2016-04-08 March 2016 70 34-77255 http://www.sec.gov/litigation/admin/2016/34-77255.pdf 2016-07-07 Lazare Kaplan International, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77257 http://www.sec.gov/litigation/admin/2016/34-77257.pdf 2016-03-01 Metzler, Patricia Zajick Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Metzler, Daniel P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Zajick, Donald C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77258 http://www.sec.gov/litigation/admin/2016/34-77258.pdf 2016-03-01 Gincel, Lawrence M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77259 http://www.sec.gov/litigation/admin/2016/34-77259.pdf 2016-03-01 Salamone, Craig N. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77260 http://www.sec.gov/litigation/admin/2016/34-77260.pdf 2016-03-01 Map IV Acquisition, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Med-Zone Biotechnologies Acquisition, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Millennium Direct, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77261 http://www.sec.gov/litigation/admin/2016/34-77261.pdf 2016-03-01 Qualcomm Incorporated Mary Jo White Not Participating Kara M. Stein Approved Michael S. Piwowar Approved 34-77265 http://www.sec.gov/rules/exorders/2016/34-77265.pdf 2016-03-01 Order Granting Exemptions from Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77270 http://www.sec.gov/litigation/admin/2016/34-77270.pdf 2016-03-01 Rey, Janice D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77271 http://www.sec.gov/litigation/admin/2016/34-77271.pdf 2016-03-01 McLean, Devon C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77272 http://www.sec.gov/litigation/admin/2016/34-77272.pdf 2016-03-02 Natural Resources Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77273 http://www.sec.gov/litigation/admin/2016/34-77273.pdf 2016-03-02 Elsinore Capital II, Ltd. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved EPS Solutions Corp. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Free DA Connection Systems, Inc. (a/k/a Free DA Connection Services, Inc., a/k/a Earthshine Interational Ltd.) Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved ia-4348 http://www.sec.gov/litigation/admin/2016/ia-4348.pdf 2016-03-02 Marco Investment Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Marco, Steven S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77278 http://www.sec.gov/litigation/admin/2016/34-77278.pdf 2016-03-03 Reid, Joseph Denard (a/k/a Reid Joseph Denard) Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Shared 1, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Vanport Acquisition I, Corp. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Westview Acquisition Corp. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Wi-Net Communications Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Wisdom Holdings, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Yang Holding Company Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved Youngheart Production Holding Co, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10050 http://www.sec.gov/litigation/admin/2016/33-10050.pdf 2016-03-07 Parisi, Francis Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77300 http://www.sec.gov/litigation/admin/2016/34-77300.pdf 2016-03-07 First Southwest Company, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77313 http://www.sec.gov/litigation/admin/2016/34-77313.pdf 2016-03-08 eCareer Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10051 http://www.sec.gov/litigation/admin/2016/33-10051.pdf 2016-03-08 EquityStar Capital Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Zoernack, Steven Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77323 http://www.sec.gov/rules/sro/nms/2016/34-77323.pdf 2016-03-08 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add ISE Mercury, LLC as a Plan Sponsor Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77324 http://www.sec.gov/rules/sro/nms/2016/34-77324.pdf 2016-03-08 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add ISE Mercury LLC, as a Participant Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77325 http://www.sec.gov/litigation/admin/2016/34-77325.pdf 2016-03-08 Davis, Steven H. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77326 http://www.sec.gov/litigation/admin/2016/34-77326.pdf 2016-03-08 Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10053 http://www.sec.gov/litigation/admin/2016/33-10053.pdf 2016-03-09 Westlands Water District Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Birmingham, Thomas W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ciapponi, Louie David Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77342 http://www.sec.gov/litigation/admin/2016/34-77342.pdf 2016-03-10 Allred, Joseph R. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77343 http://www.sec.gov/litigation/admin/2016/34-77343.pdf 2016-03-10 Gray, Wayne CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77344 http://www.sec.gov/litigation/admin/2016/34-77344.pdf 2016-03-10 Krueger, David S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77345 http://www.sec.gov/litigation/admin/2016/34-77345.pdf 2016-03-10 Magnum Hunter Resources Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-77346 http://www.sec.gov/litigation/admin/2016/34-77346.pdf 2016-03-10 Ormand, Ronald D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SIPA-175 http://www.sec.gov/rules/other/2016/sipa-175.pdf 2016-03-14 Securities Investor Protection Corporation; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77362 http://www.sec.gov/litigation/admin/2016/34-77362.pdf 2016-03-14 Royal Alliance Associates, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SagePoint Financial Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved FSC Securities Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77369 http://www.sec.gov/litigation/admin/2016/34-77369.pdf 2016-03-15 Central States Capital Markets, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Detter, Mark R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Malone, David K. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Stepp, John D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10055 http://www.sec.gov/litigation/admin/2016/33-10055.pdf 2016-03-15 ModusLink Global Solutions, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Lawler, Joseph C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the Section 304 of the Sarbanes-Oxley Act of 2002 clawbacks. Crane, Steven G. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the Section 304 of the Sarbanes-Oxley Act of 2002 clawbacks. Venable, Catherine L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77373 http://www.sec.gov/litigation/admin/2016/34-77373.pdf 2016-03-15 Clare, Barry B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77382 http://www.sec.gov/rules/other/2016/34-77382.pdf 2016-03-16 Gardiner, Koch, Weisberg & Wrona Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Koch, James Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Raynolds, Katherine Lynn Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77383 http://www.sec.gov/litigation/admin/2016/34-77383.pdf 2016-03-16 Wolff, Eric J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77393 http://www.sec.gov/litigation/admin/2016/34-77393.pdf 2016-03-17 Dowd, Kevin L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77397 http://www.sec.gov/litigation/admin/2016/34-77397.pdf 2016-03-17 CONCERTSBYU.COM, INC. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Freedom Bancshares, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved MetaMorphix Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77375 http://www.sec.gov/litigation/opinions/2016/34-77375.pdf 2016-03-15 McCune, Michael Earl Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77396 http://www.sec.gov/litigation/opinions/2016/34-77396.pdf 2016-03-17 Dratel, William M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved The Dratel Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77398 http://www.sec.gov/litigation/opinions/2016/34-77398.pdf 2016-03-17 DiPietro, Michael Albert Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77399 http://www.sec.gov/litigation/opinions/2016/34-77399.pdf 2016-03-17 Gundaker/Jordan American Holdings (a/k/a Jordan American Holdings, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77411 http://www.sec.gov/litigation/opinions/2016/34-77411.pdf 2016-03-21 Wulf, David R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77414 http://www.sec.gov/litigation/opinions/2016/34-77414.pdf 2016-03-21 Crucible Capital Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77431 http://www.sec.gov/litigation/admin/2016/34-77431.pdf 2016-03-23 Novartis AG Mary Jo White Not Participating Kara M. Stein Approved Michael S. Piwowar Approved 33-10059 http://www.sec.gov/litigation/admin/2016/33-10059.pdf 2016-03-24 Canaccord Genuity Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77439 http://www.sec.gov/litigation/admin/2016/34-77439.pdf 2016-03-24 Akel, Philip Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10060 http://www.sec.gov/litigation/opinions/2016/33-10060.pdf 2016-03-24 Young, Bernerd E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77447 http://www.sec.gov/litigation/admin/2016/34-77447.pdf 2016-03-25 Berman & Company, P.A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Berman, Elliot R. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77452 http://www.sec.gov/litigation/opinions/2016/34-77452.pdf 2016-03-25 John Vincent Ballard Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77453 http://www.sec.gov/litigation/admin/2016/34-77453.pdf 2016-03-25 Han, Yue Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77462 http://www.sec.gov/litigation/admin/2016/34-77462.pdf 2016-03-28 Maxwell, William Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77277 http://www.sec.gov/rules/sro/nms/2016/34-77277.pdf 2016-03-03 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment to the Plan to Implement a Tick Size Pilot Program to Add National Stock Exchange, Inc. as a Participant Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77387 http://www.sec.gov/litigation/suspensions/2016/34-77387.pdf 2016-03-17 Broke Out, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10056 http://www.sec.gov/rules/other/2016/33-10056.pdf 2016-03-18 Regulatory Flexibility Agenda; Notice of semiannual regulatory agenda Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77400 http://www.sec.gov/rules/exorders/2016/34-77400.pdf 2016-03-18 Order Granting a Temporary Exemption Pursuant to Section 36 of the Securities Exchange Act of 1934 from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77406 http://www.sec.gov/rules/other/2016/34-77406.pdf 2016-03-18 Investors’ Exchange LLC; Notice of Filing of Amendment Nos. 2, 3, and 4 to, and Order Instituting Proceedings to Determine Whether to Grant or Deny, and Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Grant or Deny, an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77407 http://www.sec.gov/rules/interp/2016/34-77407.pdf 2016-03-18 Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77459 http://www.sec.gov/litigation/admin/2016/34-77459.pdf 2016-03-28 Yoo, Linda Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77466 http://www.sec.gov/litigation/admin/2016/34-77466.pdf 2016-03-29 Gibson, Christopher M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77467 http://www.sec.gov/litigation/admin/2016/34-77467.pdf 2016-03-29 Rings To Dine For, Inc. Mary Jo White Approved Luis A. Aguilar Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77470 http://www.sec.gov/litigation/opinions/2016/34-77470.pdf 2016-03-29 Grivas, Stephen Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77473 http://www.sec.gov/litigation/admin/2016/34-77473.pdf 2016-03-30 Burrill Capital Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Burrill, G. Steven CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hebert, Victor A. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Sen, Helena C. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SIPA-176 http://www.sec.gov/rules/other/2016/sipa-176.pdf 2016-03-30 Securities Investor Protection Corporation; Order Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77482 http://www.sec.gov/litigation/admin/2016/34-77482.pdf 2016-03-31 Lenco Mobile, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77486 http://www.sec.gov/litigation/admin/2016/34-77486.pdf 2016-03-31 Neilsen, James E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77288 http://www.sec.gov/litigation/admin/2016/34-77288.pdf 2016-03-03 Gourevitch, Mikhail Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77290 http://www.sec.gov/litigation/admin/2016/34-77290.pdf 2016-03-03 Nordion (Canada) Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-77347 http://www.sec.gov/litigation/admin/2016/34-77347.pdf 2016-03-10 Stephens, Steele V. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10054 http://www.sec.gov/rules/other/2016/33-10054.pdf 2016-03-14 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee For Calendar Year 2016 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 33-10061 http://www.sec.gov/litigation/admin/2016/33-10061.pdf 2016-03-31 Navistar International Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-77496 http://www.sec.gov/litigation/admin/2016/34-77496.pdf 2016-03-31 Clubhouse Videos, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved GLX.com, Inc. (f/k/a American Environmental, Inc., a/k/a GLX, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Mortgage Shakers, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Newbridge Mortgage Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Newcourt Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved