2018-07-20 February 2018 49 34-82676 https://www.sec.gov/rules/sro/nscc-an/2018/34-82676.pdf 2018-02-09 Advance notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by the National Securities Clearing Corporation to increase the authorized amount under NSCC's prefunded liquidity program (SR-NSCC-2017-807) National Securities Clearing Corporation Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82711 https://www.sec.gov/litigation/admin/2018/34-82711.pdf 2018-02-14 Janus Spectrum Bank,Daryl G. White Approved Stein Approved Piwowar Not Present Gallagher Approved Aguilar Approved 33-10458 https://www.sec.gov/litigation/admin/2018/33-10458.pdf 2018-02-16 Certain Investments in the JETENGINE™ Software Program Skinner,Barry McKnight Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Dynamic Intelligence, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82738 https://www.sec.gov/litigation/suspensions/2018/34-82738.pdf https://www.sec.gov/litigation/suspensions/2018/34-82738-o.pdf Order 2018-02-16 EnzymeBioSystems EnzymeBioSystems Clayton Affirmed Stein Affirmed Piwowar Affirmed Jackson Affirmed Peirce Affirmed 33-10461 https://www.sec.gov/litigation/admin/2018/33-10461.pdf 2018-02-26 Zoernack,Steven Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved EquityStar Capital Management, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82779 https://www.sec.gov/rules/sro/ficc-an/2018/34-82779.pdf 2018-02-26 Fixed Income Clearing Corporation; Notice of Advance Notice Filing of Proposed Rule Changes Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82780 https://www.sec.gov/rules/sro/nscc-an/2018/34-82780.pdf 2018-02-26 National Securities Clearing Corporation; Notice of No Objection Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82783 https://www.sec.gov/litigation/admin/2018/34-82783.pdf 2018-02-27 Logitech International, S.A. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Michael Doktorczyk Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Sherralyn Bolles, CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82787 https://www.sec.gov/rules/other/2018/34-82787.pdf 2018-02-27 DBRS Ratings Limited Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82789 https://www.sec.gov/litigation/suspensions/2018/34-82789.pdf https://www.sec.gov/litigation/suspensions/2018/34-82789-o.pdf 2018-02-27 Analytica Bio-Energy Corp. Clayton Recused Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10462 https://www.sec.gov/litigation/admin/2018/33-10462.pdf 2018-02-28 Ameriprise Financial Services, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IA-4861 https://www.sec.gov/litigation/admin/2018/ia-4861.pdf 2018-02-28 Stefan Lumiere Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10459 https://www.sec.gov/rules/interp/2018/33-10459.pdf 2018-02-21 Commission Statement and Guidance on Public Company Cybersecurity Disclosures Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10460 https://www.sec.gov/litigation/opinions/2018/33-10460.pdf 2018-02-21 Lorenzo, Francis V. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82743 https://www.sec.gov/litigation/admin/2018/34-82743.pdf 2018-02-21 Strum, Jonathan Esq. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82744 https://www.sec.gov/litigation/admin/2018/34-82744.pdf 2018-02-21 Weinberg & Baer LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Weinberg, Alan CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82762 https://www.sec.gov/litigation/admin/2018/34-82762.pdf 2018-02-22 Affirmative Insurance Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved Armada Oil, Inc. Clayton Approved Stein Approved Piwowar Approved China Energy Technology Corp., Ltd. Clayton Approved Stein Approved Piwowar Approved Chuma Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved 34-82763 https://www.sec.gov/litigation/suspensions/2018/34-82763.pdf https://www.sec.gov/litigation/suspensions/2018/34-82763-o.pdf 2018-02-22 Affirmative Insurance Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved Armada Oil, Inc. Clayton Approved Stein Approved Piwowar Approved China Energy Technology Corp., Ltd. Clayton Approved Stein Approved Piwowar Approved Chuma Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved IA-4857 https://www.sec.gov/litigation/admin/2018/ia-4857.pdf 2018-02-22 Commonwealth Advisors, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Morales, Walter A. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IC-33010 https://www.sec.gov/rules/interim/2018/ic-33010.pdf 2018-02-22 Investment Company Liquidity Risk Management Programs; Commission Guidance for In-Kind ETFs; Interim final rule; request for comment; interpretation Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IC-33033 https://www.sec.gov/rules/ic/2018/ic-33033.pdf 2018-02-23 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 34-82686 https://www.sec.gov/litigation/admin/2018/34-82686.pdf 2018-02-12 Deutsche Bank Securities Inc. Clayton Not Participating Stein Approved Piwowar Approved Jackson Approved Peirce Approved with Exception Approved except as to the corporate undertakings. Solomon, Benjamin Clayton Not Participating Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82688 https://www.sec.gov/litigation/admin/2018/34-82688.pdf 2018-02-12 Rust, Jay Mac Esq. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82691 https://www.sec.gov/litigation/admin/2018/34-82691.pdf 2018-02-12 Rust, Jay Mac Esq. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82694 https://www.sec.gov/litigation/admin/2018/34-82694.pdf 2018-02-12 Chackerian, Ara Clayton Approved Stein Approved Piwowar Not Approved Jackson Approved Peirce Not Approved 34-82703 https://www.sec.gov/litigation/admin/2018/34-82703.pdf 2018-02-13 Scheltema, James R.J. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82710 https://www.sec.gov/litigation/admin/2018/34-82710.pdf 2018-02-14 Block, Brian S. CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82718 https://www.sec.gov/litigation/admin/2018/34-82718.pdf 2018-02-14 Golden River Resources Corp. Clayton Approved Stein Approved Piwowar Approved 34-82724 https://www.sec.gov/litigation/suspensions/2018/34-82724.pdf https://www.sec.gov/litigation/suspensions/2018/34-82724-o.pdf 2018-02-15 Cherubim Interests, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82725 https://www.sec.gov/litigation/suspensions/2018/34-82725.pdf https://www.sec.gov/litigation/suspensions/2018/34-82725-o.pdf 2018-02-15 PDX Partners, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82726 https://www.sec.gov/litigation/suspensions/2018/34-82726.pdf https://www.sec.gov/litigation/suspensions/2018/34-82726-o.pdf 2018-02-15 Victura Construction Group, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82736 https://www.sec.gov/litigation/admin/2018/34-82736.pdf 2018-02-16 Baer, Simcha CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82727 https://www.sec.gov/rules/sro/chx/2018/34-82727.pdf 2018-02-15 Chicago Stock Exchange, Inc.; Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10455 https://www.sec.gov/rules/other/2018/33-10455.pdf 2018-02-05 Wedbush Securities Inc. Clayton Approved Stein Not Approved Piwowar Approved Jackson Not Approved Peirce Approved 34-82630 https://www.sec.gov/litigation/admin/2018/34-82630.pdf 2018-02-05 Wedbush Securities Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Approved except as to the censure. 34-82631 https://www.sec.gov/rules/sro/nscc-an/2018/34-82631.pdf 2018-02-05 National Securities Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82632 https://www.sec.gov/litigation/admin/2018/34-82632.pdf 2018-02-05 Wilson, Andrew H. Esq. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82634 https://www.sec.gov/litigation/admin/2018/34-82634.pdf 2018-02-06 Lynch, John T. Jr. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82639 https://www.sec.gov/litigation/admin/2018/34-82639.pdf 2018-02-06 California Mines Corp. Clayton Approved Stein Approved Piwowar Approved Cindisue Mining Corp. Clayton Approved Stein Approved Piwowar Approved Dune Energy, Inc. Clayton Approved Stein Approved Piwowar Approved 34-82651 https://www.sec.gov/litigation/admin/2018/34-82651.pdf 2018-02-07 Russell,Thomas Osmonde III, Esq. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IA-4854 https://www.sec.gov/litigation/admin/2018/ia-4854.pdf 2018-02-07 J.P. Morgan Investment Management Inc. (successor to Banc One Investment Advisors Corporation) Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82668 https://www.sec.gov/litigation/admin/2018/34-82668.pdf 2018-02-08 Dandridge, Victor M. III Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82677 https://www.sec.gov/litigation/admin/2018/34-82677.pdf 2018-02-09 Lorenzo, Gregg C. Clayton Approved Stein Approved Piwowar Approved Jackson Not Participating Peirce Approved Lorenzo, Francis V. Clayton Approved Stein Approved Piwowar Approved Jackson Not Participating Peirce Approved Charles Vista, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Not Participating Peirce Approved 34-82681 https://www.sec.gov/litigation/admin/2018/34-82681.pdf 2018-02-09 Buck, Thomas J. Clayton Approved Stein Approved Piwowar Approved PA-53 https://www.sec.gov/rules/other/2018/pa-53.pdf 2018-02-09 Privacy Act of 1974; System of Records; Notice of new and modified system of records Clayton Approved Stein Approved Piwowar Approved PA-54 https://www.sec.gov/rules/other/2018/pa-54.pdf 2018-02-09 Privacy Act of 1974; System of Records; Rescindment of System of Records Notice Clayton Approved Stein Approved Piwowar Approved 34-82610 https://www.sec.gov/litigation/admin/2018/34-82610.pdf 2018-02-01 Canwealth Minerals Corp. Clayton Approved Stein Approved Piwowar Approved Cubed, Inc. Clayton Approved Stein Approved Piwowar Approved ECO Integrated Technologies, Inc. Clayton Approved Stein Approved Piwowar Approved Enviro Cleanse, Inc. Clayton Approved Stein Approved Piwowar Approved 34-82624 https://www.sec.gov/litigation/admin/2018/34-82624.pdf 2018-02-02 Karlis, Craig Clayton Approved Stein Approved Piwowar Approved 34-82626 https://www.sec.gov/rules/exorders/2018/34-82626.pdf 2018-02-02 Order Extending Until February 5, 2019 Certain Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with the Revision of the Definition of “Security” to Encompass Security-Based Swaps and Request for Comment Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved