2016-11-18 October 2016 57 33-10228 http://www.sec.gov/litigation/admin/2016/33-10228.pdf 2016-10-04 Laurence I. Balter (d/b/a Oracle Investment Research) Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10229 http://www.sec.gov/litigation/admin/2016/33-10229.pdf 2016-10-05 Credit Suisse AG Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10230 http://www.sec.gov/litigation/admin/2016/33-10230.pdf 2016-10-05 Bögli, Rolf Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79042 http://www.sec.gov/litigation/suspensions/2016/34-79042.pdf 2016-10-05 Boreal Water Collection, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79043 http://www.sec.gov/litigation/admin/2016/34-79043.pdf 2016-10-05 Boreal Water Collection, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4546 http://www.sec.gov/litigation/admin/2016/ia-4546.pdf 2016-10-05 Dupree Financial Group, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79065 http://www.sec.gov/litigation/admin/2016/34-79065.pdf 2016-10-06 Risinger, Jeffrey B. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79066 http://www.sec.gov/litigation/admin/2016/34-79066.pdf 2016-10-06 Risinger, Jeffrey B. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10231 http://www.sec.gov/rules/final/2016/33-10231.pdf 2016-10-13 Investment Company Reporting Modernization; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 33-10233 http://www.sec.gov/rules/final/2016/33-10233.pdf 2016-10-13 Investment Company Liquidity Risk Management Programs; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10234 http://www.sec.gov/rules/final/2016/33-10234.pdf 2016-10-13 Investment Company Swing Pricing; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved 34-79083 https://www.sec.gov/litigation/admin/2016/34-79083.pdf 2016-10-12 Deutsche Bank Securities, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4549 https://www.sec.gov/litigation/admin/2016/ia-4549.pdf 2016-10-12 Savva, Nicholas S Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10232 https://www.sec.gov/litigation/admin/2016/33-10232.pdf 2016-10-13 Forcerank LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79096 https://www.sec.gov/rules/sro/occ-an/2016/34-79096.pdf 2016-10-13 The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation’s Escrow Deposit Program Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4550 https://www.sec.gov/litigation/admin/2016/ia-4550.pdf 2016-10-13 Artis Capital Management, L.P. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Harden, Michael W. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79102 https://www.sec.gov/litigation/admin/2016/34-79102.pdf 2016-10-14 Rogers, Keith Michael Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10238 https://www.sec.gov/rules/final/2016/33-10238.pdf 2016-10-26 Exemptions to Facilitate Intrastate and Regional Securities Offerings; Final rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79164 https://www.sec.gov/rules/proposed/2016/34-79164.pdf 2016-10-26 Universal Proxy; Proposed rule Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Not Approved IA-4552 https://www.sec.gov/litigation/admin/2016/ia-4552.pdf 2016-10-17 Haab, Matthew D. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10236 https://www.sec.gov/litigation/admin/2016/33-10236.pdf 2016-10-18 Lebel, Paul T. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79109 https://www.sec.gov/litigation/admin/2016/34-79109.pdf 2016-10-18 Ernst & Young LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Fronckiewicz, Craig R. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Adams, Sarah E. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79113 https://www.sec.gov/litigation/admin/2016/34-79113.pdf 2016-10-18 Bank Leumi le-Israel B.M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Leumi Private Bank Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Bank Leumi (Luxembourg) S.A. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4554 https://www.sec.gov/litigation/admin/2016/ia-4554.pdf 2016-10-18 Calvert Investment Management, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79120 https://www.sec.gov/litigation/admin/2016/34-79120.pdf 2016-10-19 Aronson, David A. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79121 https://www.sec.gov/litigation/admin/2016/34-79121.pdf 2016-10-19 Sizer, Craig V. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79123 https://www.sec.gov/litigation/admin/2016/34-79123.pdf 2016-10-19 Meza, Miguel Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79124 https://www.sec.gov/litigation/admin/2016/34-79124.pdf 2016-10-19 Yaffar-Pena, Lia Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved IA-4556 https://www.sec.gov/litigation/admin/2016/ia-4556.pdf 2016-10-19 Aubry, Mark J. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79126 https://www.sec.gov/litigation/admin/2016/34-79126.pdf 2016-10-20 Valentine, John Leo Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79127 https://www.sec.gov/litigation/admin/2016/34-79127.pdf 2016-10-20 FMC Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved with Exception Approved except as to the corporate penalty. Favret, Jeffrey CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Croft, Steven K. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10237 https://www.sec.gov/litigation/admin/2016/33-10237.pdf 2016-10-21 Navagate, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Rorke, Gregory Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79137 https://www.sec.gov/litigation/admin/2016/34-79137.pdf 2016-10-21 Chandler, Julianne M. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79141 https://www.sec.gov/litigation/suspensions/2016/34-79141.pdf 2016-10-24 Dynamic Response Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Eagle Telephonics, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Far East Energy Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79142 https://www.sec.gov/litigation/admin/2016/34-79142.pdf 2016-10-24 Dynamic Response Group, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Eagle Telephonics, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Far East Energy Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79143 https://www.sec.gov/litigation/suspensions/2016/34-79143.pdf 2016-10-24 Cala Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved China Huaren Organic Products, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Daystar Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hangover Joe's Holding Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79144 https://www.sec.gov/litigation/admin/2016/34-79144.pdf 2016-10-24 Cala Corporation Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved China Huaren Organic Products, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Daystar Technologies, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hangover Joe's Holding Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79147 https://www.sec.gov/litigation/admin/2016/34-79147.pdf 2016-10-24 David S. Hall, P.C. d/b/a The Hall Group, CPAs Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hall, David S. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79168 https://www.sec.gov/litigation/admin/2016/34-79168.pdf 2016-10-26 Pittera, Joseph L. Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10239 https://www.sec.gov/litigation/admin/2016/33-10239.pdf 2016-10-27 Kramer, Curt Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Hope Capital, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79170 https://www.sec.gov/litigation/admin/2016/34-79170.pdf 2016-10-27 Cain, Michael S. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79175 https://www.sec.gov/litigation/admin/2016/34-79175.pdf 2016-10-27 Henning-Carey Proprietary Trading, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79176 https://www.sec.gov/litigation/admin/2016/34-79176.pdf 2016-10-27 Bedwell, Robert P. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79179 https://www.sec.gov/litigation/admin/2016/34-79179.pdf 2016-10-28 Q Lotus Holdings, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Spare Backup, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79180 https://www.sec.gov/litigation/suspensions/2016/34-79180.pdf 2016-10-28 InterAmerican Gaming, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Spot Mobile International Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79181 https://www.sec.gov/litigation/admin/2016/34-79181.pdf 2016-10-28 BioNovo, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved InterAmerican Gaming, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Spot Mobile International Ltd. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10241 https://www.sec.gov/litigation/admin/2016/33-10241.pdf 2016-10-31 Reger, Michael L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10242 https://www.sec.gov/litigation/admin/2016/33-10242.pdf 2016-10-31 PKF O’Connor Davies, LLP Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Consolo, Domenick F. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79193 https://www.sec.gov/litigation/admin/2016/34-79193.pdf 2016-10-31 Beamish, Adrian D. CPA Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79195 https://www.sec.gov/litigation/admin/2016/34-79195.pdf 2016-10-31 Shermeta, Nicholas H. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved Napa Properties, LLC Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79202 https://www.sec.gov/litigation/admin/2016/34-79202.pdf 2016-10-31 Pensley, Joel Esq. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79022 https://www.sec.gov/litigation/suspensions/2016/34-79022.pdf https://www.sec.gov/litigation/suspensions/2016/34-79022-o.pdf 2016-10-03 Avatar Ventures Corp. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 33-10235 https://www.sec.gov/litigation/opinions/2016/33-10235.pdf 2016-10-13 Mex-X, Inc. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79136 https://www.sec.gov/litigation/admin/2016/34-79136.pdf 2016-10-21 Strong Capital Management, Inc., et al. Fair Fund Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79139 https://www.sec.gov/litigation/admin/2016/34-79139.pdf 2016-10-21 GMB Capital Management, LLC, Fair Fund Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79152 https://www.sec.gov/rules/sro/nms/2016/34-79152.pdf 2016-10-25 Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Professional Subscriber Device-Based Fees and Policies with Respect to Device-Based Fees Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-79153 https://www.sec.gov/rules/sro/nms/2016/34-79153.pdf 2016-10-25 Options Price Reporting Authority; Notice of Filing and Immediate Effectiveness of Proposed Amendment to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA’s Non-Display Use Fees Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved