2018-07-20 January 2018 47 34-82452 https://www.sec.gov/litigation/suspensions/2018/34-82452.pdf https://www.sec.gov/litigation/suspensions/2018/34-82452-o.pdf Order 2018-01-05 UBI Blockchain Internet, Ltd. UBI Blockchain Internet, Ltd. Clayton Approved Stein Approved Piwowar Approved 34-82501 https://www.sec.gov/rules/sro/occ-an/2018/34-82501.pdf 2018-01-12 Advance Notice Filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation (“OCC”) to Adopt a New Minimum Cash Requirement for the Clearing Fund and Implement Additional Changes Related to that Requirement (SR-OCC-2017-808) The Options Clearing Corporation; Notice of No Objection to Advance Notice, as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund Clayton Approved Stein Approved Piwowar Approved Jackson Not Participating Peirce Approved 34-82554 https://www.sec.gov/litigation/admin/2018/34-82554.pdf 2018-01-19 Adaptive Medias, Inc. Cary, Justin Samuel CPA Clayton Approved Stein Approved Piwowar Approved 34-82555 https://www.sec.gov/litigation/opinions/2018/34-82555.pdf 2018-01-19 Sunshine Capital, Inc. and Jimmy Wayne Anderson Sunshine Capital, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Anderson, Jimmy Wayne Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82603 https://www.sec.gov/litigation/admin/2018/34-82603.pdf 2018-01-30 Four Points Capital Partners, LLC Fischer, Daniel T. Clayton Approved Stein Approved Piwowar Approved 34-82605 https://www.sec.gov/litigation/admin/2018/34-82605.pdf 2018-01-30 Crimson Forest Entertainment Group, Inc. Clayton Approved Stein Approved Piwowar Approved 34-82606 https://www.sec.gov/litigation/opinions/2018/34-82606.pdf 2018-01-30 Lek Securities Corporation Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved ia-4851 https://www.sec.gov/litigation/admin/2018/ia-4851.pdf 2018-01-31 Mohlman Asset Management, LLC Clayton Approved Stein Approved Piwowar Approved Mohlman, Louis G. Jr. Clayton Approved Stein Approved Piwowar Approved 34-82556 https://www.sec.gov/litigation/admin/2018/34-82556.pdf 2018-01-22 Holder, Cynthia CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Wada, Jeffrey CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Middendorf, David CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Whittle, Thomas CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Britt, David CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82557 https://www.sec.gov/litigation/admin/2018/34-82557.pdf 2018-01-22 Sweet, Brian CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved ia-4847 https://www.sec.gov/litigation/admin/2018/ia-4847.pdf 2018-01-22 Gemini Fund Services, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10454 https://www.sec.gov/litigation/admin/2018/33-10454.pdf 2018-01-23 AmericaFirst Capital Management, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Gonsalves, Rick A. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Clark, Robert L. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82579 https://www.sec.gov/rules/sro/dtc-an/2018/34-82579.pdf 2018-01-24 The Depository Trust Company; Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82580 https://www.sec.gov/rules/sro/ficc-an/2018/34-82580.pdf 2018-01-24 Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82581 https://www.sec.gov/rules/sro/nscc-an/2018/34-82581.pdf 2018-01-24 National Securities Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82582 https://www.sec.gov/rules/sro/dtc-an/2018/34-82582.pdf 2018-01-24 The Depository Trust Corporation Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82583 https://www.sec.gov/rules/sro/ficc-an/2018/34-82583.pdf 2018-01-24 Fixed