2017-02-17
December 2016
78
ic-32379
https://www.sec.gov/rules/ic/2016/ic-32379.pdf
2016-12-06
Stifel, Nicolaus & Company, Inc., et al.; Notice of Application and Temporary Order
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79543
https://www.sec.gov/rules/other/2016/34-79543.pdf
2016-12-13
In the Matter of the Application of MIAX PEARL, LLC for Registration as a National Securities Exchange
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4595
https://www.sec.gov/rules/ia/2016/ia-4595.pdf
2016-12-28
Merrill Lynch, Pierce, Fenner & Smith
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10274
https://www.sec.gov/litigation/admin/2016/33-10274.pdf
2016-12-19
Doxey, Joseph P.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79592
https://www.sec.gov/rules/sro/nscc-an/2016/34-79592.pdf
2016-12-19
National Securities Clearing Corporation; Notice of No Objection to Advance Notice Filing to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of “Off-the-Market Transactions,” and Make Other Changes
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79593
https://www.sec.gov/litigation/admin/2016/34-79593.pdf
2016-12-19
NeuStar, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
34-79601
https://www.sec.gov/litigation/admin/2016/34-79601.pdf
2016-12-19
3C Advisors & Associates, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79602
https://www.sec.gov/litigation/admin/2016/34-79602.pdf
2016-12-19
Jones, Stephen
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79606
https://www.sec.gov/litigation/admin/2016/34-79606.pdf
2016-12-20
Morgan Stanley & Co. LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79607
https://www.sec.gov/litigation/admin/2016/34-79607.pdf
2016-12-20
SandRidge Energy, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
34-79625
https://www.sec.gov/litigation/admin/2016/34-79625.pdf
2016-12-20
Milligan, Robert D.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4591
https://www.sec.gov/litigation/admin/2016/ia-4591.pdf
2016-12-20
Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Porter, John T.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Duszynski, Thomas F. CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10275
https://www.sec.gov/rules/other/2016/33-10275.pdf
2016-12-21
Goldman Sachs Group, Inc.
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
Goldman, Sachs & Co.
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
34-79643
https://www.sec.gov/rules/sro/ficc-an/2016/34-79643.pdf
2016-12-21
Fixed Income Clearing Corporation; Notice of Filing of an Advance Notice to Implement a Change to the Methodology Used in the MBSD VaR Model
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79650
https://www.sec.gov/litigation/admin/2016/34-79650.pdf
2016-12-21
Jack Henry & Associates, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79656
https://www.sec.gov/litigation/admin/2016/34-79656.pdf
2016-12-22
AFN, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Allen Energy Company
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
American Cascade Energy, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Millenia Hope, Inc. (n/k/a Clubs Choice Holdings, Inc.)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79657
https://www.sec.gov/litigation/admin/2016/34-79657.pdf
2016-12-22
PAB Bankshares, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
USABG Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79668
https://www.sec.gov/litigation/admin/2016/34-79668.pdf
2016-12-22
Saraf, Alok CA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79669
https://www.sec.gov/litigation/admin/2016/34-79669.pdf
2016-12-22
Wipro Limited
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
Komandur, Badree ACA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Arunachalam, Satish CA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79691
https://www.sec.gov/litigation/admin/2016/34-79691.pdf
2016-12-27
Greifeld, Philip CPA
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79692
https://www.sec.gov/litigation/admin/2016/34-79692.pdf
2016-12-27
Rose, Brian C.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79693
https://www.sec.gov/litigation/admin/2016/34-79693.pdf
2016-12-27
McGregor, Robert S.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79694
https://www.sec.gov/litigation/admin/2016/34-79694.pdf
2016-12-27
Smith, Jason B.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79695
https://www.sec.gov/litigation/admin/2016/34-79695.pdf
2016-12-27
Loveall, Brent
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79698
https://www.sec.gov/litigation/admin/2016/34-79698.pdf
2016-12-27
Loppert, David A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79700
https://www.sec.gov/litigation/opinions/2016/34-79700.pdf
2016-12-28
MKM Partners LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4596
https://www.sec.gov/rules/ia/2016/ia-4596.pdf
2016-12-28
Robert W. Baird & Co. Incorporated
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4597
https://www.sec.gov/rules/ia/2016/ia-4597.pdf
2016-12-28
UBS Financial Services Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
IA-4598
https://www.sec.gov/rules/ia/2016/ia-4598.pdf
2016-12-28
Wells Fargo Advisors, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Wells Fargo Advisors Financial Network, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79702
https://www.sec.gov/litigation/admin/2016/34-79702.pdf
2016-12-29
General Cable Corporation
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved with Exception
Approved except as to the corporate penalty.
34-79703
https://www.sec.gov/litigation/admin/2016/34-79703.pdf
2016-12-29
General Cable Corporation
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79704
https://www.sec.gov/litigation/admin/2016/34-79704.pdf
2016-12-29
Zimmer, Karl J.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79707
https://www.sec.gov/rules/other/2016/34-79707.pdf
2016-12-29
LCH SA; Order Granting Application for Registration as a Clearing Agency and Request for Exemptive Relief
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79708
https://www.sec.gov/litigation/admin/2016/34-79708.pdf
2016-12-29
Calleja, Rafael Antonio Jr.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ic-32390
https://www.sec.gov/litigation/admin/2016/ic-32390.pdf
2016-12-12
State Street Bank & Trust Company
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79542
https://www.sec.gov/litigation/admin/2016/34-79542.pdf
2016-12-13
Ben Franklin Retail Stores, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Enrotek Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Spectre Gaming, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10266
https://www.sec.gov/rules/other/2016/33-10266.pdf
2016-12-14
Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2017
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
ia-4587
https://www.sec.gov/litigation/admin/2016/ia-4587.pdf
2016-12-14
New Silk Route Advisors, L.P.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79566
https://www.sec.gov/litigation/admin/2016/34-79566.pdf
2016-12-15
Deucher, Chad
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79567
https://www.sec.gov/litigation/admin/2016/34-79567.pdf
2016-12-15
Clatfelter, Richard
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79568
https://www.sec.gov/litigation/admin/2016/34-79568.pdf
2016-12-15
TPG Advisors, LLC (d/b/a The Phillips Group Advisors)
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Phillips, Larry M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10267
https://www.sec.gov/litigation/admin/2016/33-10267.pdf
2016-12-16
Nguyen, Lan Phuong Esq.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10268
https://www.sec.gov/litigation/admin/2016/33-10268.pdf
2016-12-16
Muellerleile, Michael J. Esq.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
M2 Law Professional Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10269
https://www.sec.gov/litigation/admin/2016/33-10269.pdf
2016-12-16
Felix, Joel
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10270
https://www.sec.gov/litigation/admin/2016/33-10270.pdf
2016-12-16
Empire Stock Transfer Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Participating
Blevins, Matthew J.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Participating
33-10271
https://www.sec.gov/rules/other/2016/33-10271.pdf
2016-12-16
Deutsche Bank Aktiengesellschaft
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
33-10272
https://www.sec.gov/litigation/admin/2016/33-10272.pdf
2016-12-16
Deutsche Bank Securities Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10273
https://www.sec.gov/rules/other/2016/33-10273.pdf
2016-12-16
Deutsche Bank Aktiengesellschaft
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
34-79572
https://www.sec.gov/litigation/suspensions/2016/34-79572.pdf
https://www.sec.gov/litigation/suspensions/2016/34-79572-o.pdf
2016-12-16
American Energy Development Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79577
https://www.sec.gov/rules/other/2016/34-79577.pdf
2016-12-16
Euroclear Bank SA/NV; Order of the Commission Approving an Application to Modify an Existing Exemption from Clearing Agency Registration
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79578
https://www.sec.gov/litigation/admin/2016/34-79578.pdf
2016-12-16
Barkley, Byron B.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Davis, Paul N.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79579
https://www.sec.gov/litigation/admin/2016/34-79579.pdf
2016-12-16
Kerrigone, Anthony B.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79580
https://www.sec.gov/litigation/admin/2016/34-79580.pdf
2016-12-16
Wilson-Davis & Company, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79581
https://www.sec.gov/litigation/admin/2016/34-79581.pdf
2016-12-16
Myers, Jo Ann
