari W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4363 http://www.sec.gov/litigation/admin/2016/ia-4363.pdf 2016-04-05 Rivera, Daniel Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77561 http://www.sec.gov/litigation/suspensions/2016/34-77561.pdf 2016-04-08 Royale Globe Holding Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77574 http://www.sec.gov/litigation/suspensions/2016/34-77574.pdf 2016-04-11 Business Marketing Services, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Diversified Corporate Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Great Lakes Recreation Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Green Nature USA, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Green St. Energy, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved International Total Services, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved J.P. Cabot Realty, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Multicom Publishing Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Pan American Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Printron, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Seaboard Associates, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Sona Mobile Holdings Group, Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Standard Holdings Group, Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved TraceGuard Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Tradings.net, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved US-Worldlink.com, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Versadial, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Voxcorp, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved W3OTC, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77584 http://www.sec.gov/rules/sro/nms/2016/34-77584.pdf 2016-04-12 Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Certain Provisions of the OPRA's Fee Schedule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77585 http://www.sec.gov/rules/sro/nms/2016/34-77585.pdf 2016-04-12 Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Professional Subscriber Device-Based Fees Set Forth in OPRA's Fee Schedule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77586 http://www.sec.gov/rules/sro/nms/2016/34-77586.pdf 2016-04-12 Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Redistribution Fee Set Forth in OPRA's Fee Schedule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77595 http://www.sec.gov/litigation/admin/2016/34-77595.pdf 2016-04-12 Craig Scott Capital, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Taddonio, Craig S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Porges, Brent M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77596 http://www.sec.gov/litigation/admin/2016/34-77596.pdf 2016-04-12 INTL FCStone Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 33-10064 http://www.sec.gov/rules/concept/2016/33-10064.pdf 2016-04-13 Business and Financial Disclosure Required by Regulation S-K; Concept release Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77617 http://www.sec.gov/rules/final/2016/34-77617.pdf 2016-04-14 Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-77618 http://www.sec.gov/litigation/admin/2016/34-77618.pdf 2016-04-14 Innovative Business Solutions, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Jacob, Arthur F., CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77622 http://www.sec.gov/litigation/admin/2016/34-77622.pdf 2016-04-14 Mondeo Investments, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved MPEG Super Site, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Myriad International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10066 http://www.sec.gov/litigation/opinions/2016/33-10066.pdf 2016-04-14 Equity Trust Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77625 http://www.sec.gov/litigation/admin/2016/34-77625.pdf 2016-04-14 Johnson, Reid S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77628 http://www.sec.gov/rules/sro/occ-an/2016/34-77628.pdf 2016-04-15 The Options Clearing Corporation; Notice of Filing of an Advance Notice Related to the Adoption of an Options Exchange Risk Control Standards Policy Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77630 http://www.sec.gov/litigation/admin/2016/34-77630.pdf 2016-04-15 White, Paul Leon, II Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10067 http://www.sec.gov/litigation/opinions/2016/33-10067.pdf 2016-04-18 Pierce, Gordon Brent Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77644 http://www.sec.gov/litigation/admin/2016/34-77644.pdf 2016-04-19 Logitech International, S.A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Doktorczyk, Michael Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bolles, Sherralyn CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10068 http://www.sec.gov/litigation/admin/2016/33-10068.pdf 2016-04-19 Ener1, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Gassenheimer, Charles L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Seidel, Jeffrey A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kamischke, Robert R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77646 http://www.sec.gov/litigation/admin/2016/34-77646.pdf 2016-04-19 Hesselgesser, Robert D. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77648 http://www.sec.gov/litigation/admin/2016/34-77648.pdf 2016-04-19 Hartshorn, Bruce A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77649 http://www.sec.gov/litigation/admin/2016/34-77649.pdf 2016-04-19 TPG Advisors, LLC (d/b/a The Phillips Group Advisors) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Phillips, Larry M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77657 http://www.sec.gov/litigation/admin/2016/34-77657.pdf 2016-04-20 Messenbaugh, Laura P. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77663 http://www.sec.gov/litigation/admin/2016/34-77663.pdf 2016-04-20 Jackson, JoAnn Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77665 http://www.sec.gov/litigation/admin/2016/34-77665.pdf 2016-04-20 Zobrist, Gerry G. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77669 http://www.sec.gov/litigation/suspensions/2016/34-77669.pdf http://www.sec.gov/litigation/suspensions/2016/34-77669-o.pdf 2016-04-21 CelLynx Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Dot VN, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Global Health Voyager, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77670 http://www.sec.gov/litigation/admin/2016/34-77670.pdf 2016-04-21 CelLynx Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Dot VN, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Global Health Voyager, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77671 http://www.sec.gov/litigation/suspensions/2016/34-77671.pdf http://www.sec.gov/litigation/suspensions/2016/34-77671-o.pdf 2016-04-21 Gold Hills Mining, Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Massive Dynamics, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved MDU Communications International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Medisafe 1 Technologies Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77672 http://www.sec.gov/litigation/admin/2016/34-77672.pdf 2016-04-21 Gold Hills Mining, Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Massive Dynamics, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved MDU Communications International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Medisafe 1 Technologies Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77683 http://www.sec.gov/litigation/opinions/2016/34-77683.pdf 2016-04-21 Quintanilla, Timothy CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77689 http://www.sec.gov/litigation/admin/2016/34-77689.pdf 2016-04-22 White, Caleb J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77502 http://www.sec.gov/litigation/opinions/2016/34-77502.pdf 2016-04-01 AutoChina International Limited Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10062 http://www.sec.gov/rules/interp/2016/33-10062.pdf 2016-04-04 Certain Natural Gas and Electric Power Contracts; Proposed guidance Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10071 http://www.sec.gov/rules/final/2016/33-10071.pdf 2016-04-22 Adoption of Updated EDGAR Filer Manual; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10073 http://www.sec.gov/rules/other/2016/33-10073.pdf 2016-04-22 Order Regarding Review of FASB Accounting Support Fee for 2016 Under Section 109 of the Sarbanes-Oxley Act of 2002 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77699 http://www.sec.gov/rules/other/2016/34-77699.pdf 2016-04-22 Security-Based Swap Data Repositories; ICE Trade Vault, LLC; Notice of Filing of Application for Registration as a Security-Based Swap Data Repository Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77712 http://www.sec.gov/litigation/admin/2016/34-77712.pdf 2016-04-26 North East Capital, LLC Fair Fund Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77717 http://www.sec.gov/litigation/admin/2016/34-77717.pdf 2016-04-26 Cabela's Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Castner, Ralph W. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77718 http://www.sec.gov/litigation/admin/2016/34-77718.pdf 2016-04-26 David S. Hall, P.C. d/b/a The Hall Group CPAs Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hall, David S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Helterbran Cochran, Michele L. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Cisneros, Susan A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77724 http://www.sec.gov/rules/sro/nms/2016/34-77724.pdf 2016-04-27 Joint Industry Plan; Notice of Filing of the National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., International Securities Exchange, LLC, ISE Gemini, LLC, Miami International Securities Exchange LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The NASDAQ Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77725 http://www.sec.gov/litigation/admin/2016/34-77725.pdf 2016-04-27 Chinea, Benito Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77727 http://www.sec.gov/litigation/admin/2016/34-77727.pdf 2016-04-27 Bethancourt, Tomas Alberto Clarke Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77728 http://www.sec.gov/litigation/admin/2016/34-77728.pdf 2016-04-27 DeMeneses, Joseph Flores Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77729 http://www.sec.gov/litigation/admin/2016/34-77729.pdf 2016-04-27 Hurtado, Jose Alejandro Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77730 http://www.sec.gov/litigation/admin/2016/34-77730.pdf 2016-04-27 Lujan, Ernesto Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4378 http://www.sec.gov/litigation/admin/2016/ia-4378.pdf 2016-04-27 Professional Investment Management, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4379 http://www.sec.gov/litigation/admin/2016/ia-4379.pdf 