Final Commission Votes for Agency Proceedings

Calendar Year 2024

Below are links to each decision, order, rule or similar action of the Commission and the final votes of the Commissioners in each instance. These records are maintained pursuant to the Freedom of Information Act (5 U.S.C. § 552(a)(5)) whereby "[e]ach agency having more than one member shall maintain and make available for public inspection a record of the final votes of each member in every agency proceeding."

Number of Releases: 735

Release Date	Release No.	Matter	Commissioner	Vote	Comment
02-Jan-24	34-99258	Ingle, David W.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Jan-24	34-99263	Michael, David	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Jan-24	IA-6520	Marchi, Mark	Gensler	Approved
			Peirce	Approved
			Lee	Approved
			Crenshaw	Approved
03-Jan-24	34-99267	Strege, Adam	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Jan-24	34-99271	The Edward Walker Benefield Trust	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Jan-24	34-99272	THE DOCS, INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
05-Jan-24	33-11263	Adjustments to Civil Monetary Penalty Amounts	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Jan-24	34-99284	Valeant Pharmaceuticals International, Inc.n/k/a Bausch Health Companies Inc.	Gensler	Not Participating
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Pearson, J. Michael	Gensler	Not Participating
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Schiller, Howard B.	Gensler	Not Participating
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Carro, Tanya R., CPA	Gensler	Not Participating
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Jan-24	34-99285	Smith, Eric S.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Jan-24	34-99293	Jones, Robbi J.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Kipling Jones & Co., Ltd.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Jan-24	34-99305	Eyecity.com, Inc. (n/k/a CareX Blockchain Platform, Inc.)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Jan-24	34-99306	NYSE Arca, Inc.; The Nasdaq Stock Market LLC; Cboe BZX Exchange, Inc.; Order Granting Accelerated Approval of Proposed Rule Changes, as Modified by Amendments Thereto, to List and Trade Bitcoin-Based Commodity-Based Trust Shares and Trust Units	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Not Approved
10-Jan-24	34-99308	SAP SE	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Jan-24	34-99309	Allen, Laurence G.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Jan-24	34-99341	Kingsfield, Brian	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Jan-24	34-99344	J.P. Morgan Securities LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Jan-24	34-99346	Lykos, Thomas John Jr.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Jan-24	34-99347	Johnson, Thomas Lee	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Jan-24	34-99352	M.Y. Consultants, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Jan-24	34-99384	Hackert, Edward F. CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Jan-24	34-99388	Seaman, Brent	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Jan-24	34-99403	Joint Industry Plan: Notice of Filing of a National Market System Plan Regarding Consolidated Equity Market Data	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Jan-24	34-99410	Tian, Tian "Tony"	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement, prejudgment interest, and the officer and director bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
24-Jan-24	33-11265	Special Purpose Acquisition Companies, Shell Companies, and Projections	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
24-Jan-24	34-99422	Merrill, James K.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
24-Jan-24	IA-6533	Frankel, Marc J.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Jan-24	33-11266	Northern Star Investment Corp. II	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
25-Jan-24	34-99429	Metatron, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Jan-24	IA-6535	Shaughnessy, Claire P.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Jan-24	IA-6536	Aon Investments USA Inc. fka Aon Hewitt Investment Consulting, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Jan-24	File No. 4-733	Denial of Rulemaking Petition	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
02-Feb-24	IA-6540	Bodner, David B.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
06-Feb-24	34-99477	Further Definition of "As a Part of a Regular Business" in the Definition of Dealer and Government Securities Dealer	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
06-Feb-24	34-99478	Goel, Brijesh	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
06-Feb-24	34-99483	Cloopen Group Holding Limited	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Feb-24	33-11269	TradeStation Crypto, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
08-Feb-24	34-99492	Cary, Justin Samuel, CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Feb-24	34-99493	Pustelnik, Sergey a/k/a Serge Pustelnik	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Feb-24	34-99494	Allianz Global Investors U.S., LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Feb-24	34-99496	Soberal, Jake, Esq.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Feb-24	IA-6546	Form PF; Reporting Requirements for All Filers and Large Hedge Fund Advisers	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
09-Feb-24	34-99498	Cambridge Investment Research, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cambridge Investment Research Advisors, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Feb-24	34-99499	Lincoln Financial Advisors Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Lincoln Financial Securities Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Feb-24	34-99500	Key Investment Services LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		KeyBanc Capital Markets Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Feb-24	34-99501	Northwestern Mutual Investment Services, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Northwestern Mutual Investment Management Company, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Mason Street Advisors, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Feb-24	34-99502	Guggenheim Securities LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Guggenheim Partners Investment Management LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Feb-24	34-99503	Oppenheimer & Co. Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Feb-24	34-99504	The Huntington Investment Company	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Huntington Securities, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Capstone Capital Markets LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Feb-24	34-99505	U.S. Bancorp Investments, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Feb-24	34-99509	Vallone, Robert	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Feb-24	34-99514	TAYC Capital Trust I	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Feb-24	34-99515	TELTRUST, INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Feb-24	34-99525	CHINA PACIFIC, INC. (N/K/A YORKSTON HOLDINGS, INC.)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Feb-24	IA-6554	Uppal, Sachin K.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
14-Feb-24	34-99536	REALMARK PROPERTY INVESTORS LTD PARTNERSHIP VI-B (A/K/A REALMARK PROPERTY INVESTORS LIMITED PARTNERSHIP - VI B)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
14-Feb-24	34-99539	Apostelos, William M.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
14-Feb-24	34-99541	Credit Suisse Securities (USA) LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Katz, Sanford Michael	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
14-Feb-24	IA-6556	Peters, Stephen Condon	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
14-Feb-24	IC-35129	Qualifying Venture Capital Funds Inflation Adjustment	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Feb-24	34-99542	REALMARK PROPERTY INVESTORS LTD PARTNERSHIP IV	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Feb-24	34-99543	REALMARK PROPERTY INVESTORS LTD PARTNERSHIP III	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Feb-24	34-99544	XEIKON NV	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Feb-24	34-99546	Johnson, Thomas Lee	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Feb-24	34-99547	Felix, Wilfredo	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Feb-24	IA-6558	Vargas Gonzalez, Rafael Alberto a/k/a Rafael Vargas	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Feb-24	34-99549	TIAA-CREF Individual & Institutional Services, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Feb-24	IC-35132	Van Eck Associates Corporation	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
20-Feb-24	33-11271	Fernandez, Christian	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Feb-24	33-11272	Electropremium	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Feb-24	34-99558	Metatron, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Feb-24	34-99560	Komarow, Andrew M.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Feb-24	34-99561	Wicker, Devin Lamarr	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Feb-24	34-99562	Young, James Thomas	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Feb-24	34-99564	Flesche, Paul Eric	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Feb-24	34-99565	ATLANTIC INDUSTRIES INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Feb-24	34-99573	FORCEFIELD ENERGY INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Feb-24	34-99574	JS BEAUTY LAND NETWORK TECHNOLOGY INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Feb-24	34-99575	ACTUA CORP.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Feb-24	34-99576	CHINA CRESCENT ENTERPRISES, INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Feb-24	34-99578	Contrarian Capital Management, L.L.C.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Feb-24	34-99579	UBS Financial Services, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Feb-24	33-11273	ORDER REGARDING REVIEW OF FASB ACCOUNTING SUPPORT FEE FOR 2024 UNDER SECTION 109 OF THE SARBANES-OXLEY ACT OF 2002	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Feb-24	34-99582	Supplemental Standards of Ethical Conduct for Members and Employees of the Securities and Exchange Commission	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Feb-24	34-99586	Canadian Imperial Holdings Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		CIBC World Markets Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Feb-24	34-99587	Maxwell Technologies, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Andrews, Van M.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Schramm, David J.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		DeWitt, James W. Jr.CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-Feb-24	34-99595	COASTAL CARIBBEAN OILS & MINERALS, LTD.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-Feb-24	34-99596	Johnson, Thomas Lee	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Feb-24	34-99600	STRONG SOLUTIONS, INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Feb-24	34-99602	Felix, Wilfredo	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Feb-24	34-99605	Engelhardt, Dale Jay	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Feb-24	34-99613	Stewart, Sean R.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
