2016-11-18 September 2016 113 34-78754 http://www.sec.gov/litigation/admin/2016/34-78754.pdf 2016-09-01 Tahmazian, Jilbert Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78775 http://www.sec.gov/litigation/admin/2016/34-78775.pdf 2016-09-07 Kazinec, Aaron Nash Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78776 http://www.sec.gov/litigation/admin/2016/34-78776.pdf 2016-09-07 Diaz, Eduardo Guillermo Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78783 http://www.sec.gov/litigation/admin/2016/34-78783.pdf 2016-09-08 Morariu, Marius Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4525 http://www.sec.gov/litigation/admin/2016/ia-4525.pdf 2016-09-08 Raymond James & Associates, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4526 http://www.sec.gov/litigation/admin/2016/ia-4526.pdf 2016-09-08 Robert W. Baird & Co. Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IC-32254 http://www.sec.gov/rules/ic/2016/ic-32254.pdf 2016-09-08 Advisors Series Trust and Orinda Asset Management, LLC; Notice of Intention to Rescind an Order Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10204 http://www.sec.gov/litigation/admin/2016/33-10204.pdf 2016-09-09 BOKF, NA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78824 http://www.sec.gov/litigation/admin/2016/34-78824.pdf 2016-09-13 Portugal Telecom, SGPS, S.A., now known as PHAROL SGPS, S.A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-78825 http://www.sec.gov/litigation/admin/2016/34-78825.pdf 2016-09-13 Zhang, Jun Ping Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78832 https://www.sec.gov/litigation/admin/2016/34-78832.pdf 2016-09-13 Weed, Richard Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78834 http://www.sec.gov/rules/sro/occ-an/2016/34-78834.pdf 2016-09-14 The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning The Options Clearing Corporation’s Escrow Deposit Program Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4529 http://www.sec.gov/litigation/admin/2016/ia-4529.pdf 2016-09-14 First Reserve Management, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10209 http://www.sec.gov/rules/other/2016/33-10209.pdf 2016-09-15 List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78852 http://www.sec.gov/litigation/admin/2016/34-78852.pdf 2016-09-15 Kreais, Francis W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78853 http://www.sec.gov/litigation/admin/2016/34-78853.pdf 2016-09-15 Jenkins, Gordon W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78854 http://www.sec.gov/litigation/admin/2016/34-78854.pdf 2016-09-15 Sweeten, Theodore P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10210 http://www.sec.gov/litigation/admin/2016/33-10210.pdf 2016-09-16 Fusion Pharm, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10211 http://www.sec.gov/litigation/admin/2016/33-10211.pdf 2016-09-16 Dittman, Scott M. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10212 http://www.sec.gov/litigation/admin/2016/33-10212.pdf 2016-09-16 Sears, William J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10213 http://www.sec.gov/litigation/admin/2016/33-10213.pdf 2016-09-16 Microcap Management LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bayside Realty Holdings LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Meadpoint Venture Partners, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10214 http://www.sec.gov/litigation/admin/2016/33-10214.pdf 2016-09-16 Bodden, Cliffe R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10215 http://www.sec.gov/litigation/admin/2016/33-10215.pdf 2016-09-16 Ditommaso, Tod A. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10216 http://www.sec.gov/litigation/admin/2016/33-10216.pdf 2016-09-16 Med-X, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78856 http://www.sec.gov/litigation/suspensions/2016/34-78856.pdf 2016-09-16 All Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved As Seen On TV, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78857 http://www.sec.gov/litigation/admin/2016/34-78857.pdf 2016-09-16 All Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved As Seen On TV, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78858 https://www.sec.gov/litigation/admin/2016/34-78858.pdf 2016-09-16 Affordable Green Homes International Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Jilco Industries, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved TMP Land Mortgage Fund, Ltd., a California Limited Partnership Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78872 http://www.sec.gov/litigation/admin/2016/34-78872.pdf 2016-09-19 Ernst & Young LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bednar, Gregory S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78873 http://www.sec.gov/litigation/admin/2016/34-78873.pdf 2016-09-19 Ernst & Young LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Brehl, Robert J. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hartford, Pamela J. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kamienski, Michael T. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78875 http://www.sec.gov/litigation/admin/2016/34-78875.pdf 2016-09-19 Zimmerman, David A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78876 http://www.sec.gov/litigation/admin/2016/34-78876.pdf 2016-09-19 Phu, Kenny Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78877 http://www.sec.gov/litigation/admin/2016/34-78877.pdf 2016-09-19 Prolman, David Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78884 http://www.sec.gov/litigation/admin/2016/34-78884.pdf 2016-09-20 Nu Skin Enterprises, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78891 http://www.sec.gov/litigation/admin/2016/34-78891.pdf 2016-09-20 Bluforest, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78893 https://www.sec.gov/rules/sro/occ-an/2016/34-78893.pdf 2016-09-21 The Options Clearing Corporation; Notice of Filing of Advance Notice of and No Objection to The Options Clearing Corporation’s Proposal to Enter Into a New Credit Facility Agreement Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78895 http://www.sec.gov/litigation/admin/2016/34-78895.pdf 2016-09-21 Hahn, Karl E. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78896 http://www.sec.gov/litigation/admin/2016/34-78896.pdf 2016-09-21 Park National Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-78897 http://www.sec.gov/litigation/admin/2016/34-78897.pdf 2016-09-21 Waegelein, Robert CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78903 http://www.sec.gov/litigation/admin/2016/34-78903.pdf 2016-09-22 AIC International Resources Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Stellar Metals, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78904 http://www.sec.gov/litigation/admin/2016/34-78904.pdf 2016-09-22 Amarillo Mesquite Grill, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Global Opportunity Fund LP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Healthrenu Medical, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hynes & Howes Insurance Counselors, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78905 http://www.sec.gov/litigation/admin/2016/34-78905.pdf 2016-09-22 Capital Preferred Yield Fund-III, LP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Clearly Canadian Beverage Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Diversinet Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78906 http://www.sec.gov/litigation/admin/2016/34-78906.pdf 2016-09-22 Wilmington Savings Fund Society, FSB Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78921 http://www.sec.gov/litigation/admin/2016/34-78921.pdf 2016-09-23 Paterson, David A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78922 http://www.sec.gov/litigation/admin/2016/34-78922.pdf 2016-09-23 Koppelman, Charles A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78923 http://www.sec.gov/litigation/admin/2016/34-78923.pdf 2016-09-23 Medient Studios, Inc., a/k/a Moon River Studios, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78924 http://www.sec.gov/litigation/admin/2016/34-78924.pdf 2016-09-23 Mellon, Matthew T. II Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4534 http://www.sec.gov/litigation/admin/2016/ia-4534.pdf 2016-09-23 Aviva Investors Americas, LLC, as successor entity to Aviva Investors North America, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78961 http://www.sec.gov/rules/final/2016/34-78961.pdf 2016-09-28 Standards for Covered Clearing Agencies; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78962 http://www.sec.gov/rules/proposed/2016/34-78962.pdf 2016-09-28 Amendment to Securities Transaction Settlement Cycle; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78963 http://www.sec.gov/rules/proposed/2016/34-78963.pdf 2016-09-28 Definition of "Covered Clearing Agency"; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78928 http://www.sec.gov/litigation/suspensions/2016/34-78928.pdf 2016-09-26 A.A. Importing Co., Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved ACM Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Alleghany Pharmacal Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Amiworld, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved BTHC XIV, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Buccaneer Energy Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved CECO Filters, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Child World, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Comp Services Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Connohio, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Dadongnan Holding., Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Day & Meyer, Murray & Young Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved DEI Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Diversified Thermal Solutions, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Global Industries Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Havaya Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Helpeo, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hua Ye Gas Group Holding Co. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved International Capital & Technology Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kinemotive Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Old Fashion Foods, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Peptide Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved PTI Holding, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Rancho Santa Monica Developments, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Restaurant Acquisition Partners, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Richland Resources Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SMSA Humble Acquisition Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved SMSA Treemont Acquisition Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Stevens International, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Sur Ventures, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved USA InvestCo Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Whole Gold International Group Holding Company Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Winter Sports, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Wintex Mill, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Wyndmoor Industries, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Ya Zhu Silk, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78929 http://www.sec.gov/litigation/admin/2016/34-78929.pdf 2016-09-26 Merrill Lynch, Pierce, Fenner & Smith Incorporated Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78932 http://www.sec.gov/litigation/admin/2016/34-78932.pdf 2016-09-26 Bonacci, Nicholas M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78933 http://www.sec.gov/litigation/admin/2016/34-78933.pdf 2016-09-26 Accel Brands, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78934 http://www.sec.gov/litigation/admin/2016/34-78934.pdf 2016-09-26 Connexus Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78937 http://www.sec.gov/litigation/admin/2016/34-78937.pdf 2016-09-26 Barucci, Frank S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78938 http://www.sec.gov/litigation/admin/2016/34-78938.pdf 2016-09-26 Barucci, Frank P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78939 http://www.sec.gov/litigation/admin/2016/34-78939.pdf 2016-09-26 Rajan, Vijay S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78940 http://www.sec.gov/litigation/admin/2016/34-78940.pdf 2016-09-26 Hashim, Syed A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10221 http://www.sec.gov/litigation/admin/2016/33-10221.pdf 2016-09-27 Weatherford International plc, f/k/a Weatherford International Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hudgins, James CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Kitay, Darryl CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10222 http://www.sec.gov/litigation/admin/2016/33-10222.pdf 2016-09-27 Orrstown Financial Services, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Quinn, Thomas R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Everly, Bradley S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Embly, Jeffrey W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Barton, Douglas P. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10223 http://www.sec.gov/litigation/admin/2016/33-10223.pdf 2016-09-27 Silverman, Jeffrey A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Silverman, Anthony Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78941 https://www.sec.gov/rules/other/2016/34-78941.pdf 2016-09-27 LCH SA; Notice of Filing of Application for Registration as a Clearing Agency and Request for Exemptive Relief Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78942 http://www.sec.gov/litigation/suspensions/2016/34-78942.pdf 2016-09-27 Accel Brands, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78955 http://www.sec.gov/litigation/admin/2016/34-78955.pdf 2016-09-27 Bluefire Renewables, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78957 http://www.sec.gov/litigation/admin/2016/34-78957.pdf 2016-09-28 Anheuser-Busch InBev SA/NV Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78958 http://www.sec.gov/litigation/admin/2016/34-78958.pdf 2016-09-28 UBS Financial Services, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78970 http://www.sec.gov/litigation/admin/2016/34-78970.pdf 2016-09-28 Cantab Pharmaceuticals PLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved International Panorama Resource Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Zealous, Inc. (n/k/a CoreStream Energy, Inc.) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78971 http://www.sec.gov/litigation/admin/2016/34-78971.pdf 2016-09-28 Telestone Technologies Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved US Fuel Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Victory Eagle Resources Corp. Mary Jo White Kara M. Stein Michael S. Piwowar IA-4537 http://www.sec.gov/litigation/admin/2016/ia-4537.pdf 2016-09-28 Gleisner, Jan Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Pagan, Keith D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78972 http://www.sec.gov/litigation/suspensions/2016/34-78972.pdf 2016-09-29 Sierra Resource Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78973 http://www.sec.gov/litigation/admin/2016/34-78973.pdf 2016-09-29 Sierra Resource Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78975 http://www.sec.gov/rules/exorders/2016/34-78975.pdf 2016-09-29 Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 under the Securities Exchange Act of 1934 Mary Jo White Approved Kara M. Stein Not Approved Michael S. Piwowar Approved 34-78976 http://www.sec.gov/litigation/admin/2016/34-78976.pdf 2016-09-29 Whitehead, Kenneth S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78989 http://www.sec.gov/litigation/admin/2016/34-78989.pdf 2016-09-29 Och-Ziff Capital Management, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved OZ Management LP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Och, Daniel S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Frank, Joel M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78991 http://www.sec.gov/litigation/admin/2016/34-78991.pdf 2016-09-29 International Game Technology Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78994 http://www.sec.gov/litigation/admin/2016/34-78994.pdf 2016-09-29 Cleary, James E. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78995 http://www.sec.gov/litigation/admin/2016/34-78995.pdf 2016-09-29 Ganton, Jason M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78996 http://www.sec.gov/litigation/admin/2016/34-78996.pdf 2016-09-29 Newman, Mason D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78997 http://www.sec.gov/litigation/admin/2016/34-78997.pdf 2016-09-29 Altair Nanotechnologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-78998 http://www.sec.gov/litigation/admin/2016/34-78998.pdf 2016-09-29 Altair Nanotechnologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. 34-78999 http://www.sec.gov/litigation/admin/2016/34-78999.pdf 2016-09-29 Cope, Jason Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4538 http://www.sec.gov/litigation/admin/2016/ia-4538.pdf 2016-09-29 Whelehan, Colin Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4539 http://www.sec.gov/litigation/admin/2016/ia-4539.pdf 2016-09-29 Tsai, Sheren Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10226 http://www.sec.gov/litigation/admin/2016/33-10226.pdf 2016-09-30 Rainbow International, Corp. (a/k/a Raintree Brands Incorporated) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Corn, Donald R. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79000 http://www.sec.gov/litigation/suspensions/2016/34-79000.pdf 2016-09-30 Infinex Ventures, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79001 http://www.sec.gov/litigation/suspensions/2016/34-79001.pdf 2016-09-30 Rainbow International, Corp. (a/k/a Raintree Brands Incorporated) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79003 http://www.sec.gov/litigation/admin/2016/34-79003.pdf 2016-09-30 Moloney Securities Co., Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Medley, Joseph R. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79004 http://www.sec.gov/litigation/admin/2016/34-79004.pdf 2016-09-30 D'Arelli Pruzansky, P.A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved D’Arelli, Joseph CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Pruzansky, Mitchell J. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79005 http://www.sec.gov/litigation/admin/2016/34-79005.pdf 2016-09-30 GlaxoSmithKline plc Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79011 http://www.sec.gov/litigation/admin/2016/34-79011.pdf 2016-09-30 Elray Resources, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79015 http://www.sec.gov/litigation/admin/2016/34-79015.pdf 2016-09-30 Greenfield, Jonathan Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79020 http://www.sec.gov/litigation/admin/2016/34-79020.pdf 2016-09-30 Duban, Dennis CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79021 http://www.sec.gov/litigation/admin/2016/34-79021.pdf 2016-09-30 Brazile, Steven M. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10203 https://www.sec.gov/rules/other/2016/33-10203.pdf 2016-09-02 Regulatory Flexibility Agenda; Notice of semiannual regulatory agenda Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10205 https://www.sec.gov/litigation/opinions/2016/33-10205.pdf 2016-09-09 Cohen, Moshe Marc Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10206 https://www.sec.gov/litigation/opinions/2016/33-10206.pdf 2016-09-13 Feldman, Jonathan I. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved optionsXpress, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10207 https://www.sec.gov/litigation/opinions/2016/33-10207.pdf 2016-09-13 Malouf, Dennis J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4531 https://www.sec.gov/rules/other/2016/ia4531.pdf 2016-09-20 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order with Respect to MSRB Rule G-37 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4532 https://www.sec.gov/rules/other/2016/ia4532.pdf 2016-09-20 Political Contributions by Certain Investment Advisers: Ban on Third-Party Solicitation; Order with respect to FINRA Rule 2030 Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10217 https://www.sec.gov/rules/final/2016/33-10217.pdf 2016-09-20 Adoption of Updated EDGAR Filer Manual; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10218 https://www.sec.gov/litigation/admin/2016/33-10218.pdf 2016-09-21 Rose, Sheldon Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved MKJJ Consulting LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10219 https://www.sec.gov/litigation/opinions/2016/33-10219.pdf 2016-09-21 Schalk, Russell C. Jr. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78899 https://www.sec.gov/litigation/opinions/2016/34-78899.pdf 2016-09-21 Hsu, Li-Lin Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10227 https://www.sec.gov/litigation/opinions/2016/33-10227.pdf 2016-09-30 Grossman, Larry C. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79007 https://www.sec.gov/litigation/opinions/2016/34-79007.pdf 2016-09-30 Akindemowo, Kenny Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79008 https://www.sec.gov/litigation/opinions/2016/34-79008.pdf 2016-09-30 Wanger, Eric David Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79010 https://www.sec.gov/litigation/opinions/2016/34-79010.pdf 2016-09-30 AutoChina International Limited Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79016 https://www.sec.gov/litigation/opinions/2016/34-79016.pdf 2016-09-30 Murphy, Kevin M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79018 https://www.sec.gov/litigation/opinions/2016/34-79018.pdf 2016-09-30 Fillet, Mitchell H. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79019 https://www.sec.gov/litigation/admin/2016/34-79019.pdf 2016-09-30 Ritter, Alan CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-78757 https://www.sec.gov/litigation/suspensions/2016/34-78757.pdf https://www.sec.gov/litigation/suspensions/2016/34-78757-o.pdf 2016-09-02 Preston Royalty Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10224 https://www.sec.gov/rules/other/2016/33-10224.pdf 2016-09-28 SG Americas Securities, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved