2017-10-18 July 2017 46 33-10385 https://www.sec.gov/rules/final/2017/33-10385.pdf 2017-07-06 Adoption of Updated EDGAR Filer Manual; Final rule Clayton Approved Stein Approved Piwowar Approved ia-4725 https://www.sec.gov/litigation/admin/2017/ia-4725.pdf 2017-07-06 Landwin Management, LLC Clayton Approved Stein Approved Piwowar Approved Landis, Martin Clayton Approved Stein Approved Piwowar Approved 34-81104 https://www.sec.gov/litigation/suspensions/2017/34-81104.pdf https://www.sec.gov/litigation/suspensions/2017/34-81104-o.pdf 2017-07-07 China Gewang Biotechnology, Inc. Clayton Approved Stein Approved Piwowar Approved ia-4733 https://www.sec.gov/litigation/admin/2017/ia-4733.pdf 2017-07-25 Bradway Financial, LLC Clayton Approved Stein Approved Piwowar Approved Bradway Capital Management, LLC Clayton Approved Stein Approved Piwowar Approved Case, Brian Kimball Clayton Approved Stein Approved Piwowar Approved 33-10393 https://www.sec.gov/litigation/admin/2017/33-10393.pdf 2017-07-31 Aalders, Karen F. Clayton Approved Stein Approved Piwowar Approved 33-10394 https://www.sec.gov/litigation/admin/2017/33-10394.pdf 2017-07-31 Barton, Sterling Craig Clayton Approved Stein Approved Piwowar Approved 34-81260 https://www.sec.gov/rules/sro/nscc-an/2017/34-81260.pdf 2017-07-31 National Securities Clearing Corporation; The Options Clearing Corporation; Notice of No Objection to Advance Notices Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between the National Securities Clearing Corporation and The Options Clearing Corporation Clayton Approved Stein Approved Piwowar Approved 33-10391 https://www.sec.gov/litigation/admin/2017/33-10391.pdf 2017-07-25 Giamichael, Joey Clayton Approved Stein Approved Piwowar Approved with Exception Approved except as to (1) the violations under Sections 17(a)(2) and 17(a)(3) of the Securities Exchange Act of 1934; (2) the order to pay disgorgement and pre-judgment interest; and (3) the order to pay any civil penalties other than the amount attributable to violations of Section 16(a) of the Exchange Act. Umbrella Research, LLC Clayton Approved Stein Approved Piwowar Approved with Exception Approved except as to (1) the violations under Sections 17(a)(2) and 17(a)(3) of the Securities Act of 1934; (2) the order to pay disgorgement and pre-judgment interest; and (3) the order to pay any civil penalties. 34-81198 https://www.sec.gov/rules/sro/nms/2017/34-81198.pdf 2017-07-25 Notice of Filing and Immediate Effectiveness of the Thirty-Ninth Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Clayton Approved Stein Approved Piwowar Approved 34-81199 https://www.sec.gov/rules/sro/nms/2017/34-81199.pdf 2017-07-25 Consolidated Tape Association; Notice of Filing and Immediate Effectiveness of the Twenty-Eight Substantive Amendment to the Second Restatement of the CTA Plan and the Twentieth Amendment to the Restated CQ Plan Clayton Approved Stein Approved Piwowar Approved 34-81207 https://www.sec.gov/litigation/investreport/34-81207.pdf 2017-07-25 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934: The DAO Clayton Approved Stein Approved Piwowar Approved 34-81209 https://www.sec.gov/litigation/admin/2017/34-81209.pdf 2017-07-26 Carrillo, Luis J. Esq. Clayton Approved Stein Approved Piwowar Approved 34-81210 https://www.sec.gov/litigation/admin/2017/34-81210.pdf 2017-07-26 Huettel, Wade D. Esq. Clayton Approved Stein Approved Piwowar Approved 34-81214 https://www.sec.gov/litigation/admin/2017/34-81214.pdf 2017-07-26 Baldwin, Dwight Shane Clayton Approved Stein Approved Piwowar Approved 34-81215 https://www.sec.gov/litigation/suspensions/2017/34-81215.pdf 2017-07-26 Cibolan Gold Corporation Clayton Approved Stein Approved Piwowar Approved Medbook World Inc. Clayton Approved Stein Approved Piwowar Approved Pacific Gold Corp. Clayton Approved Stein Approved Piwowar Approved Sungame Corporation (n/k/a Freevi Corp.) Clayton Approved Stein Approved Piwowar Approved 34-81216 https://www.sec.gov/litigation/admin/2017/34-81216.pdf 2017-07-26 Cibolan Gold Corporation Clayton Approved Stein Approved Piwowar Approved Medbook World Inc. Clayton Approved Stein Approved Piwowar Approved Pacific Gold Corp. Clayton Approved Stein