28-Feb-24	34-99625	Saliba, Trevor Michael	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
29-Feb-24	34-99636	LIFE CLIPS, INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
29-Feb-24	34-99650	Mehler, Edith Pardo ,Esq.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
01-Mar-24	34-99651	HG Vora Capital Management, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
01-Mar-24	34-99656	Goldstein, Aryeh	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
04-Mar-24	34-99659	Goff, Louis Peter	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Mar-24	34-99662	Deep ATS, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Mar-24	34-99666	Agrawal, Hemant	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement, prejudgment interest, and the officer and director bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
05-Mar-24	34-99676	ShapeShift AG	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
06-Mar-24	33-11275	The Enhancement and Standardization of Climate-Related Disclosures for Investors	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
06-Mar-24	34-99679	Disclosure of Order Execution Information	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Mar-24	34-99688	Momentus, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Stable Road Acquisition Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		SRC-NI Holdings, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Kabot, Brian	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Mar-24	34-99693	Skechers U.S.A., Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
11-Mar-24	34-99703	LEK SECURITIES CORPORATION	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
11-Mar-24	34-99705	CANTONE RESEARCH INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cantone, Anthony	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cantone, Christine	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
11-Mar-24	34-99706	SILVER LEAF PARTNERS, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
11-Mar-24	34-99707	Logan, Matthew R.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Mar-24	33-11232A	EDGAR Filer Access and Account Management; Correction	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Mar-24	33-11276	Hackert, Edward F. CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Mar-24	34-97990A	Conflicts of Interest Associated with the Use of Predictive Data Analytics by Broker-Dealers and Investment Advisers; Correction	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Mar-24	34-99717	EYECITY.COM, INC. (n/k/a CAREX BLOCKCHAIN PLATFORM, INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Mar-24	IA-6354A	Exemption for Certain Investment Advisers Operating Through the Internet; Correction	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Mar-24	34-99731	The Options Clearing Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Mar-24	33-11277	Adoption of Updated EDGAR Filer Manual	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Mar-24	34-99753	TITAN SECURITIES	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Brooks, Brad C.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Mar-24	34-99754	Zipper, Bruce	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		DAKOTA SECURITIES INTERNATIONAL, INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Mar-24	IA-6573	Delphia (USA) Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Mar-24	IA-6574	Global Predictions, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Mar-24	33-11278	Parekh, Imran	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Mar-24	34-99767	Winthrop California Investors Ltd Partnership	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Mar-24	34-99768	DREAMFUNDED MARKETPLACE, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Fernandez, Manuel	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Mar-24	34-99775	Arch Leasing Corp	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Mar-24	34-99778	Share Repurchase Disclosure Modernization	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Mar-24	34-99779	Unikrn, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Mar-24	34-99781	Uni-Pixel, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Mar-24	34-99795	Deep Well Oil & Gas, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Mar-24	34-99816	First Community Bancorp Inc /GA/	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Mar-24	34-99820	Defense Technology Systems, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Mar-24	34-99821	Nano World Projects Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Mar-24	34-99832	McCarthy, Ellen, Esq.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Mar-24	34-99836	Action Industries, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Mar-24	34-99837	Secure Point Technologies, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Mar-24	34-99853	BlueStar Communications Group Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Mar-24	34-99854	Dragon Mining CorporationA/K/A Dragon Diamond Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Mar-24	34-99855	Faulding Inc.N/K/A Alphapharma Specialty Pharma	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Mar-24	34-99856	12 ReTech Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Mar-24	34-99858	Cannon, Eric Christopher	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Mar-24	34-99860	ePresence, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Mar-24	34-99861	Smartchase Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Mar-24	IA-6578	Exemption for Certain Investment Advisers Operating Through the Internet	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
29-Mar-24	34-99865	Saliba, Trevor Michael	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
29-Mar-24	34-99866	Afame, Onwuka	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
29-Mar-24	34-99867	Logan, Matthew R.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Apr-24	34-99882	Grzan, David P.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Apr-24	34-99890	Claimant 1	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 2	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Apr-24	34-99894	Brenner, Thomas	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Apr-24	34-99903	Heineman, Ronald M.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
03-Apr-24	IA-6581	Senvest Management, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Apr-24	33-11280	In the Matter of Enhancement and Standardization of Climate-Related Disclosures for Investors (Order Issuing Stay)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Apr-24	34-99915	Financial Industry Regulatory Authority, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
08-Apr-24	34-99918	Jones, Robbi J.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
		Kipling Jones & Co., Ltd.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
08-Apr-24	34-99919	Smith, Eric S.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
09-Apr-24	34-99925	Allen, Laurence G.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
09-Apr-24	34-99926	Manna, Anthony	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
09-Apr-24	34-99927	Sapraicone, Michael	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
09-Apr-24	34-99928	Young, Joseph	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
10-Apr-24	34-99930	Friedman, Gil	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
11-Apr-24	34-99940	Saliba, Trevor Michael	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
12-Apr-24	34-99948	Greene, Hayden F.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
12-Apr-24	34-99952	Taffinder, Julio Eduardo	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
12-Apr-24	34-99953	Serrano, Luis F.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
12-Apr-24	IA-6585	Gea Sphere, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizarraga	Approved
12-Apr-24	IA-6586	InSight Securities, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizarraga	Approved
12-Apr-24	IA-6587	Monex Asset Management, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizarraga	Approved
12-Apr-24	IA-6588	Credicorp Capital Advisors LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizarraga	Approved
12-Apr-24	IA-6589	Bradesco Global Advisors Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizarraga	Approved
15-Apr-24	34-99957	Lykos, Thomas J., Jr.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Apr-24	IA-6590	Wayzata Investment Partners LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
16-Apr-24	34-99964	Tranchina, Christopher Peter	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Apr-24	IA-6591	Lindell, Scott	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Apr-24	34-99973	Order Making Fiscal Year 2024 Annual Adjustments to Transaction Fee Rates	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Apr-24	34-99985	Borden, Mark	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Apr-24	34-100007	Korb, Mark CA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Apr-24	IA-6593	LM Global Investments LLCd/b/a Fratarcangeli Wealth Management	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Fratarcangeli, Jeffrey M.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
24-Apr-24	34-100018	Quiroz Gardea, Luis Ricardo	Gensler	Approved
			Peirce	Approved with exception	Approved except as to the associational and penny stock bars
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
24-Apr-24	34-100019	Quiroz Gardea, Efren Norberto	Gensler	Approved
			Peirce	Approved with exception	Approved except as to the associational and penny stock bars
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
29-Apr-24	IA-6597	Catalyst Capital Advisors LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-May-24	33-11283	Borgers, Benjamin F., CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		BF Borgers CPA PC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-May-24	34-100054	Moretz, John M.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
03-May-24	IA-6599	Harrison, Ron K.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-May-24	33-11284	Eastone Equities, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Yu, Kevin	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-May-24	34-100069	INTERDYNE COMPANY	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-May-24	34-100070	Tauriga Sciences, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-May-24	34-100071	Rampart Studios Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-May-24	IA-6600	Gainvest Legal Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Sections 203A, 207, and Rule 203A-1(a) charges
			Lizárraga	Approved
		Ali, Nashid I.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Sections 203A, 207, and Rule 203A-1(a) charges
			Lizárraga	Approved