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Pickett, Hollis W. Jr.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79440
https://www.sec.gov/litigation/admin/2016/34-79440.pdf
2016-12-01
GMB Capital Management LLC Fair Fund
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79451
https://www.sec.gov/litigation/admin/2016/34-79451.pdf
2016-12-01
Flowers, Thomas A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4577
https://www.sec.gov/litigation/admin/2016/ia-4577.pdf
2016-12-01
Pacific Investment Management Company LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4578
https://www.sec.gov/rules/ia/2016/ia-4578.pdf
2016-12-01
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4579
https://www.sec.gov/rules/ia/2016/ia-4579.pdf
2016-12-01
Robert W. Baird & Co. Incorporated
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4580
https://www.sec.gov/rules/ia/2016/ia-4580.pdf
2016-12-01
UBS Financial Services Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4581
https://www.sec.gov/rules/ia/2016/ia-4581.pdf
2016-12-01
Wells Fargo Advisors, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Wells Fargo Advisors Financial Network, LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79454
https://www.sec.gov/litigation/admin/2016/34-79454.pdf
2016-12-02
United Continental Holdings, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Not Approved
34-79459
https://www.sec.gov/litigation/opinions/2016/34-79459.pdf
2016-12-02
Hill, Charles L. Jr.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79460
https://www.sec.gov/litigation/admin/2016/34-79460.pdf
2016-12-02
Winters, Marc
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79461
https://www.sec.gov/litigation/admin/2016/34-79461.pdf
2016-12-02
Cole, Bruce A. Esq.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79462
https://www.sec.gov/litigation/suspensions/2016/34-79462.pdf
https://www.sec.gov/litigation/suspensions/2016/34-79462-o.pdf
2016-12-05
WGE Holdings Corp.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10262
https://www.sec.gov/litigation/admin/2016/33-10262.pdf
2016-12-06
Equidate, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Equidate Holdings LLC
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10263
https://www.sec.gov/rules/other/2016/33-10263.pdf
2016-12-06
Stifel, Nicolaus & Co., Inc.
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
34-79483
https://www.sec.gov/litigation/admin/2016/34-79483.pdf
2016-12-06
KPMG LLP
Mary Jo White
Approved
Kara M. Stein
Not Approved
Michael S. Piwowar
Approved
34-79484
https://www.sec.gov/litigation/admin/2016/34-79484.pdf
2016-12-06
Kessel, Roy D. Esq.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79487
https://www.sec.gov/litigation/admin/2016/34-79487.pdf
2016-12-06
Aquanatural Co.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Bullet Sports International, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Pearce Systems International, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79489
https://www.sec.gov/litigation/admin/2016/34-79489.pdf
2016-12-07
Curlew Lake Resources, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79503
https://www.sec.gov/litigation/admin/2016/34-79503.pdf
2016-12-07
Noack, David W.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
ia-4584
https://www.sec.gov/litigation/admin/2016/ia-4584.pdf
2016-12-07
Garrison, Harold D.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
33-10264
https://www.sec.gov/litigation/admin/2016/33-10264.pdf
2016-12-08
Baker, Robert L.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Herrera, Jacob B.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Bowen, Michael D.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
Ballard, Terrance A.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79504
https://www.sec.gov/litigation/suspensions/2016/34-79504.pdf
https://www.sec.gov/litigation/suspensions/2016/34-79504-o.pdf
2016-12-08
Sen Yu International Holdings, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79505
https://www.sec.gov/litigation/admin/2016/34-79505.pdf
2016-12-08
Sen Yu International Holdings, Inc.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved
34-79521
https://www.sec.gov/litigation/admin/2016/34-79521.pdf
2016-12-09
Stuthers, Donald M.
Mary Jo White
Approved
Kara M. Stein
Approved
Michael S. Piwowar
Approved