2017-05-03 March 2017 51 33-10331 https://www.sec.gov/litigation/opinions/2017/33-10331.pdf 2017-03-30 Bennett Group Financial Services, LLC Michael S. Piwowar Approved Kara M. Stein Approved Bennett, Dawn J. Michael S. Piwowar Approved Kara M. Stein Approved 34-80314 https://www.sec.gov/litigation/opinions/2017/34-80314.pdf 2017-03-27 McGee, Bernard G. Michael S. Piwowar Approved Kara M. Stein Approved 34-80318 https://www.sec.gov/litigation/suspensions/2017/34-80318.pdf https://www.sec.gov/litigation/suspensions/2017/34-80318-o.pdf 2017-03-28 NewGen BioPharma Corp. Michael S. Piwowar Approved Kara M. Stein Approved 34-80322 https://www.sec.gov/litigation/opinions/2017/34-80322.pdf 2017-03-28 Geary, Keith D. Michael S. Piwowar Approved Kara M. Stein Approved 34-80323 https://www.sec.gov/rules/sro/occ-an/2017/34-80323.pdf 2017-03-28 The Options Clearing Corporation Michael S. Piwowar Approved Kara M. Stein Approved 33-10329 https://www.sec.gov/litigation/admin/2017/33-10329.pdf 2017-03-29 Advanced Emissions Solutions, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 33-10330 https://www.sec.gov/litigation/opinions/2017/33-10330.pdf 2017-03-29 Chau, Wing F. Michael S. Piwowar Approved Kara M. Stein Approved Harding Advisory LLC Michael S. Piwowar Approved Kara M. Stein Approved 34-80332 https://www.sec.gov/litigation/admin/2017/34-80332.pdf 2017-03-29 Louis Capital Markets, LP Michael S. Piwowar Approved Kara M. Stein Approved 34-80335 https://www.sec.gov/litigation/admin/2017/34-80335.pdf 2017-03-29 Alison, Stephen D. Michael S. Piwowar Approved Kara M. Stein Approved Alison, LLC Michael S. Piwowar Approved Kara M. Stein Approved 34-80340 https://www.sec.gov/litigation/opinions/2017/34-80340.pdf 2017-03-29 KCD Financial Inc. Michael S. Piwowar Approved Kara M. Stein Approved IA-4672 https://www.sec.gov/litigation/admin/2017/ia-4672.pdf 2017-03-29 Covenant Financial Services, LLC Michael S. Piwowar Approved Kara M. Stein Approved Shafer , Stephen Michael S. Piwowar Approved Kara M. Stein Approved 34-80341 https://www.sec.gov/rules/sro/ficc-an/2017/34-80341.pdf 2017-03-30 Fixed Income Clearing Corporation Michael S. Piwowar Approved Kara M. Stein Approved 34-80344 https://www.sec.gov/litigation/admin/2017/34-80344.pdf 2017-03-30 Real Hip-Hop Network, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Resource Services, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Surpure, Inc. (f/k/a Pacific Quest Ventures Corp.) Michael S. Piwowar Approved Kara M. Stein Approved Vanport Acquisition IV, Corp. Michael S. Piwowar Approved Kara M. Stein Approved Vanport Acquisition V, Corp. Michael S. Piwowar Approved Kara M. Stein Approved 33-10332 https://www.sec.gov/rules/final/2017/33-10332.pdf 2017-03-31 33 Act; Sections 2, 4(a)(6), 4A, 5, 6, 7, 10, 19; 34 Act; Sections 3, 12, 13, 14, 15(d), 23(a); JOBS Act; Sections 102, 103, 107 Michael S. Piwowar Approved Kara M. Stein Approved 34-80356 https://www.sec.gov/litigation/admin/2017/34-80356.pdf 2017-03-31 CYGS, LLC Michael S. Piwowar Approved Kara M. Stein Approved 34-80359 https://www.sec.gov/rules/exorders/2017/34-80359.pdf 2017-03-31 ICE Trade Vault, LLC Michael S. Piwowar Approved Kara M. Stein Approved DTCC Data Repository (U.S.) LLC Michael S. Piwowar Approved Kara M. Stein Approved 34-80360 https://www.sec.gov/litigation/opinions/2017/34-80360.pdf 2017-03-31 Springsteen-Abbot, Kimberly Michael S. Piwowar Approved Kara M. Stein Approved 34-80275 https://www.sec.gov/litigation/suspensions/2017/34-80275.pdf https://www.sec.gov/litigation/suspensions/2017/34-80275-o.pdf 2017-03-20 Ubiquity, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80276 https://www.sec.gov/litigation/admin/2017/34-80276.pdf 2017-03-20 Ubiquity, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80278 https://www.sec.gov/litigation/admin/2017/34-80278.pdf 2017-03-20 Hobson, David P. Michael S. Piwowar Approved Kara M. Stein Approved 34-80292 https://www.sec.gov/litigation/suspensions/2017/34-80292.pdf https://www.sec.gov/litigation/suspensions/2017/34-80292-o.pdf 2017-03-21 China Biopharma, Inc. Michael S. Piwowar Approved Kara M. Stein Approved China Linen Textile Industry, Ltd. Michael S. Piwowar Approved Kara M. Stein Approved China Water Group, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Scout Exploration, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Teryl Resources Corp. Michael S. Piwowar Approved Kara M. Stein Approved 34-80293 https://www.sec.gov/litigation/admin/2017/34-80293.pdf 2017-03-21 China Biopharma, Inc. Michael S. Piwowar Approved Kara M. Stein Approved China Linen Textile Industry, Ltd. Michael S. Piwowar Approved Kara M. Stein Approved China Water Group, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Scout Exploration, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Teryl Resources Corp. Michael S. Piwowar Approved Kara M. Stein Approved 34-80299 https://www.sec.gov/litigation/admin/2017/34-80299.pdf 2017-03-22 Bucci, William D. Michael S. Piwowar Approved Kara M. Stein Approved 33-10325 https://www.sec.gov/litigation/admin/2017/33-10325.pdf 2017-03-23 Rose, Sheldon Michael S. Piwowar Approved Kara M. Stein Approved MKJJ Consulting LLC Michael S. Piwowar Approved Kara M. Stein Approved 34-80300 https://www.sec.gov/rules/sro/nms/2017/34-80300.pdf 2017-03-23 Notice of Filing and Immediate Effectiveness of the TwentySecond Charges Amendment to the Second Restatement of the CTA Plan and the Thirteenth Charges Amendment to the Restated CQ Plan Michael S. Piwowar Approved Kara M. Stein Approved 33-10326 https://www.sec.gov/litigation/opinions/2017/33-10326.pdf 2017-03-24 Dembski, Timothy S. Michael S. Piwowar Approved Kara M. Stein Approved 33-10327 https://www.sec.gov/litigation/admin/2017/33-10327.pdf 2017-03-24 Quigley, William Michael S. Piwowar Approved Kara M. Stein Approved 33-10328 https://www.sec.gov/litigation/opinions/2017/33-10328.pdf 2017-03-24 Fox, Joseph J. Michael S. Piwowar Approved Kara M. Stein Approved 34-80312 https://www.sec.gov/litigation/opinions/2017/34-80312.pdf 2017-03-24 Ellis, Jonathan Roth Michael S. Piwowar Approved Kara M. Stein Approved 34-80231 https://www.sec.gov/litigation/admin/2017/34-80231.pdf 2017-03-13 Hixson, Jeremy S. Michael S. Piwowar Approved Kara M. Stein Approved 34-80232 https://www.sec.gov/litigation/admin/2017/34-80232.pdf 2017-03-13 G-Trade Services LLC Mary Jo White Approved Michael S. Piwowar Approved Kara M. Stein Approved Convergex Global Markets Limited Mary Jo White Approved Michael S. Piwowar Approved Kara M. Stein Approved Convergex Execution Solutions LLC Mary Jo White Approved Michael S. Piwowar Approved Kara M. Stein Approved IA-4663 https://www.sec.gov/litigation/admin/2017/ia-4663.pdf 2017-03-13 Breton, Michael J. Mary Jo White Approved Michael S. Piwowar Approved Kara M. Stein Approved IA-4665 https://www.sec.gov/litigation/admin/2017/ia-4665.pdf 2017-03-13 Stifel, Nicolaus & Company, Incorporated Michael S. Piwowar Approved Kara M. Stein Approved 34-80238 https://www.sec.gov/litigation/admin/2017/34-80238.pdf 2017-03-14 Hedayati, Nima Michael S. Piwowar Approved Kara M. Stein Approved 34-80295 https://www.sec.gov/rules/final/2017/34-80295.pdf 2017-03-22 Amendment to Securities Transaction Settlement Cycle; Final rule Michael S. Piwowar Approved Kara M. Stein Approved 34-80164 https://www.sec.gov/litigation/opinions/2017/34-80164.pdf 2017-03-06 Interactive Brokers LLC Michael S. Piwowar Approved Kara M. Stein Approved Interactive Brokers Corp. Michael S. Piwowar Approved Kara M. Stein Approved 34-80170 https://www.sec.gov/litigation/admin/2017/34-80170.pdf 2017-03-07 Schumacher, Harrison W. II Michael S. Piwowar Approved Kara M. Stein Approved 34-80174 https://www.sec.gov/litigation/admin/2017/34-80174.pdf 2017-03-08 GCA I Acquisition Corp. Michael S. Piwowar Approved Kara M. Stein Approved International Metals Acquisition Corp. (n/k/a Niagara LaSalle Corp.) Michael S. Piwowar Approved Kara M. Stein Approved Syprus, Inc. (n/k/a Ricky’s Holdings, Inc.) Michael S. Piwowar Approved Kara M. Stein Approved Unity One Capital, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80176 https://www.sec.gov/litigation/admin/2017/34-80176.pdf 2017-03-08 Plumer, Adam L. Mary Jo White Approved Kara M. Stein Approved Michael S. Piwowar Approved 34-80177 https://www.sec.gov/litigation/admin/2017/34-80177.pdf 2017-03-08 Voya Financial Advisors, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80191 https://www.sec.gov/rules/sro/ficc-an/2017/34-80191.pdf 2017-03-09 Fixed Income Clearing Corporation; Notice of Filing of Advance Notice to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook Michael S. Piwowar Approved Kara M. Stein Approved 34-80195 https://www.sec.gov/litigation/admin/2017/34-80195.pdf 2017-03-09 George, Mark M. Michael S. Piwowar Approved Kara M. Stein Approved 34-80201 https://www.sec.gov/litigation/opinions/2017/34-80201.pdf 2017-03-10 Kabani & Company, Inc. Michael S. Piwowar Approved Kara M. Stein Approved Kabani, Hamid CPA Michael S. Piwowar Approved Kara M. Stein Approved Deutchman, Michael CPA Michael S. Piwowar Approved Kara M. Stein Approved Muhammad, Karim Khan CPA Michael S. Piwowar Approved Kara M. Stein Approved 34-80203 https://www.sec.gov/rules/sro/nms/2017/34-80203.pdf 2017-03-10 Notice of Filing of the Thirteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE MKT LLC, and NYSE Arca, Inc. Michael S. Piwowar Approved Kara M. Stein Approved 34-80142 https://www.sec.gov/rules/exorders/2017/34-80142.pdf 2017-03-02 Order Granting Limited Exemptive Relief, Pursuant to Rule 608(e) of the Securities Exchange Act of 1934, from the Clock Synchronization Compliance Deadline Specified in Section 6.7(a)(ii) of the National Market System Plan Governing the Consolidated Audit Trail Michael S. Piwowar Approved Kara M. Stein Approved 34-80143 https://www.sec.gov/rules/sro/occ-an/2017/34-80143.pdf 2017-03-02 The Options Clearing Corporation; Notice of No Objection to Advance Notice Filing Concerning The Options Clearing Corporation’s Margin Coverage During Times of Increased Volatility Michael S. Piwowar Approved Kara M. Stein Approved 34-80146 https://www.sec.gov/litigation/suspensions/2017/34-80146.pdf https://www.sec.gov/litigation/suspensions/2017/34-80146-o.pdf 2017-03-03 Desarrolladora Homex, S.A.B. de C.V. Michael S. Piwowar Approved Kara M. Stein Approved 34-80130 https://www.sec.gov/rules/proposed/2017/34-80130.pdf 2017-03-01 Proposed Amendments to Exchange Act Rule 15c2-12; Proposed rule amendments Michael S. Piwowar Approved Kara M. Stein Approved 33-10321 https://www.sec.gov/rules/other/2017/33-10321.pdf 2017-03-01 Request for Comment on Possible Changes to Industry Guide 3 (Statistical Disclosure by Bank Holding Companies) Michael S. Piwowar Approved Kara M. Stein Approved 33-10322 https://www.sec.gov/rules/final/2017/33-10322.pdf 2017-03-01 Exhibit Hyperlinks and HTML Format; Final rule Michael S. Piwowar Approved Kara M. Stein Approved 33-10323 https://www.sec.gov/rules/proposed/2017/33-10323.pdf 2017-03-01 Inline XBRL Filing of Tagged Data; Proposed rule Michael S. Piwowar Approved Kara M. Stein Approved