08-May-24	34-100078	Life On Earth, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-May-24	34-100079	Lux Amber, Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-May-24	34-100082	Levoff, Gene Daniel, Esq.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-May-24	34-100084	Krupp Cash Plus Ltd Partnership	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-May-24	34-100087	Halstead Energy Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-May-24	34-100088	Liquidation World, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-May-24	34-100101	Tornello, Nicholas, CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-May-24	34-100103	Independence Resources PLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-May-24	34-100106	Smith, Brenda A.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-May-24	IA-6601	Lewitt,Micahel E.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-May-24	33-11286	Electropremium	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-May-24	34-100107	Acacia Diversified Holdings, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-May-24	34-100110	Kibush Capital Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-May-24	34-100111	EPIRUS BIOPHARMACEUTICALS, INC. (F/K/A/ ZALICUS, INC.)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-May-24	BSA-1	Customer Identification Programs for Registered Investment Advisers and Exempt Reporting Advisers	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-May-24	34-100154	Weatherford International PLC, (f/k/a Weatherford International LTD.)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Hudgins, James, CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Kitay, Darryl CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Ernst & Young LLP	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Fronckiewicz, Craig R. CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Adams, Sarah E. CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
14-May-24	IA-6603	Hudson Valley Wealth Management, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Conover, Christopher	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-May-24	34-100148	Wicker, Devin Lamarr	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-May-24	34-100149	Equus Capital Partners LP	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-May-24	34-100150	Radale Imports, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-May-24	34-100151	Gosun Communications Limited Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-May-24	34-100152	Felix, Wilfredo	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-May-24	33-11287	Regulatory Flexibility Agenda	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-May-24	34-100155	Regulation S-P: Privacy of Consumer Financial Information and Safeguarding Customer Information	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-May-24	34-100158	Energem Resources, Inc. (f/k/a DiamondWorks Ltd.)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-May-24	34-100159	ZNERGY, INC.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-May-24	34-100162	Latteno Food Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-May-24	34-100163	Xoma Ltd.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-May-24	34-100164	Imaginon, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-May-24	34-100165	Aggarwal, Varun, CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-May-24	34-100166	Sgarro, Anita	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-May-24	34-100170	Wilson, Tyler Burnett, Esq.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-May-24	34-100171	McManus, Sean	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-May-24	34-100172	Kershner Trading Americas, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement, prejudgment interest, and penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-May-24	34-100173	Flesche, Paul Eric	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-May-24	34-100174	Young, James Thomas	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-May-24	34-100181	Order Granting a Temporary Conditional Exemption Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 (“Exchange Act”) and Rule 608(e) of Regulation NMS Under the Exchange Act, Relating to the Reporting of Responses to Requests for Quotes and Other Solicitation Responses Provided in a Standard Electronic Format, as Required by Section 6.4(d) of the National Market System Plan Governing the Consolidated Audit Trail	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
20-May-24	34-100183	Lent, Raymond Lawrence (dba The Putney Financial Group, Registered Investment Advisors)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-May-24	34-100185	ORDER UNDER SECTION 36 OF THE SECURITIES EXCHANGE ACT OF 1934 GRANTING EXEMPTIONS FROM SPECIFIED PROVISIONS OF THE EXCHANGE ACT AND CERTAIN RULES THEREUNDER	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-May-24	34-100186	Key Investment Services, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-May-24	34-100189	The Transportation Group (Securities) Limited	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-May-24	34-100192	The Brian Madison Carnes Trust	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-May-24	34-100201	Perez de Madrid, Teresa	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-May-24	34-100206	Intercontinental Exchange Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
		Archipelago Trading Services, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		New York Stock Exchange LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		NYSE American LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		NYSE Arca, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		ICE Clear Credit LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		ICE Clear Europe Ltd.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		NYSE Chicago, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		NYSE National, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Securities Industry Automation Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-May-24	34-100221	Rockwell, David Aaron	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-May-24	34-100222	The Boeing Company	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
		Muilenburg, Dennis A.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
28-May-24	34-100227	Felix, Wilfredo	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
28-May-24	34-100231	Polanchek, Casimer Anthony	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
29-May-24	IA-6615	Mass Ave Global Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
29-May-24	IA-6616	Feng, Winston Mubai	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
30-May-24	34-100249	Edelman, Gabriel	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
30-May-24	34-100250	Gamsey, Matthew CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
31-May-24	34-100252	Claimant 1	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 3	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 4	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 5	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 7	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
31-May-24	34-100254	24X National Exchange LLC; Order Instituting 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	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Jun-24	33-11288	American Cryptofed Dao LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Jun-24	34-100258	Manning, Gregory P.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Jun-24	34-100270	Aegon USA Investment Management, LLC	Clayton	Approved
			Stein	Approved
			Jackson	Approved
			Peirce	Approved
		Transamerica Asset Management, Inc.	Clayton	Approved
			Stein	Approved
			Jackson	Approved
			Peirce	Approved
		Transamerica Capital, Inc.	Clayton	Approved
			Stein	Approved
			Jackson	Approved
			Peirce	Approved
		Transamerica Financial Advisors, Inc.	Clayton	Approved
			Stein	Approved
			Jackson	Approved
			Peirce	Approved
		Beman, Bradley	Clayton	Approved
			Stein	Approved
			Jackson	Approved
			Peirce	Approved
		Giles, Kevin	Clayton	Approved
			Stein	Approved
			Jackson	Approved
			Peirce	Approved
05-Jun-24	IA-6618	Mooney, Michael	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
05-Jun-24	IA-6619	Wright, Britt	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
05-Jun-24	IA-6620	Flippen, Penny	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
06-Jun-24	33-11289	HF Foods Group Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
06-Jun-24	34-100280	Lindgren, Anders J.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement, prejudgment interest, and officer and director bar
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
06-Jun-24	34-100285	McGonigle, Paul R.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
06-Jun-24	34-100294	Catalyst Capital Advisors LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Jun-24	34-100298	Urness, Daniel CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Jun-24	34-100299	Cantone Research Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cantone, Anthony	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cantone, Christine	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Jun-24	34-100301	Silver Leaf Partners, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Jun-24	34-100302	Lek Securities Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
11-Jun-24	IA-6622	Anson Advisors Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
		Anson Funds Management, LP	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
12-Jun-24	34-100318	Broderick, Kerry Lee	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penny stock bar
			Lizárraga	Approved
12-Jun-24	34-100322	Tucker, Clinton Maurice II	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Jun-24	PA-62	Privacy Act of 1974; System of Records	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
13-Jun-24	33-11290	Samaras, Jerry	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Zukowski, Janusz (John)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
14-Jun-24	IA-6628	Twenty Acre Capital LP	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Jun-24	34-100351	Wells, David Sheldon	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Jun-24	34-100353	Dreamfunded Marketplace, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Fernandez, Manuel	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Jun-24	34-100354	Titan Securities	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Brooks, Brad C.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Jun-24	34-100355	Zipper, Bruce	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Dakota Securities International, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Jun-24	34-100358	Claimant 1	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 2	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Jun-24	33-11291	Ni, Jian Ming CPA ("Jonathan")	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Jun-24	34-100362	Sturniolo, Joseph Sylvester	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Jun-24	34-100365	R.R. Donnelley & Sons Co.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section13(b)(2)(B) charge and penalty
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Section 13(b)(2)(B) charge and penalty
			Lizárraga	Approved
18-Jun-24	34-100368	Rosenberger, Karen CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Jun-24	34-100373	Patel, Ashmit Esq.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
18-Jun-24	34-100381	Church-Koegel, Brook	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
18-Jun-24	34-100382	Goldman, David H.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
18-Jun-24	34-100383	Walker, Nicole J.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
20-Jun-24	34-100389	CPI Aerostructures, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Rule 12b-20 charge and penalty