2016-04-27 Bliss, Roger S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77735 http://www.sec.gov/litigation/suspensions/2016/34-77735.pdf 2016-04-28 Pineapple Express, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77738 http://www.sec.gov/litigation/suspensions/2016/34-77738.pdf 2016-04-29 Pioneer Exploration, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Premier Brands, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Private Media Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77739 http://www.sec.gov/litigation/admin/2016/34-77739.pdf 2016-04-29 Pioneer Exploration, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Premier Brands, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Private Media Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77740 http://www.sec.gov/litigation/suspensions/2016/34-77740.pdf 2016-04-29 Coyote Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Harbor Island Development Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Medical Makeover Corp. of America Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Shades Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77741 http://www.sec.gov/litigation/admin/2016/34-77741.pdf 2016-04-29 Coyote Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Harbor Island Development Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Medical Makeover Corp. of America Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Shades Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77745 http://www.sec.gov/litigation/admin/2016/34-77745.pdf 2016-04-29 Scolaro, Joseph A. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Santos, Postal & Co., P.C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77746 http://www.sec.gov/rules/other/2016/34-77746.pdf 2016-04-29 In the Matter of the Application of the Financial Regulatory Authority, Inc. For an Order Granting the Approval of Steven Rattner As an Investment Banking Representative With Guggenheim Securities, LLC; Order Vacating Commission Approval Order Mary Jo White Not Participating Kara M. Stein Approved Michael S. Piwowar Approved 34-77750 http://www.sec.gov/rules/sro/dtc-an/2016/34-77750.pdf 2016-04-29 The Depository Trust Company; National Securities Clearing Corporation; Notice of Filing of and No Objection to Advance Notices to Renew the Credit Facility Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4374 http://www.sec.gov/litigation/admin/2016/ia-4374.pdf 2016-04-20 Ginsparg, Daniel N. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77704 http://www.sec.gov/litigation/suspensions/2016/34-77704.pdf http://www.sec.gov/litigation/suspensions/2016/34-77704-o.pdf 2016-04-26 Valentine Beauty Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77255 http://www.sec.gov/litigation/admin/2016/34-77255.pdf 2016-07-07 Lazare Kaplan International, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77257 http://www.sec.gov/litigation/admin/2016/34-77257.pdf 2016-03-01 Metzler, Patricia Zajick Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Metzler, Daniel P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Zajick, Donald C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77258 http://www.sec.gov/litigation/admin/2016/34-77258.pdf 2016-03-01 Gincel, Lawrence M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77259 http://www.sec.gov/litigation/admin/2016/34-77259.pdf 2016-03-01 Salamone, Craig N. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77260 http://www.sec.gov/litigation/admin/2016/34-77260.pdf 2016-03-01 Map IV Acquisition, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Med-Zone Biotechnologies Acquisition, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Millennium Direct, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77261 http://www.sec.gov/litigation/admin/2016/34-77261.pdf 2016-03-01 Qualcomm Incorporated Mary Jo White Not Participating Kara M. Stein Approved Michael S. Piwowar Approved 34-77265 http://www.sec.gov/rules/exorders/2016/34-77265.pdf 2016-03-01 Order Granting Exemptions from Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77270 http://www.sec.gov/litigation/admin/2016/34-77270.pdf 2016-03-01 Rey, Janice D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77271 http://www.sec.gov/litigation/admin/2016/34-77271.pdf 2016-03-01 McLean, Devon C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77272 http://www.sec.gov/litigation/admin/2016/34-77272.pdf 2016-03-02 Natural Resources Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77273 http://www.sec.gov/litigation/admin/2016/34-77273.pdf 2016-03-02 Elsinore Capital II, Ltd. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved EPS Solutions Corp. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Free DA Connection Systems, Inc. (a/k/a Free DA Connection Services, Inc., a/k/a Earthshine Interational Ltd.) Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4348 http://www.sec.gov/litigation/admin/2016/ia-4348.pdf 2016-03-02 Marco Investment Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Marco, Steven S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77278 http://www.sec.gov/litigation/admin/2016/34-77278.pdf 2016-03-03 Reid, Joseph Denard (a/k/a Reid Joseph Denard) Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Shared 1, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Vanport Acquisition I, Corp. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Westview Acquisition Corp. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Wi-Net Communications Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Wisdom Holdings, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Yang Holding Company Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Youngheart Production Holding Co, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10050 http://www.sec.gov/litigation/admin/2016/33-10050.pdf 2016-03-07 Parisi, Francis Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77300 http://www.sec.gov/litigation/admin/2016/34-77300.pdf 2016-03-07 First Southwest Company, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77313 http://www.sec.gov/litigation/admin/2016/34-77313.pdf 2016-03-08 eCareer Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10051 http://www.sec.gov/litigation/admin/2016/33-10051.pdf 2016-03-08 EquityStar Capital Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Zoernack, Steven Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77323 http://www.sec.gov/rules/sro/nms/2016/34-77323.pdf 2016-03-08 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add ISE Mercury, LLC as a Plan Sponsor Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77324 http://www.sec.gov/rules/sro/nms/2016/34-77324.pdf 2016-03-08 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add ISE Mercury LLC, as a Participant Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77325 http://www.sec.gov/litigation/admin/2016/34-77325.pdf 2016-03-08 Davis, Steven H. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77326 http://www.sec.gov/litigation/admin/2016/34-77326.pdf 2016-03-08 Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10053 http://www.sec.gov/litigation/admin/2016/33-10053.pdf 2016-03-09 Westlands Water District Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Birmingham, Thomas W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ciapponi, Louie David Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77342 http://www.sec.gov/litigation/admin/2016/34-77342.pdf 2016-03-10 Allred, Joseph R. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77343 http://www.sec.gov/litigation/admin/2016/34-77343.pdf 2016-03-10 Gray, Wayne CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77344 http://www.sec.gov/litigation/admin/2016/34-77344.pdf 2016-03-10 Krueger, David S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77345 http://www.sec.gov/litigation/admin/2016/34-77345.pdf 2016-03-10 Magnum Hunter Resources Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-77346 http://www.sec.gov/litigation/admin/2016/34-77346.pdf 2016-03-10 Ormand, Ronald D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SIPA-175 http://www.sec.gov/rules/other/2016/sipa-175.pdf 2016-03-14 Securities Investor Protection Corporation; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77362 http://www.sec.gov/litigation/admin/2016/34-77362.pdf 2016-03-14 Royal Alliance Associates, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SagePoint Financial Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved FSC Securities Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77369 http://www.sec.gov/litigation/admin/2016/34-77369.pdf 2016-03-15 Central States Capital Markets, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Detter, Mark R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Malone, David K. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Stepp, John D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10055 http://www.sec.gov/litigation/admin/2016/33-10055.pdf 2016-03-15 ModusLink Global Solutions, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Lawler, Joseph C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the Section 304 of the Sarbanes-Oxley Act of 2002 clawbacks. Crane, Steven G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the Section 304 of the Sarbanes-Oxley Act of 2002 clawbacks. Venable, Catherine L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77373 http://www.sec.gov/litigation/admin/2016/34-77373.pdf 2016-03-15 Clare, Barry B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77382 http://www.sec.gov/rules/other/2016/34-77382.pdf 2016-03-16 Gardiner, Koch, Weisberg & Wrona Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Koch, James Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Raynolds, Katherine Lynn Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77383 http://www.sec.gov/litigation/admin/2016/34-77383.pdf 2016-03-16 Wolff, Eric J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77393 http://www.sec.gov/litigation/admin/2016/34-77393.pdf 2016-03-17 Dowd, Kevin L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77397 http://www.sec.gov/litigation/admin/2016/34-77397.pdf 2016-03-17 CONCERTSBYU.COM, INC. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Freedom Bancshares, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved MetaMorphix Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77375 http://www.sec.gov/litigation/opinions/2016/34-77375.pdf 2016-03-15 McCune, Michael Earl Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77396 http://www.sec.gov/litigation/opinions/2016/34-77396.pdf 2016-03-17 Dratel, William M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved The Dratel Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77398 http://www.sec.gov/litigation/opinions/2016/34-77398.pdf 2016-03-17 DiPietro, Michael Albert Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77399 http://www.sec.gov/litigation/opinions/2016/34-77399.pdf 2016-03-17 Gundaker/Jordan American Holdings (a/k/a Jordan American Holdings, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77411 http://www.sec.gov/litigation/opinions/2016/34-77411.pdf 2016-03-21 Wulf, David R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77414 http://www.sec.gov/litigation/opinions/2016/34-77414.pdf 2016-03-21 Crucible Capital Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77431 http://www.sec.gov/litigation/admin/2016/34-77431.pdf 2016-03-23 Novartis AG Mary Jo White Not Participating Kara M. Stein Approved Michael S. Piwowar Approved 33-10059 http://www.sec.gov/litigation/admin/2016/33-10059.pdf 2016-03-24 Canaccord Genuity Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77439 http://www.sec.gov/litigation/admin/2016/34-77439.pdf 2016-03-24 Akel, Philip Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10060 http://www.sec.gov/litigation/opinions/2016/33-10060.pdf 2016-03-24 Young, Bernerd E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77447 http://www.sec.gov/litigation/admin/2016/34-77447.pdf 2016-03-25 Berman & Company, P.A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Berman, Elliot R. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77452 http://www.sec.gov/litigation/opinions/2016/34-77452.pdf 2016-03-25 John Vincent Ballard Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77453 http://www.sec.gov/litigation/admin/2016/34-77453.pdf 2016-03-25 Han, Yue Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77462 http://www.sec.gov/litigation/admin/2016/34-77462.pdf 2016-03-28 Maxwell, William Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77277 http://www.sec.gov/rules/sro/nms/2016/34-77277.pdf 2016-03-03 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add National Stock Exchange, Inc. as a Participant Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77387 http://www.sec.gov/litigation/suspensions/2016/34-77387.pdf 2016-03-17 Broke Out, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10056 http://www.sec.gov/rules/other/2016/33-10056.pdf 2016-03-18 Regulatory Flexibility Agenda; Notice of semiannual regulatory agenda Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77400 http://www.sec.gov/rules/exorders/2016/34-77400.pdf 2016-03-18 Order Granting a Temporary Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77406 http://www.sec.gov/rules/other/2016/34-77406.pdf 2016-03-18 Investors’ Exchange LLC; Notice of Filing of Amendment Nos. 2, 3, and 4 to, and Order Instituting Proceedings to Determine Whether to Grant or Deny, and Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Grant or Deny, an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77407 http://www.sec.gov/rules/interp/2016/34-77407.pdf 2016-03-18 Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77459 http://www.sec.gov/litigation/admin/2016/34-77459.pdf 2016-03-28 Yoo, Linda Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77466 http://www.sec.gov/litigation/admin/2016/34-77466.pdf 2016-03-29 Gibson, Christopher M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77467 http://www.sec.gov/litigation/admin/2016/34-77467.pdf 2016-03-29 Rings To Dine For, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77470 http://www.sec.gov/litigation/opinions/2016/34-77470.pdf 2016-03-29 Grivas, Stephen Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77473 http://www.sec.gov/litigation/admin/2016/34-77473.pdf 2016-03-30 Burrill Capital Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Burrill, G. Steven CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hebert, Victor A. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Sen, Helena C. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SIPA-176 http://www.sec.gov/rules/other/2016/sipa-176.pdf 2016-03-30 Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77482 http://www.sec.gov/litigation/admin/2016/34-77482.pdf 2016-03-31 Lenco Mobile, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77486 http://www.sec.gov/litigation/admin/2016/34-77486.pdf 2016-03-31 Neilsen, James E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77288 http://www.sec.gov/litigation/admin/2016/34-77288.pdf 2016-03-03 Gourevitch, Mikhail Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77290 http://www.sec.gov/litigation/admin/2016/34-77290.pdf 2016-03-03 Nordion (Canada) Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77347 http://www.sec.gov/litigation/admin/2016/34-77347.pdf 2016-03-10 Stephens, Steele V. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10054 http://www.sec.gov/rules/other/2016/33-10054.pdf 2016-03-14 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee For Calendar Year 2016 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 33-10061 http://www.sec.gov/litigation/admin/2016/33-10061.pdf 2016-03-31 Navistar International Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-77496 http://www.sec.gov/litigation/admin/2016/34-77496.pdf 2016-03-31 Clubhouse Videos, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved GLX.com, Inc. (f/k/a American Environmental, Inc., a/k/a GLX, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Mortgage Shakers, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Newbridge Mortgage Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Newcourt Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77005 http://www.sec.gov/litigation/admin/2016/34-77005.pdf 2016-02-01 SAP SE Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77010 http://www.sec.gov/litigation/admin/2016/34-77010.pdf 2016-02-01 RSL Communications Ltd. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Simplayer.com Ltd. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Six Diamond Resorts International Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Zimtu Technologies, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77011 http://www.sec.gov/litigation/admin/2016/34-77011.pdf 2016-02-01 DCI Telecommunications, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Helionetics, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved LDP-III, A California Limited Partnership Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Lyric International, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Q-Net Technologies, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Seiler Pollution Control Systems, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved The Mortgage Bancfund of America II, L.P. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77016 http://www.sec.gov/litigation/admin/2016/34-77016.pdf 2016-02-02 Omnibus Order Directing the Appointment of Tax Administrator in Adminstrative Proceedings that Establish Distribution Funds Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10016 http://www.sec.gov/litigation/admin/2016/33-10016.pdf 2016-02-02 Barclays Capital Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10017 http://www.sec.gov/litigation/admin/2016/33-10017.pdf 2016-02-02 First Midstate Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10018 http://www.sec.gov/litigation/admin/2016/33-10018.pdf 2016-02-02 Boenning & Scattergood, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10019 http://www.sec.gov/litigation/admin/2016/33-10019.pdf 2016-02-02 D.A. Davidsonson & Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10020 http://www.sec.gov/litigation/admin/2016/33-10020.pdf 2016-02-02 Jefferies Group LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10021 http://www.sec.gov/litigation/admin/2016/33-10021.pdf 2016-02-02 KeyBanc Capital Markets Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10022 http://www.sec.gov/litigation/admin/2016/33-10022.pdf 2016-02-02 Janney Montgomery Scott LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10024 http://www.sec.gov/litigation/admin/2016/33-10024.pdf 2016-02-02 TD Securities (USA) LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10025 http://www.sec.gov/litigation/admin/2016/33-10025.pdf 2016-02-02 Municipal Capital Markets Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10027 http://www.sec.gov/litigation/admin/2016/33-10027.pdf 2016-02-02 Roosevelt & Cross, Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10028 http://www.sec.gov/litigation/admin/2016/33-10028.pdf 2016-02-02 Wells Fargo Bank, N.A. Municipal Products Group Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10029 http://www.sec.gov/litigation/admin/2016/33-10029.pdf 2016-02-02 United Bankers' Bank Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77052 http://www.sec.gov/litigation/admin/2016/34-77052.pdf 2016-02-04 Donnelly, Michael Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77056 http://www.sec.gov/litigation/admin/2016/34-77056.pdf 2016-02-04 E.S. Financial Services, Inc. n/k/a Brickell Global Markets, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77057 http://www.sec.gov/litigation/admin/2016/34-77057.pdf 2016-02-04 Plaza, Ignacio Cueto Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77058 http://www.sec.gov/litigation/admin/2016/34-77058.pdf 2016-02-04 SciClone Pharmaceuticals, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77062 http://www.sec.gov/litigation/opinions/2016/34-77062.pdf 2016-02-04 Ramcon Financial LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77061 http://www.sec.gov/litigation/admin/2016/34-77061.pdf 2016-02-04 CBC Acquisition Corp. 1 Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved China Renewable Construction Material, Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Whoopass Poker Corp. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved WNC Housing Tax Credit Fund VI, L.P., Series 12 Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77060 http://www.sec.gov/litigation/admin/2016/34-77060.pdf 2016-02-04 Bailey Frances Corp. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Kingly Chateau Corp. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Lucy's Water World, Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10035 http://www.sec.gov/litigation/opinions/2016/33-10035.pdf 2016-02-05 Cooper, Jacob Keith Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10036 http://www.sec.gov/litigation/admin/2016/33-10036.pdf 2016-02-05 BioElectronics Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IBEX, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved St. John's, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Whelan, Andrew J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Whelan, Kelly A. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bedwell, Robert P. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77075 http://www.sec.gov/litigation/admin/2016/34-77075.pdf 2016-02-05 Stilwell Value, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Stilwell, Joseph Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10023 http://www.sec.gov/litigation/admin/2016/33-10023.pdf 2016-02-02 Hilltop Securities Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10026 http://www.sec.gov/litigation/admin/2016/33-10026.pdf 2016-02-02 Mitsubishi UFJ Securities (USA), Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10030 http://www.sec.gov/rules/other/2016/33-10030.pdf 2016-02-02 Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10037 http://www.sec.gov/litigation/admin/2016/33-10037.pdf 2016-02-09 Monsanto Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Brunnquell, Sara M. CPA Mary Jo White Approved . Kara M. Stein Approved . Michael S. Piwowar Approved . Hartke, Anthony P. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Nienas, Jonathan W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4332 http://www.sec.gov/litigation/admin/2016/ia-4332.pdf 2016-02-09 Rowe, Nicholas Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77094 http://www.sec.gov/litigation/admin/2016/34-77094.pdf 2016-02-09 Spector, Jarrod L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77099 http://www.sec.gov/litigation/admin/2016/34-77099.pdf 2016-02-09 Bay Peak, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved Roberts, Phillip Cory Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-77102 http://www.sec.gov/litigation/admin/2016/34-77102.pdf 2016-02-10 Disaster Preparedness Systems, Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Electric Moto Corp. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved EMO Corp. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77104 http://www.sec.gov/rules/final/2016/34-77104.pdf 2016-02-10 Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimis Exception; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77112 http://www.sec.gov/rules/other/2016/34-77112.pdf 2016-02-11 Order Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan and Denying Motions Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10039 http://www.sec.gov/litigation/admin/2016/33-10039.pdf 2016-02-11 Frazer Frost, LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Woo, Susan CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Suen, Miranda CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77123 http://www.sec.gov/rules/sro/nms/2016/34-77123.pdf 2016-02-11 Notice of Filing of Amendment No. 3 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by Financial Industry Regulatory Authority, Inc., BATS Exchange, Inc., BOX Options Exchange, LLC, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., International Securities Exchange, LLC, NASDAQ OMX BX, Inc., NASDAQ OMX PHLX, Inc., The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange, LLC, NYSE MKT, LLC, and NYSE Arca, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77084 http://www.sec.gov/litigation/opinions/2016/34-77084.pdf 2016-02-08 Manzella, Aliza A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10038 http://www.sec.gov/litigation/opinions/2016/33-10038.pdf 2016-02-09 Daspin, Edward M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77109 http://www.sec.gov/litigation/admin/2016/34-77109.pdf 2016-02-10 Fadel, Abdallah Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77132 http://www.sec.gov/litigation/admin/2016/34-77132.pdf 2016-02-12 Wentworth IV, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Wentworth V, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Wentworth VI, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Wentworth VII, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Wentworth VIII, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved White Horse Resources, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Xtreme Healthcare Corporation Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Zylorain, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77133 http://www.sec.gov/litigation/admin/2016/34-77133.pdf 2016-02-12 Shearson Financial Network, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Shelby Acquisition I, Inc. (n/k/a Phoenix Capital Source, Inc.) Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Shelby Acquisition II, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Shelby Acquisition III, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Shelby Acquisition IV, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved US WATS Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Western Hemisphere Investments Corporation Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Whirlwind Marketing, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77135 http://www.sec.gov/litigation/admin/2016/34-77135.pdf 2016-02-12 China Rongxin Chemical Holding Group, Inc. Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Acclerated Acquisitions XXI, Inc.) Mary Jo White Approved Luis A. Aguilar Approved Daniel M. Gallagher Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77136 http://www.sec.gov/litigation/admin/2016/34-77136.pdf 2016-02-12 Merrick, Gregory L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77145 http://www.sec.gov/litigation/admin/2016/34-77145.pdf 2016-02-16 PTC Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77150 http://www.sec.gov/litigation/admin/2016/34-77150.pdf 2016-02-17 Grom, Charles P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-77157 http://www.sec.gov/rules/proposed/2016/34-77157.pdf 2016-02-17 Covered Broker-Dealer Provisions under Title II of the Dodd-Frank Wall Street Reform and Consumer Protection Act; Notice of proposed rulemaking Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77161 http://www.sec.gov/litigation/admin/2016/34-77161.pdf 2016-02-17 Glidewell, Donald J. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the Section 304 of the Sarbanes-Oxley Act of 2002 clawbacks. 34-77162 http://www.sec.gov/litigation/admin/2016/34-77162.pdf 2016-02-17 Barcenas, Julieta Favela Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77163 http://www.sec.gov/litigation/opinions/2016/34-77163.pdf 2016-02-17 Bebo, Laurie Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Buono, John CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77166 http://www.sec.gov/litigation/admin/2016/34-77166.pdf 2016-02-17 Digiblue Media, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Morgain Minerals Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved New World Batteries, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved North Pacific GeoPower Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Northern Canadian Uranium Inc. (f/k/a Northern Canadian Minerals Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77167 http://www.sec.gov/litigation/admin/2016/34-77167.pdf 2016-02-17 Ceyoniq AG (n/k/a CEYONIQ, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Market Data Consultants, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Mentergy Ltd. (a/k/a Gilat Communications Ltd.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Mid-Am Systems, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Nu Energy Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10040 http://www.sec.gov/litigation/opinions/2016/33-10040.pdf 2016-02-18 Daspin, Edward M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77172 http://www.sec.gov/rules/proposed/2016/34-77172.pdf 2016-02-18 Extension of Comment Period for Advance Notice of Proposed Rulemaking; Concept Release; Request for Comment Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77176 http://www.sec.gov/litigation/admin/2016/34-77176.pdf 2016-02-18 Moore, Charles Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10042 http://www.sec.gov/litigation/admin/2016/33-10042.pdf 2016-02-19 IBC Funds, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77178 http://www.sec.gov/litigation/suspensions/2016/34-77178.pdf http://www.sec.gov/litigation/suspensions/2016/34-77178-o.pdf 2016-02-19 AI Document Services, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Creative Edge Nutrition, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Interactive Health Network Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77185 http://www.sec.gov/litigation/admin/2016/34-77185.pdf 2016-02-19 Prezioso, Nicholas A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77205 https://www.sec.gov/rules/sro/nms/2016/34-77205.pdf 2016-02-22 Filing of the Tenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by BATS Exchange, Inc., BATS Y-Exchange, Inc., Chicago Stock Exchange, Inc., EDGA Exchange, Inc., EDGX Exchange, Inc., Financial Industry Regulatory Authority, Inc., NASDAQ OMX BX, Inc., NASDAQ OMX PHLX LLC, The Nasdaq Stock Market LLC, National Stock Exchange, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77204 http://www.sec.gov/litigation/opinions/2016/34-77204.pdf 2016-02-22 Bebo, Laurie Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Buono, John CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77207 http://www.sec.gov/litigation/admin/2016/34-77207.pdf 2016-02-23 Maiher, Jason Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4338 http://www.sec.gov/litigation/admin/2016/ia-4338.pdf 2016-02-23 Cantella & Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4339 http://www.sec.gov/litigation/opinions/2016/ia-4339.pdf 2016-02-23 Goyal, Sandeep Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4343 http://www.sec.gov/litigation/admin/2016/ia-4343.pdf 2016-02-24 Sarris, Emanuel L. Sr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77224 http://www.sec.gov/litigation/admin/2016/34-77224.pdf 2016-02-24 Lee, David S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77225 http://www.sec.gov/litigation/admin/2016/34-77225.pdf 2016-02-24 Lopez, Mark A. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77227 http://www.sec.gov/litigation/admin/2016/34-77227.pdf 2016-02-24 Infrastructure International, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77228 http://www.sec.gov/litigation/admin/2016/34-77228.pdf 2016-02-24 TexStar Oil Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bonamour, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77231 http://www.sec.gov/litigation/admin/2016/34-77231.pdf 2016-02-25 Quintanilla, Timothy CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77237 http://www.sec.gov/litigation/admin/2016/34-77237.pdf 2016-02-25 DE Acquisition 5, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved DE Acquisition 11, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved GimmeaBid.com, Inc. (a/k/a Gimmeabid Com Inc.) Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77238 http://www.sec.gov/litigation/admin/2016/34-77238.pdf 2016-02-25 Chardan China Acquisition Corp. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Garden Bay International, Ltd. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77253 http://www.sec.gov/litigation/admin/2016/34-77253.pdf 2016-02-29 Santos, Maximillian Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77254 http://www.sec.gov/litigation/admin/2016/34-77254.pdf 2016-02-29 KeyBanc Capital Markets Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved