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