			Lizárraga	Approved
24-Jun-24	34-100403	Green Automotive Company	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Jun-24	33-11292	Meta Materials, Inc. (f/k/a Torchlight Energy Resources, Inc.)	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
25-Jun-24	34-100419	Schettino , Robert J.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Jun-24	34-100428	Malloy, Dwayne	Gensler	Approved
			Peirce	Approved
			Roisman	Approved
			Lee	Approved
			Crenshaw	Approved
26-Jun-24	34-100431	Vazquez, Daniel B. Sr.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Jun-24	IA-6634	Lufkin Advisors, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
26-Jun-24	IA-6635	Lufkin, Chauncey Forbush III	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
27-Jun-24	IA-6636	Glick, Jacob C.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
01-Jul-24	33-11293	Adoption of Updated EDGAR Filer Manual	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
01-Jul-24	33-11294	Registration for Index-Linked Annuities and Registered Market-Value Adjustment Annuities; Amendments to Form N-4 for Index-Linked Annuities, Registered Market-Value Adjustment Annuities, and Variable Annuities	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
01-Jul-24	34-100449	Johnston, Jennifer Anne	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Jul-24	34-100453	Amico, Guy S.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Goldstein, Scott H.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Jul-24	34-100463	Smith, Eric S.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Jul-24	34-100464	Jones, Robbi J.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		KIPLING JONES & CO., LTD.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Jul-24	34-100465	Allen, Laurence G.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Jul-24	34-100509	Availability of SEC Online Comment Form Option	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Jul-24	34-100529	Lykos, Thomas J. Jr.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Jul-24	34-100533	Tranchina, Christopher Peter	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Jul-24	34-100534	Dipaola, Jason Lynn	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Jul-24	34-100539	MIAX Sapphire, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Jul-24	IA-6637	Smith, Paul Horton Sr.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Jul-24	34-100540	Graham, Hughe Duwayne	Gensler	Approved
			Peirce	Approved with Exception	Approved except for the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Jul-24	34-100543	Claimant	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Jul-24	34-100545	BOX Holdings Group LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		BOX Options Market LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Bertrand, Luc	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Jul-24	34-100553	Cantone Research Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cantone, Anthony	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cantone, Christine	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Jul-24	34-100554	Cboe BZX Exchange, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cboe Exchange, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cboe C2 Exchange, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cboe EDGX Exchange, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Jul-24	34-100556	National Market System Plan to Address Extraordinary Market Volatility	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Jul-24	IA-6638	Rajaratnam, Rajarengan (a/k/a Rengan)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Jul-24	34-100569	Kielczewski, William Joseph	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Jul-24	34-100600	Raghunathan, Ravindranathan CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Golding, Craig A. CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Jul-24	34-100605	Claimant 10	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 4	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 5	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 9	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
29-Jul-24	34-100615	Wolterstorff, Geoffrey	Gensler	Approved
			Peirce	Approved w/ Comments	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
29-Jul-24	34-100616	LifeMark Securities Corp.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Jul-24	34-100618	Western International Securities, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Aug-24	33-11295	Financial Data Transparency Act Joint Data Standards	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Aug-24	34-100638	Security-Based Swap Data Repositories; KOR Reporting, Inc.; Notice of Filing of Application for Registration as a Security-Based Swap Data Repositor	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
06-Aug-24	34-100660	Shern, Hung Wai "Howard"	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
06-Aug-24	34-100662	Felix, Wilfredo	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
06-Aug-24	IA-6645	Rashid, Mohammed Ali	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Aug-24	34-100668	Unikrn, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Aug-24	33-11296	Ideanomics, Inc. (f/k/a Seven Stars Cloud Group, Inc.)	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Tovar, Federico	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Poor, Alfred	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Aug-24	33-11297	Wu, Zheng (Bruno)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Aug-24	IA-6646	The Pacific Financial Group, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Aug-24	34-100691	Cadaret, Grant & Co., Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Aug-24	34-100692	OTC Link, LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Aug-24	34-100725	Monmouth Capital Management LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
14-Aug-24	33-11298	Ameriprise Financial Services, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Apex Clearing Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		BNY Mellon Securities Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Pershing LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Cetera Advisor Networks LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Cetera Investment Services LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Cowen and Company, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Cowen Investment Management LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Edward D. Jones & Co., L.P.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		First Trust Portfolios L.P.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Great Point Capital, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Haitong International Securities (USA) Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Hilltop Securities Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		LPL Financial LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Osaic Services, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Osaic Wealth, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Piper Sandler & Co.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Raymond James & Associates, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		RBC Capital Markets, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		TD Securities (USA) LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		TD Private Client Wealth LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Epoch Investment Partners, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Truist Securities, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Truist Investment Services, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Truist Advisory Services, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100696	Great Point Capital, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100697	Hilltop Securities Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100698	Piper Sandler & Co.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100699	Cetera Advisor Networks LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Cetera Investment Services LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100700	First Trust Portfolios L.P.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100701	Osaic Services, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Osaic Wealth, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100702	Apex Clearing Corporation	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100703	Truist Securities, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Truist Investment Services, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Truist Advisory Services, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100704	Edward D. Jones & Co., L.P.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100705	Raymond James & Associates, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100706	RBC Capital Markets, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100707	Ameriprise Financial Services, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100708	Haitong International Securities (USA) Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100709	LPL Financial LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100710	Cowen and Company, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Cowen Investment Management LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100711	TD Securities (USA) LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		TD Private Client Wealth LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Epoch Investment Partners, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	34-100712	BNY Mellon Securities Corporation	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Pershing LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Aug-24	IA-6652	P. Schoenfeld Asset Management LP	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
15-Aug-24	34-100728	Rondini, Wilson J. III	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Aug-24	34-100745	Walker, Nicole J.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Aug-24	34-100755	Icahn Enterprises L.P.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Aug-24	34-100756	Icahn, Carl C.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Aug-24	34-100757	Johnston, Jennifer Anne	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Aug-24	34-100758	Young, James Thomas	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Aug-24	34-100759	Flesche, Paul Eric	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Aug-24	34-100762	Smith, Eric S.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Aug-24	34-100769	GHS Investments, LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Grober, Mark S.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Hajee, Sarfraz S.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Schissler, Matthew L.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
19-Aug-24	IA-6662	Obra Capital Management, LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
19-Aug-24	IA-6663	FPA Real Estate Advisers Group, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Aug-24	33-11299	Order Making Fiscal Year 2025 Annual Adjustments to Registration Fee Rates	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Aug-24	34-100772	Public Company Accounting Oversight Board; Order Granting Approval of Auditing Standard 1000, General Responsibilities of the Auditor in Conducting an Audit, and Amendments to PCAOB Standards	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
20-Aug-24	34-100773	Public Company Accounting Oversight Board; Order Granting Approval of Amendments Related to Aspects of Designing and Performing Audit Procedures that Involve Technology-Assisted Analysis of Information in Electronic Form	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Aug-24	34-100774	Public Company Accounting Oversight Board; Order Granting Approval of Amendments Related to Aspects of Designing and Performing Audit Procedures that Involve Technology-Assisted Analysis of Information in Electronic Form	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Aug-24	34-100777	Zipper, Bruce	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Dakota Securities International, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Aug-24	34-100778	Perkins, Wesley Kyle	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		World Tree Financial, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Aug-24	34-100780	Equiniti Trust Company, LLC f/k/a American Stock Transfer & Trust Company, LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Aug-24	34-100786	Geraci, Paul	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Aug-24	34-100788	Vandivier, Cindy a/k/a “Madison Brooke or Brookes”	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Aug-24	IC-35305	Qualifying Venture Capital Funds Inflation Adjustment	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-Aug-24	34-100809	Claimant 1	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Claimant 2	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
23-Aug-24	IA-6665	Cedar Legacy LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) and Rule 206(4)-7 charges
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Aug-24	34-100818	Claimant 1	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Claimant 2	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
26-Aug-24	34-100819	Murthy, Dileep	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Aug-24	IA-6666	Sound Point Capital Management, LP	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Section 206(4) and Rule 206(4)-7 charges
			Lizárraga	Approved
27-Aug-24	34-100820	Jentoft, Karl	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Tensquare, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
28-Aug-24	34-100845	National Energy Services Reunited Corp	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
28-Aug-24	34-100846	Chen, Maggie	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
28-Aug-24	34-100848	Santillo, Perry	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
28-Aug-24	IC-35308	Form N-PORT and Form N-CEN Reporting; Guidance on Open-End Fund Liquidity Risk Management Programs	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
30-Aug-24	34-100884	24X National Exchange LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Aug-24	34-100885	Nemeckay, Timothy A.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Aug-24	IA-6669	DeCaprio, Peter J.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the associational and officer and director bars
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Sep-24	33-11300	American Cryptofed Dao LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Sep-24	33-11301	Gordon, Chanon	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Sep-24	34-100902	A.M. Best Rating Services, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
03-Sep-24	34-100903	Fitch Ratings, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and undertakings
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty and undertakings
			Lizárraga	Approved
03-Sep-24	34-100904	HR Ratings de México, S.A. de C.V.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and undertakings
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
03-Sep-24	34-100905	Demotech, Inc.	Gensler	Approved
			Peirce	Apoproved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
03-Sep-24	34-100906	Moody’s Investors Service, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and undertakings
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty and undertakings
			Lizárraga	Approved
03-Sep-24	34-100907	S&P Global Ratings	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and undertakings
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty and undertakings
			Lizárraga	Approved
03-Sep-24	IA-6670	Galois Capital Management LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
03-Sep-24	IA-6671	Colony Capital Investment Advisors, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Sep-24	IA-6672	ClearPath Capital Partners, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Sections 206(2) and 206(4) charges
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Section 206(2) charge
			Lizárraga	Approved
03-Sep-24	IA-6673	International Assets Investment Management, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Sep-24	34-100908	Blue Point Strategic Wealth Management, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		NPA Asset Management, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Nationwide Planning Associates, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Sep-24	34-100917	Portland General Electric Company	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Sep-24	IA-6675	Kelly, Sean	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
05-Sep-24	34-100934	CIRCOR International, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
05-Sep-24	34-100955	Salt Blockchain Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
05-Sep-24	34-100956	BAIYU Holdings, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
05-Sep-24	IA-6676	Arcis Capital Investment Advisors LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
06-Sep-24	34-100957	Esmark Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Bouchard, James P.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	34-100968	Public Company Accounting Oversight Board; Order Granting Approval of QC 1000, A Firm’s System of Quality Control, and Related Amendments to PCAOB Standards, Rules, and Forms	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
09-Sep-24	34-100969	a.k.a. Brands Holding Corp.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
09-Sep-24	34-100970	Acadia Healthcare Company, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	34-100971	AppFolio, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	34-100972	IDEX Corporation	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
09-Sep-24	34-100973	LSB Industries	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	34-100974	Smart for Life, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
09-Sep-24	34-100975	TransUnion	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	34-100976	Hannes, Ronald Walter	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	34-100977	Phillips, James M.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement, pre-judgment interest, and officer and director bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	34-100978	Forlano, Matthew P.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement, pre-judgment interest, and officer and director bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	34-100979	Forlano, Stephen	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement, pre-judgment interest, and officer and director bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	34-100980	Lek Securities Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	34-100981	Silver Leaf Partners, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6678	Abacus Planning Group, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6679	AZ Apice Capital Management LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6680	Droms Strauss Advisors Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6681	Howard Bailey Securities, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6682	Integrated Advisors Network LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6683	Professional Financial Strategies, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6684	Beta Wealth Group, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6685	Richard Bernstein Advisors LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6686	TS Bankd/b/a Callahan Financial Planning	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6687	Spencer, Anthony	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6688	Collins,Farnham Fisher d/b/a Collins Capital Management	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to Section 206(4) and Rule 206(4)-7 charges
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Sep-24	IA-6694	Williams, Ruben Cedrick	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Sep-24	34-100983	Keurig Dr Pepper Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
10-Sep-24	34-100984	Deere & Company	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and pre-judgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Sep-24	IA-6690	Ward, Jeffrey	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
11-Sep-24	IA-6692	Abrahams, Randolph	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Sep-24	33-11302	FirstEnergy Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Sep-24	34-101001	eToro USA LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
12-Sep-24	34-101006	Guarino, Anthony	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Sep-24	34-101007	Seropian, Robert Vahan	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Sep-24	34-101008	Vecchio, Frank Michael	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Sep-24	33-11303	Zymergen Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Sep-24	33-11304	Adoption of Updated EDGAR Filer Manual	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Sep-24	33-11305	Flyfish Club, LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
16-Sep-24	34-101026	Dreamfunded Marketplace, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Fernandez, Manuel	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Sep-24	34-101027	Sturniolo, Joseph Sylvester	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Sep-24	34-101029	Titan Securities	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Brooks, Brad C.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Sep-24	34-101035	Trigg, Ralph M.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to to the penalty, the prohibition under Investment Company Act Section 9(b), and the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Sep-24	34-101036	Joint Industry Plan	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Sep-24	34-101037	State Farm VP Management Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Sep-24	IA-6695	Mercado, Frank Lynold	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Participating
			Uyeda	Approved
			Lizárraga	Approved