Income Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82584 https://www.sec.gov/rules/sro/nscc-an/2018/34-82584.pdf 2018-01-24 National Securities Clearing Corporation; Notice of Filing and Extension of the Review Period of an Advance Notice to Amend the Loss Allocation Rules and Make Other Changes Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved ic-32995 https://www.sec.gov/rules/ic/2018/ic-32995.pdf 2018-01-26 BNP Paribas USA, Inc. Clayton Not Participating Stein Approved Piwowar Approved BNP Paribas Asset Management USA, Inc. Clayton Not Participating Stein Approved Piwowar Approved Bishop Street Capital Management Corp. Clayton Not Participating Stein Approved Piwowar Approved BNP Paribas Asset Management UK Limited Clayton Not Participating Stein Approved Piwowar Approved 34-82507 https://www.sec.gov/litigation/admin/2018/34-82507.pdf 2018-01-17 Ambicom Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved Arrow Cars International, Inc. Clayton Approved Stein Approved Piwowar Approved CDEX, Inc. Clayton Approved Stein Approved Piwowar Approved EFactor Group Corp. Clayton Approved Stein Approved Piwowar Approved iCoreConnect, Inc. (a/k/a iMedicor, Inc. or Vemics, Inc.) Clayton Approved Stein Approved Piwowar Approved 34-82508 https://www.sec.gov/litigation/suspensions/2018/34-82508.pdf https://www.sec.gov/litigation/suspensions/2018/34-82508-o.pdf 2018-01-17 Ambicom Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved CDEX, Inc. Clayton Approved Stein Approved Piwowar Approved EFactor Group Corp. Clayton Approved Stein Approved Piwowar Approved iCoreConnect, Inc. (a/k/a iMedicor, Inc. or Vemics, Inc.) Clayton Approved Stein Approved Piwowar Approved 34-82509 https://www.sec.gov/litigation/admin/2018/34-82509.pdf 2018-01-17 Tarpinian, John Clayton Approved Stein Approved Piwowar Approved 34-82510 https://www.sec.gov/litigation/admin/2018/34-82510.pdf 2018-01-17 Kaplan, David B. Esq. Clayton Approved Stein Approved Piwowar Approved 34-82511 https://www.sec.gov/litigation/admin/2018/34-82511.pdf 2018-01-17 Kaplan, David B. Esq. Clayton Approved Stein Approved Piwowar Approved 34-82513 https://www.sec.gov/rules/sro/occ-an/2018/34-82513.pdf 2018-01-17 The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Enhanced and New Tools for Recovery Scenarios Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82514 https://www.sec.gov/rules/sro/occ-an/2018/34-82514.pdf 2018-01-17 The Options Clearing Corporation; Notice of Filing of Advance Notice Concerning Updates to and Formalization of OCC’s Recovery and Orderly Wind-Down Plan Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82527 https://www.sec.gov/litigation/admin/2018/34-82527.pdf 2018-01-18 Altona Resources, Inc. Clayton Approved Stein Approved Piwowar Approved APEX 10, Inc. Clayton Approved Stein Approved Piwowar Approved APEX 11, Inc. Clayton Approved Stein Approved Piwowar Approved Clone Algo, Inc. Clayton Approved Stein Approved Piwowar Approved 34-82528 https://www.sec.gov/litigation/admin/2018/34-82528.pdf 2018-01-18 Mazzola, Frank G. Clayton Approved Stein Approved Piwowar Approved 34-82533 https://www.sec.gov/litigation/admin/2018/34-82533.pdf 2018-01-18 Industrial and Commercial Bank of China Financial Services LLC Clayton Approved Stein Approved Piwowar Approved 34-82535 https://www.sec.gov/litigation/admin/2018/34-82535.pdf 2018-01-18 Bankrate, Inc. Clayton Approved Stein Approved Piwowar Approved 34-82536 https://www.sec.gov/litigation/admin/2018/34-82536.pdf 2018-01-18 EMRISE Corp. Clayton Approved Stein Approved Piwowar Approved 34-82551 https://www.sec.gov/litigation/opinions/2018/34-82551.pdf 