Approved Piwowar Approved Sungame Corporation (n/k/a Freevi Corp.) Clayton Approved Stein Approved Piwowar Approved 34-81217 https://www.sec.gov/litigation/admin/2017/34-81217.pdf 2017-07-26 Aja Cannafacturing, Inc. Clayton Approved Stein Approved Piwowar Approved Montalvo Spirits, Inc. Clayton Approved Stein Approved Piwowar Approved Sanook Enterprises, Inc. (n/k/a Applife Digital, Inc.) Clayton Approved Stein Approved Piwowar Approved Spire Technologies, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81218 https://www.sec.gov/litigation/suspensions/2017/34-81218.pdf 2017-07-26 Aja Cannafacturing, Inc. Clayton Approved Stein Approved Piwowar Approved Montalvo Spirits, Inc. Clayton Approved Stein Approved Piwowar Approved Sanook Enterprises, Inc. (n/k/a Applife Digital, Inc.) Clayton Approved Stein Approved Piwowar Approved Spire Technologies, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81219 https://www.sec.gov/litigation/admin/2017/34-81219.pdf 2017-07-26 Attitude Drinks Incorporated Clayton Approved Stein Approved Piwowar Approved Core Resource Management, Inc. Clayton Approved Stein Approved Piwowar Approved Maverick Minerals Corporation Clayton Approved Stein Approved Piwowar Approved Panacea Global, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81220 https://www.sec.gov/litigation/suspensions/2017/34-81220.pdf 2017-07-26 Attitude Drinks Incorporated Clayton Approved Stein Approved Piwowar Approved Core Resource Management, Inc. Clayton Approved Stein Approved Piwowar Approved Maverick Minerals Corporation Clayton Approved Stein Approved Piwowar Approved Panacea Global, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81221 https://www.sec.gov/litigation/admin/2017/34-81221.pdf 2017-07-26 Tilden Loucks & Woodnorth, LLC Clayton Approved Stein Approved Piwowar Approved LaSalle St. Securities, LLC Clayton Approved Stein Approved Piwowar Approved Loucks, Ralph B. Clayton Approved Stein Approved Piwowar Approved 34-81222 https://www.sec.gov/litigation/admin/2017/34-81222.pdf 2017-07-27 Halliburton Company Clayton Approved Stein Approved with Exception Approved except as to Halliburton Company's offer to settle this matter by consenting to the issuance of an order that requires it to cease-and-desist from committing or causing any violations and any future violations of Sections 13(b)(2)(A) and (B) of the Securities Exchange Act of 1934, disgorge ill-gotten gains of $14,000,000 along with prejudgment interest of $1,200,000, pay a civil penatly of $14,000,000, and retain an independent consultant for 18 months to review certain policies and procedures. Piwowar Approved Lorenz, Jeannot Clayton Approved Stein Approved Piwowar Approved 34-81223 https://www.sec.gov/rules/other/2017/34-81223.pdf 2017-07-27 ICE Trade Vault, LLC; Notice of Filing of Amended Application for Registration as a Security-Based Swap Data Repository Clayton Approved Stein Approved Piwowar Approved 34-81235 https://www.sec.gov/litigation/admin/2017/34-81235.pdf 2017-07-27 Medicus Homecare Inc. Clayton Approved Stein Approved Piwowar Approved 34-81236 https://www.sec.gov/litigation/suspensions/2017/34-81236.pdf 2017-07-27 Medicus Homecare Inc. Clayton Approved Stein Approved Piwowar Approved 34-81237 https://www.sec.gov/litigation/admin/2017/34-81237.pdf 2017-07-27 CNK Global, Inc. (a/k/a American Life Holding Co., Inc.) Clayton Not Participating Stein Approved Piwowar Approved 34-81238 https://www.sec.gov/litigation/suspensions/2017/34-81238.pdf 2017-07-27 CNK Global, Inc. (a/k/a American Life Holding Co., Inc.) Clayton Not Participating Stein Approved Piwowar Approved 34-81239 https://www.sec.gov/litigation/admin/2017/34-81239.pdf 2017-07-27 Aquentium, Inc. Clayton Approved Stein Approved Piwowar Approved Del Toro Silver Corp. Clayton Approved Stein Approved Piwowar Approved Islet Sciences, Inc. Clayton Approved Stein Approved Piwowar Approved Sealand Natural Resources Inc. Clayton Approved Stein Approved Piwowar Approved 34-81240 https://www.sec.gov/litigation/suspensions/2017/34-81240.pdf 2017-07-27 Aquentium, Inc. Clayton Approved Stein Approved Piwowar Approved Del Toro Silver Corp. Clayton Approved Stein Approved Piwowar Approved Islet