16-Sep-24	IA-6696	Vora Wealth Management, PLLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Vora, Dharmesh Virendra	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101038	Acacia Financial Group, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101039	Caine Mitter and Associates Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101040	cfX Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101041	PFM Financial Advisors LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101042	Phoenix Advisors, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101043	Kaufman Hall & Associates, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Ponder & Company	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101044	CSG Advisors, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101045	Montague DeRose & Associates, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101046	Public Resources Advisory Group, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101047	Specialized Public Finance, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101048	Zions Public Finance, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and the undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101056	Dixon Mitchell Investment Counsel Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101057	Financial Synergies Wealth Advisors, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101058	Focus Financial Network, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101059	Mason Investment Advisory Services, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101060	Nationale-Nederlanden Powszechne Towarzystwo Emerytalne S.A.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101061	NEPC, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101062	TD Private Client Wealth LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101063	Traphagen Investment Advisors, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	34-101069	Fieldman Rolapp & Associates, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Sarabian, Anna	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Sep-24	IA-6701	Nebari Partners, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Sep-24	33-11306	Rari Capital Infrastructure LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Sep-24	34-101070	Regulation NMS: Minimum Pricing Increments, Access Fees, and Transparency of Better Priced Orders	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Sep-24	34-101071	First Horizon Advisors, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Sep-24	34-101091	Options Price Reporting Authority	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Sep-24	IA-6709	Macquarie Investment Management Business Trust	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Sep-24	IA-6710	Inspire Investing, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Sep-24	33-11307	Gu, Jiong	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Sep-24	34-101119	McMurdo, Matthew C., Esq.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Sep-24	34-101123	Newpoint Financial Corp.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
20-Sep-24	34-101124	Beekmeyer, Keith	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Bye, Andrew	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Sep-24	34-101125	Joint Industry Plan; Notice of Designation of a Longer Period for Commission Action on a Proposed National Market System Plan Regarding Consolidated Equity Market Data	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Sep-24	IA-6711	Jordan/Zalaznick Advisers, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Sep-24	IA-6712	Closed Loop Partners, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) and Rule 206(4)-7 charges
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Sep-24	IA-6714	ACP Venture Capital Management Fund LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Sep-24	IA-6715	Collett, George R.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-Sep-24	34-101130	Brighton Securities Corp.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) and Rule 206(4)-7 charges
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-Sep-24	34-101133	Centerline Investment Management Limited	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-Sep-24	34-101136	Salomon Whitney LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-Sep-24	IA-6719	Atom Investors LP	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-Sep-24	IC-35331	SuRo Capital Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
24-Sep-24	33-11308	Alpaca Securities LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Canaccord Genuity LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		CIBC World Markets Corp.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		CIBC Private Wealth Advisors, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Intesa Sanpaolo IMI Securities Corp.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Invesco Distributors, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Invesco Advisers, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Regions Securities LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Stifel, Nicolaus & Company, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
24-Sep-24	33-11309	WM Technology, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
24-Sep-24	34-101137	Alpaca Securities LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
24-Sep-24	34-101138	CIBC World Markets Corp.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
		CIBC Private Wealth Advisors, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
24-Sep-24	34-101139	Intesa Sanpaolo IMI Securities Corp.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
24-Sep-24	34-101140	Regions Securities LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
24-Sep-24	34-101141	Invesco Distributors, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
		Invesco Advisers, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
24-Sep-24	34-101142	Canaccord Genuity LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
24-Sep-24	34-101143	Qatalyst Partners LP	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
24-Sep-24	34-101144	Stifel, Nicolaus & Company, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
24-Sep-24	34-101149	Hollifield, Eric S.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
24-Sep-24	IA-6717	Focused Wealth Management, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
24-Sep-24	IA-6720	Glazer Capital, LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the penalty
			Lizárraga	Approved
24-Sep-24	IA-6723	Strzelecki, Zigmund Christian	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
24-Sep-24	IA-6725	Fusion Investment Advisors, LLCd/b/a Coppell Advisory Solutions, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101158	Merrill Lynch, Pierce, Fenner & Smith Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) and Rule 206(4)-7 charges
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101159	Adage Capital Management, L.P.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101160	The Bank of Nova Scotia	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101161	Essex Woodlands Management, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101162	Kanen, David L.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101163	Oaktree Capital Management, L.P.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101164	Thomas, Peter M.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101165	Alphabet Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101166	Jonas, Howard S.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101167	Schuler, Jack W.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101168	Celsius Holdings, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101169	The Goldman Sachs Group, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101170	Hodgson, Curtis Drew	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101171	Shipley, Kenneth E.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101172	Legacy Housing Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101173	Bain Capital Credit Member, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101174	FIG LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101175	TALANTA Investment Group, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101176	Sunbeam Management, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101177	Gonzalez, Pedro C.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101178	Stilwell Value LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101179	Grays Peak Ventures LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Stevens, Scott B.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Winterhalter, Michael	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101180	Rales, Mitchell P.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101181	BSC, LP	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101183	Elevation, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101184	Investment Security Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101185	LODAS Securities, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101186	Ministry Partners Securities, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101187	Vistia Capital, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	34-101188	Gundy, Chimene Van	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Sep-24	IA-6726	Harvest Volatility Management, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) and Rule 206(4)-7 charges
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Sep-24	33-11311	Wang, Hoau-Yan	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Sep-24	34-101198	DraftKings Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Sep-24	34-101200	GQG Partners LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Sep-24	IA-6729	Black Dragon Capital, LLC f/k/a Black Dragon Holdings, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Black Dragon Capital Investment Management, LLCa/k/a Black Dragon Capital Investment Management, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Sep-24	IA-6731	Macellum Advisors, LP	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to Section 206(4) and Rule 206(4)-7 charges
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Sep-24	IA-6732	Federal Prep Advisors, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Kerper, Michael	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	33-11310	Hackert, Edward F. CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	33-11312	Katz, Evan H.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	33-11313	EDGAR Filer Access and Account Management	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	34-101199	Miller, James Douglas CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	34-101202	Kauh, Austin	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement, prejudgment interest, and the officer and director bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	34-101203	Viener, Ira S. CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	34-101204	Tang, Jason Jianxun CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	34-101205	Markowitz, Alan J. CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	34-101208	Chancey, Paul L. Jr., CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	34-101210	Hannelius, Eric	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	34-101213	Moloney Securities Co., Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Hancock, Donald	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		La Grange, David	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Barnes, Laura B.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	34-101215	Morgan Stanley & Co. LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Passi, Pawan Kumar	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Sep-24	IA-6734	First Allied Advisory Services, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Cetera Investment Advisers LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Sep-24	33-11314	TD Securities (USA) LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgment and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Sep-24	34-101216	G.A. Repple & Company	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge, and the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Sep-24	34-101217	Davis, Warren A.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Gibraltar Global Securities, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Sep-24	34-101220	Atlas Financial Holdings, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Sep-24	IA-6736	Gemini Capital Partners LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Gangahar, Kabir	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Sep-24	IA-6737	Marathon Asset Management, L.P.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) and Rule 206(4)-7 charges