2018-01-19 Helpeo, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10451 https://www.sec.gov/rules/other/2018/33-10451.pdf 2018-01-08 Adjustments to Civil Monetary Penalty Amounts; Notice of Annual Inflation Adjustment of Civil Monetary Penalties Clayton Approved Stein Approved Piwowar Approved 34-82453 https://www.sec.gov/litigation/admin/2018/34-82453.pdf 2018-01-08 Boyd, Donna (f/k/a Donna Chen) Clayton Approved Stein Approved Piwowar Approved 34-82454 https://www.sec.gov/litigation/admin/2018/34-82454.pdf 2018-01-08 Tao, James C. Clayton Approved Stein Approved Piwowar Approved 34-82463 https://www.sec.gov/litigation/admin/2018/34-82463.pdf 2018-01-08 Blacksands Petroleum, Inc. Clayton Approved Stein Approved Piwowar Approved China Education Alliance, Inc. Clayton Approved Stein Approved Piwowar Approved DoMark International, Inc. Clayton Approved Stein Approved Piwowar Approved East Coast Diversified Corp. Clayton Approved Stein Approved Piwowar Approved 34-82464 https://www.sec.gov/litigation/suspensions/2018/34-82464.pdf https://www.sec.gov/litigation/suspensions/2018/34-82464-o.pdf 2018-01-08 Blacksands Petroleum, Inc. Clayton Approved Stein Approved Piwowar Approved China Education Alliance, Inc. Clayton Approved Stein Approved Piwowar Approved DoMark International, Inc. Clayton Approved Stein Approved Piwowar Approved East Coast Diversified Corp. Clayton Approved Stein Approved Piwowar Approved 33-10452 https://www.sec.gov/litigation/admin/2018/33-10452.pdf 2018-01-09 Punch TV Studios, Inc. Clayton Approved Stein Approved Piwowar Approved 33-10453 https://www.sec.gov/rules/other/2018/33-10453.pdf 2018-01-10 Order Approving Public Company Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2018 Clayton Approved Stein Approved Piwowar Approved 34-82485 https://www.sec.gov/litigation/admin/2018/34-82485.pdf 2018-01-11 Belfiore, Jeffrey R. Clayton Approved Stein Approved Piwowar Approved Chiera, Anthony P. Clayton Approved Stein Approved Piwowar Approved 34-82438 https://www.sec.gov/litigation/admin/2018/34-82438.pdf 2018-01-03 Bassily, Khaled "Kal" Clayton Approved Stein Approved Piwowar Approved 34-82440 https://www.sec.gov/rules/sro/nms/2018/34-82440.pdf 2018-01-03 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of the Forty-First 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 ia-4836 https://www.sec.gov/litigation/admin/2018/ia-4836.pdf 2018-01-03 LKL Investment Counsel LLC (a/k/a LKL Investments, LLC) Clayton Approved Stein Approved Piwowar Approved Love, Mark H. Clayton Approved Stein Approved Piwowar Approved 33-10450 https://www.sec.gov/rules/final/2018/33-10450.pdf 2018-01-05 Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants Clayton Approved Stein Approved Piwowar Approved 34-82443 https://www.sec.gov/litigation/admin/2018/34-82443.pdf 2018-01-05 Stovall, Anthony A. Clayton Approved Stein Approved Piwowar Approved 34-82451 https://www.sec.gov/rules/sro/nms/2018/34-82451.pdf 2018-01-05 Joint Industry Plan; Notice of Filing and Immediate Effectiveness of Amendment No. 4 to the National Market System Plan Governing the Consolidated Audit Trail by Cboe BYX Exchange, Inc., Cboe BZX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., BOX Options Exchange LLC, Cboe C2 Exchange, Inc., Cboe Exchange, Inc., 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 American, LLC and NYSE National, Inc. Clayton Approved Stein Approved Piwowar Approved ia-4839 https://www.sec.gov/rules/final/2018/ia-4839.pdf 2018-01-05 Amendments to Investment Advisers Act Rules to Reflect Changes Made by the FAST Act Clayton Approved Stein Approved Piwowar Approved