Sciences, Inc. Clayton Approved Stein Approved Piwowar Approved Sealand Natural Resources Inc. Clayton Approved Stein Approved Piwowar Approved ia-4734 https://www.sec.gov/litigation/admin/2017/ia-4734.pdf 2017-07-28 Columbia River Advisors, LLC Clayton Approved Stein Approved Piwowar Approved Addink, Benjamin J. Clayton Approved Stein Approved Piwowar Approved Foy, Donald A. Clayton Approved Stein Approved Piwowar Approved ia-4735 https://www.sec.gov/litigation/opinions/2017/ia-4735.pdf 2017-07-28 Tilton, Lynn Clayton Not Participating Stein Approved Piwowar Approved Patriarch Partners, LLC Clayton Not Participating Stein Approved Piwowar Approved Patriarch Partners VIII, LLC Clayton Not Participating Stein Approved Piwowar Approved Patriarch Partners XIV, LLC Clayton Not Participating Stein Approved Piwowar Approved Patriarch Partners XV, LLC Clayton Not Participating Stein Approved Piwowar Approved 34-81160 https://www.sec.gov/litigation/admin/2017/34-81160.pdf 2017-07-18 Stimpson, John F. Clayton Approved Stein Approved Piwowar Approved 34-81169 https://www.sec.gov/litigation/admin/2017/34-81169.pdf 2017-07-19 KMS Financial Services, Inc. Clayton Not Participating Stein Approved Piwowar Approved 34-81172 https://www.sec.gov/litigation/admin/2017/34-81172.pdf 2017-07-19 Lubin, David Clayton Approved Stein Approved Piwowar Approved 34-81173 https://www.sec.gov/litigation/admin/2017/34-81173.pdf 2017-07-19 Enviso Capital, LLC Clayton Approved Stein Approved Piwowar Approved Bowers, Ryan Clayton Approved Stein Approved Piwowar Approved LaBerge, Jeffrey CPA Clayton Approved Stein Approved Piwowar Approved 34-81189 https://www.sec.gov/rules/sro/nms/2017/34-81189.pdf 2017-07-21 Order of Summary Abrogation of Amendment No. 2 to the National Market System Plan Governing the Consolidated Audit Trail by Bats BYX Exchange, Inc., Bats BZX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors’ Exchange LLC, Miami International Securities Exchange, LLC, MIAX PEARL, LLC, NASDAQ BX, Inc., Nasdaq GEMX, LLC, Nasdaq ISE, LLC, Nasdaq MRX, LLC, NASDAQ PHLX LLC, The NASDAQ Stock Market LLC, New York Stock Exchange LLC, NYSE Arca, Inc., NYSE MKT LLC and NYSE National, Inc. Clayton Approved Stein Approved Piwowar Approved 34-81111 https://www.sec.gov/litigation/admin/2017/34-81111.pdf 2017-07-10 Wanger, Eric David Clayton Approved Stein Approved Piwowar Approved 33-10390 https://www.sec.gov/rules/proposed/2017/33-10390.pdf 2017-07-14 Covered Securities Pursuant to Section 18 of the Securities Act of 1933; Proposed rule Clayton Approved Stein Approved Piwowar Approved 33-10385 https://www.sec.gov/rules/final/2017/33-10385.pdf 2017-07-06 Adoption of Updated EDGAR Filer Manual; Final rule Clayton Approved Stein Approved Piwowar Approved 33-10386 https://www.sec.gov/litigation/admin/2017/33-10386.pdf 2017-07-06 Retirement Surety LLC Clayton Approved Stein Approved Piwowar Approved Crescendo Financial LLC Clayton Approved Stein Approved Piwowar Approved Rose, Thomas Clayton Approved Stein Approved Piwowar Approved Leeman, David Clayton Approved Stein Approved Piwowar Approved Featherstone, David Clayton Approved Stein Approved Piwowar Approved 33-10387 https://www.sec.gov/litigation/admin/2017/33-10387.pdf 2017-07-06 Wallis, Randal Clayton Approved Stein Approved Piwowar Approved 33-10388 https://www.sec.gov/litigation/admin/2017/33-10388.pdf 2017-07-06 Wills, Ronald Howard Clayton Approved Stein Approved Piwowar Approved 34-81082 https://www.sec.gov/litigation/admin/2017/34-81082.pdf 2017-07-06 Hunt, Ronald S. Clayton Approved Stein Approved Piwowar Approved 34-81086 https://www.sec.gov/litigation/admin/2017/34-81086.pdf 2017-07-06 Folger Nolan Fleming Douglas Capital Management, Inc. Clayton Approved Stein Approved Piwowar Approved Folger, Neil C. Clayton Approved Stein Approved Piwowar Approved Brown, David M. Clayton Approved Stein Approved Piwowar Approved ia-4726 https://www.sec.gov/litigation/admin/2017/ia-4726.pdf 2017-07-06 Paramount Group Real Estate Advisor LLC Clayton Approved Stein Approved Piwowar Approved 34-81101 https://www.sec.gov/litigation/admin/2017/34-81101.pdf 2017-07-07 Lovera, Diana P. Clayton Approved Stein Approved Piwowar Approved