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Section 206(4) and Rule 206(4)-7 charges
			Lizárraga	Approved
02-Oct-24	33-11315	CQC Impact Investors LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Oct-24	34-101234	Thrivent Investment Management, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Oct-24	IA-6739	LaGuardia, Donald S. Jr.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Oct-24	IA-6740	Madasz, Daniel Stephen	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Oct-24	34-101235	3D Pioneer Systems, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Oct-24	34-101236	Cang Bao Tian Xia International Art Trade Center, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Oct-24	34-101240	Ecco Auto World Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Oct-24	34-101252	HQDA Elderly Life Network Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Oct-24	34-101254	WedoTalk Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Oct-24	34-101255	Ionix Technology, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Oct-24	34-101258	Allen, Laurence G.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Oct-24	34-101259	Global Wholehealth Partners Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Oct-24	34-101261	Jones, Robbi J.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Kipling Jones & Co., Ltd.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Oct-24	34-101263	Green Hygienics Holdings, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Oct-24	34-101264	nDivision Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Oct-24	34-101272	Chanson International Holding	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Oct-24	IA-6743	LDP Partners LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Rao-Potlapally ,Himalaya	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
08-Oct-24	34-101273	Young, James Thomas	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Oct-24	34-101275	ESP Resources, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Oct-24	34-101276	Fearless Films, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Oct-24	34-101280	Claimant 2	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
		Claimant 3	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 4	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 36 waiver
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Claimant 5	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Oct-24	34-101286	Fovea Jewelry Holdings Ltd.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Oct-24	33-11316	Liptz, Itai Royi	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Boro, Clifford Todd	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Rimar Capital USA, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Rimar Capital, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Oct-24	34-101298	Nano Magic Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Oct-24	34-101301	Fries, Scott Allen	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
11-Oct-24	33-11317	Turner, Robert “Hal”	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
11-Oct-24	34-101307	Moog Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
11-Oct-24	34-101309	Discovery Energy Corp.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
11-Oct-24	34-101312	Gene Biotherapeutics, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Oct-24	33-11318	Dolfino, Gustavo	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the officer and director bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Oct-24	34-101323	Lykos, Thomas John Jr.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Oct-24	34-101324	Palos Management Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Mendel, Robert	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Oct-24	34-101342	Tranchina, Christopher Peter	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Oct-24	34-101346	DiPaola, Jason Lynn	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Oct-24	IA-6748	Horter Investment Management, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Horter, Drew K.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Oct-24	34-101352	A.G.P./Alliance Global Partners, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Oct-24	34-101361	PHX Financial, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Oct-24	33-11319	Regulatory Flexibility Agenda	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Oct-24	34-101379	Kakkera, Umapathi	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Oct-24	IA-6752	Beam, Marcus	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Oct-24	34-101388	Moss, Ronnie Lee Jr.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Oct-24	34-101390	Kielczewski, William Joseph	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Oct-24	34-101397	Green Impact Exchange, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Oct-24	IA-6753	WisdomTree Asset Management, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Oct-24	33-11320	Avaya Holdings Corp.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
22-Oct-24	33-11321	Check Point Software Technologies Ltd.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
22-Oct-24	33-11322	Mimecast Limited	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
22-Oct-24	33-11323	Unisys Corporation	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
22-Oct-24	IA-6754	Malave Hernandez, Francisco Javier	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-Oct-24	34-101414	Strege, Adam	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
24-Oct-24	34-101424	Hamlin Capital Advisors, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Braun, Michael Ferrell	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
24-Oct-24	IA-6756	DiMuro, Raymond J.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Oct-24	34-101446	Covered Clearing Agency Resilience and Recovery and Wind-Down Plans	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
29-Oct-24	34-101468	New York Stock Exchange LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Oct-24	34-101472	Zizi, Martin	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
31-Oct-24	33-11324	J.P. Morgan Securities LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
31-Oct-24	34-101484	Iyer, Ravi	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
31-Oct-24	34-101491	Cboe Exchange, Inc	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
31-Oct-24	34-101493	J.P. Morgan Securities LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
31-Oct-24	IA-6761	J.P. Morgan Investment Management Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
31-Oct-24	IC-35373	J.P. Morgan Investment Management Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
01-Nov-24	34-101504	Halpern & Associates, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
		Halpern, Barbara CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
01-Nov-24	34-101505	Abrahams, Joshua CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
01-Nov-24	IA-6763	Wahed Invest, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
04-Nov-24	34-101507	Gordon, Lisa	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Nov-24	34-101511	KOR Reporting, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
06-Nov-24	34-101521	Boucher, Mark J.	Clayton	Approved
			Peirce	Approved
			Roisman	Approved
			Lee	Approved
			Crenshaw	Approved
07-Nov-24	33-11325	Conforming Amendments to Commission Rules and Forms	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Nov-24	34-101558	Kane, Sean Michael	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Nov-24	IA-6766	Turean, Christopher	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
07-Nov-24	IA-6768	Varga, Dusan	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
08-Nov-24	IA-6770	Invesco Advisers, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Nov-24	IA-6771	Epic Capital Wealth Advisors, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
08-Nov-24	IA-6772	Anthony, David M.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Nov-24	33-11326	Elanco Animal Health Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Nov-24	34-101579	Prager Metis CPAs, LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Nov-24	34-101580	Prager Metis CPAs LLP	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Nov-24	34-101585	Piscitello, Aldo	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
14-Nov-24	33-11327	Wines, James Michael	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
14-Nov-24	34-101622	Goldschmidt, Alexander	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
14-Nov-24	34-101625	Options Price Reporting Authority	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Nov-24	34-101633	Lion Street Financial, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Nov-24	34-101637	Cohen, Lee	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
15-Nov-24	34-101639	Barrera, Emilio Jr. a/k/a Mike Barrera	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Nov-24	34-101642	Flesche, Paul Eric	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Nov-24	34-101649	BIT Mining Ltd.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
20-Nov-24	34-101657	Kane, Kevin John	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Nov-24	34-101672	Joint Industry Plan	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
21-Nov-24	34-101675	Fixed Income Clearing Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Nov-24	33-11328	United Parcel Service, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 13(b)(2) and Rule 13a-15 charges, certain undertakings, and the penalty
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Section 13(b)(2) and Rule 13a-15 charges, certain undertakings, and the penalty
			Lizárraga	Approved
22-Nov-24	34-101705	Lightspeed Financial Services Group LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
22-Nov-24	34-101706	Paulson Investment Company, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to certain undertakings
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
22-Nov-24	34-101707	Webull Financial LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Nov-24	33-11329	Fair Invest, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Parekh, Khalid	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) charge
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Nov-24	34-101729	Rule 15c3-3a, Note H(b)(3)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Nov-24	34-101731	Bellach, Michael CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
25-Nov-24	34-101733	Felix, Wilfredo	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Nov-24	34-101762	Level Field Charter Partners, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Endom, David	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
26-Nov-24	34-101763	FiveT Capital AG	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Nov-24	33-11330	List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Nov-24	34-101777	24X National Exchange LLC; Findings, Opinion, and Order of the Commission	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Nov-24	IC-35404	John Hancock Multi Asset Credit Fund, et al.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Dec-24	33-11331	American CryptoFed DAO LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
02-Dec-24	34-101794	Industrial and Commercial Bank of China Financial Services LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Dec-24	33-11332	Kiromic BioPharma, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Dec-24	34-101796	Tontat, Tony	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Dec-24	34-101799	Fenway Partners, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Lamm, Peter	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Smart, William Gregory	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Mayhew, Timothy Jr.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Wiacek, Walter CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
03-Dec-24	34-101804	Hurley, Michael CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Dec-24	34-101807	Herman, Justin Wallace	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Dec-24	34-101810	Ha, Lam D.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
04-Dec-24	34-101813	Rockwell, Richard Dow	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
06-Dec-24	34-101841	Raghunathan, Ravindranathan CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Dec-24	33-11333	Diamond, Richard K.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Dec-24	33-11334	Bishop, Stephen R.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Dec-24	33-11335	Toomey, Marc J.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Dec-24	33-11336	Underwood, David C.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Dec-24	34-101842	Morgan Stanley Smith Barney LLC	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
09-Dec-24	34-101845	Silver Leaf Partners, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Dec-24	34-101846	Lek Securities Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
09-Dec-24	IA-6783	Guzman, Gustavo A.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Dec-24	33-11337	Update to the Commission’s Organization and Program Management Regulations	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
10-Dec-24	34-101859	Hare, Brad	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
10-Dec-24	34-101861	Mammoth West Corporation dba Mammoth Corporation	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
10-Dec-24	34-101863	Bongiovanni, Sebastian G.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
11-Dec-24	34-101881	Vax, Michael	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Dec-24	33-11338	SeaCrest Wealth Management, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 17(a)(2), 206(2), and 206(4) charges
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Dec-24	34-101899	Order Granting Partial Stay	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
12-Dec-24	34-101901	Joint Industry Plan; Order Approving Amendments to the National Market System Plan Governing the Consolidated Audit Trail Designed to Implement Cost Savings Measures	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Dec-24	33-11340	Stevenson ,Zachary T.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Dec-24	34-101904	Hsu, Allen Y. Esq.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Dec-24	IA-6789	Greenhaven Road Investment Management, LP	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Dec-24	IA-6790	GSSG Solar, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Dec-24	IA-6791	Kudu Investment Holdings, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Dec-24	IA-6792	The Catalyst Capital Group Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Dec-24	IA-6793	Longpoint Partners LP	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Dec-24	IA-6794	NFC Investments, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
13-Dec-24	IA-6795	WPAM Advisers LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Dec-24	33-11341	Revisions to the Electronic Data Gathering, Analysis, and Retrieval system Filer Manual, Volume II, EDGAR Filing	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Dec-24	33-11342	Electronic Submission of Certain Materials Under the Securities Exchange Act of 1934; Amendments Regarding the FOCUS Report	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
16-Dec-24	33-11343	Flagstar Bancorp, Inc. now known as Flagstar Financial, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Rule 13a-15 charge and the penalty
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
16-Dec-24	33-11344	Becton, Dickinson and Company	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty and undertakings
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Rule 13a-15 charge, penalty, and undertakings
			Lizárraga	Approved
16-Dec-24	34-101916	Arnold, Christopher Robert	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Dec-24	34-101918	Titan Securities	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Brooks, Brad C.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Dec-24	34-101921	Sturniolo, Joseph Sylvester	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Dec-24	34-101924	Direct Transfer LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Dec-24	34-101926	Austin, David Harry-Nelson	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
16-Dec-24	34-101932	Amended and Restated Order Specifying the Manner and Format of Filing Unaudited Financial and Operational Information by Security-Based Swap Dealers and Major Security-Based Swap Participants that are not U.S. Persons and are Relying on Substituted Compliance Determinations with Respect to Rule 18a-7	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
17-Dec-24	34-101934	Express, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Dec-24	34-101936	SogoTrade, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
17-Dec-24	34-101937	Kyi, David Chong	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
18-Dec-24	33-11345	Public Company Accounting Oversight Board’s 2025 Final Budget and Accounting Support Fee	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
18-Dec-24	34-101951	Alpine Securities Corporation	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Dec-24	34-101972	Davidson & Company LLP	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Bahar, Erez CA, CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Block, Grant CA, CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Dec-24	34-101981	Knight, Christopher S.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Dec-24	34-101984	Tilford, Richard Gregory	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Dec-24	34-101986	Miller Kaplan Arase LLP	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Heffler, Radetich& Saitta, LLP	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Dec-24	34-101987	AAR CORP.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Not Present
19-Dec-24	34-101988	Sharma, Deepak	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Not Present
19-Dec-24	34-101991	Flesche, Paul Eric	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
19-Dec-24	34-102001	Snow Lake Capital (HK) Limited	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the disgorgement and prejudgment interest
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Not Present
19-Dec-24	34-102004	Claimant	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
19-Dec-24	IA-6798	Conn, William V. Jr.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Dec-24	33-11346	GRID 202, LLC d/b/a Re-Envision Wealth	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
20-Dec-24	33-11347	Pipe Technologies Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
20-Dec-24	33-11348	Underdog Sports Holdings, Inc.	Gensler	Approved
			Peirce	Not Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
20-Dec-24	33-11349	Tai Mo Shan Limited	Gensler	Approved
			Peirce	Not Present
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
20-Dec-24	34-102008	LPL Financial LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Not Present
20-Dec-24	34-102009	Wells Fargo Clearing Services, LLC	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Not Present
20-Dec-24	34-102011	Deutsche Bank Securities Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Not Present
20-Dec-24	34-102020	Stanley, Christopher L. CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Not Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Dec-24	34-102021	Matson, John N.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Dec-24	34-102022	Daily Computation of Customer and Broker-Dealer Reserve Requirements under the Broker-Dealer Customer Protection Rule	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Not Approved
			Lizárraga	Approved
20-Dec-24	34-102023	Claimant 1	Gensler	Approved
			Peirce	Not Present
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
		Claimant 2	Gensler	Approved
			Peirce	Not Present
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
		Claimant 3	Gensler	Approved
			Peirce	Not Present
			Crenshaw	Approved
			Uyeda	Not Present
			Lizárraga	Approved
20-Dec-24	IA-6802	Rose Park Advisors, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4), Rule 206(4)-7 and Rule 206(4)-8 charges
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Rule 206(4)-7 charge
			Lizárraga	Approved
		Christensen, Matthew Q.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Dec-24	IA-6803	Atlas Financial Advisors, Inc.	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the Section 206(4) and Rule 206(4)-7 charges
			Crenshaw	Approved
			Uyeda	Approved with Exception	Approved except as to the Rule 206(4)-7 charge
			Lizárraga	Approved
20-Dec-24	IA-6804	Driftwood Advisors, LLC	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penalty
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
20-Dec-24	IC-35427	Toronto-Dominion Bank	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		TD Bank US Holding Company	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		TD Bank, N.A.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
		Epoch Investment Partners, Inc.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
23-Dec-24	34-102031	Brown, Richard	Gensler	Approved
			Peirce	Approved with Exception	Approved except as to the penny stock bar
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
27-Dec-24	34-102047	Hiestand, Christopher CPA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Dec-24	34-102055	Colambda Technologies, Inc. (f/k/a New Century Resources Corporation)	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
30-Dec-24	IA-6806	Susoeff, Steven J.	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved
31-Dec-24	34-102060	Accell Audit & Compliance, PA	Gensler	Approved
			Peirce	Approved
			Crenshaw	Approved
			Uyeda	Approved
			Lizárraga	Approved