2018-07-20 March 2018 61 33-10467 https://www.sec.gov/rules/final/2018/33-10467.pdf 2018-03-08 Revisions to EDGAR Filer Manual, Volume I - "General Information" Volume II - "EDGAR Filing" Adoption of Updated EDGAR Filer Manual; Final rule Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82879 https://www.sec.gov/litigation/opinions/2018/34-82879.pdf 2018-03-14 Ahmed Gadelkareem Gadelkareem, Ahmed Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82903 https://www.sec.gov/litigation/suspensions/2018/34-82903.pdf https://www.sec.gov/litigation/suspensions/2018/34-82903-o.pdf Order 2018-03-19 SLO 3 Holdings LLC Kelvin Medical, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82935 https://www.sec.gov/rules/sro/occ-an/2018/34-82935.pdf 2018-03-22 Extension of review period of advance notice filing by The Options Clearing Corporation concerning proposed changes to OCC's margin methodology (SR-OCC-2017-811) The Options Clearing Corporation; Notice of Extension of Review Period of Advance Notice of Proposed Changes Related to The Options Clearing Corporation’s Margin Methodology Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82937 https://www.sec.gov/rules/sro/nms/2018/34-82937.pdf 2018-03-23 Publication of Notices of Filing of (1) Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan, and the Fourteenth Charges Amendment to the Restated CQ Plan (SR-CTA/CQ-2018-01), and (2) Forty-Second Amendment to the NASDAQ/UTP Plan (S7-24-89) Notice of Filing and Immediate Effectiveness of the Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan and the Fourteenth Charges Amendment to the Restated CQ Plan Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82938 https://www.sec.gov/rules/sro/nms/2018/34-82938.pdf 2018-03-23 Publication of Notices of Filing of (1) Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan, and the Fourteenth Charges Amendment to the Restated CQ Plan (SR-CTA/CQ-2018-01), and (2) Forty-Second Amendment to the NASDAQ/UTP Plan (S7-24-89) Notice of Filing and Immediate Effectiveness of the Forty-Second 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 Jackson Approved Peirce Approved 34-82966 https://www.sec.gov/litigation/opinions/2018/34-82966.pdf 2018-03-29 Maher F. Kara Kara, Maher F. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10474 https://www.sec.gov/rules/other/2018/33-10474.pdf 2018-03-30 Casella Waste Systems, Inc. Casella Waste Systems, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10475 https://www.sec.gov/rules/other/2018/33-10475.pdf 2018-03-30 Casella Waste Systems, Inc. Casella Waste Systems, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IA-4872 https://www.sec.gov/litigation/opinions/2018/ia-4872.pdf 2018-03-30 ZPR Investment Management, Inc. ZPR Investment Management, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82841 https://www.sec.gov/litigation/suspensions/2018/34-82841.pdf https://www.sec.gov/litigation/suspensions/2018/34-82841-o.pdf 2018-03-09 Manzo Pharmaceuticals, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82894 https://www.sec.gov/litigation/suspensions/2018/34-82894.pdf https://www.sec.gov/litigation/suspensions/2018/34-82894-o.pdf 2018-03-16 New Global Energy, Inc. Clayton Approved Stein Approved Piwowar Jackson Approved Peirce Approved 34-82918 https://www.sec.gov/litigation/suspensions/2018/34-82918.pdf https://www.sec.gov/litigation/suspensions/2018/34-82918-o.pdf 2018-03-21 Efuel EFN Corp. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82946 https://www.sec.gov/litigation/admin/2018/34-82946.pdf 2018-03-26 Kinross Gold Corporation Clayton Not Participating Stein Approved Piwowar Approved Jackson Approved Peirce Not Approved 33-10472 https://www.sec.gov/litigation/admin/2018/33-10472.pdf 2018-03-27 Maxwell Technologies, Inc. Clayton Approved Stein Not Approved Piwowar Approved Jackson Approved Peirce Approved with Exception Approved except as to the corporate penalty. Andrews, Van M. Clayton Approved Stein Not Approved Piwowar Approved Jackson Approved Peirce Approved Schramm, David J. Clayton Approved Stein Not Approved Piwowar Approved Jackson Approved Peirce Approved DeWitt, James W. Jr., CPA Clayton Approved Stein Not Approved Piwowar Approved Jackson Approved Peirce Approved 34-82951 https://www.sec.gov/litigation/admin/2018/34-82951.pdf 2018-03-27 JH Darbie & Co., Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Rabinowitz, Robert Y. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82953 https://www.sec.gov/litigation/admin/2018/34-82953.pdf 2018-03-27 Delorme,Timary Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82954 https://www.sec.gov/litigation/admin/2018/34-82954.pdf 2018-03-27 Wedbush Securities Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82956 https://www.sec.gov/litigation/admin/2018/34-82956.pdf 2018-03-28 Aegis Capital Corporation Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82957 https://www.sec.gov/litigation/admin/2018/34-82957.pdf 2018-03-28 McKenna, Kevin Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Not Approved Eide, Robert Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82958 https://www.sec.gov/litigation/admin/2018/34-82958.pdf 2018-03-28 Terracciano, Eugene Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved with Exception Approved recommendation except disapproved bringing litigated action. 34-82962 https://www.sec.gov/litigation/opinions/2018/34-82962.pdf 2018-03-28 North,Thaddeus J. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10473 https://www.sec.gov/litigation/opinions/2018/33-10473.pdf 2018-03-29 Grossman, Larry C. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82898 https://www.sec.gov/litigation/admin/2018/34-82898.pdf 2018-03-19 Electronic Transaction Clearing, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved with Exception Approved except as to the civil money penalty. 33-10471 https://www.sec.gov/litigation/admin/2018/33-10471.pdf 2018-03-22 Baker, Robert L. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Bowen, Michael D. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Herrara, Jacob B. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10469 https://www.sec.gov/litigation/admin/2018/33-10469.pdf 2018-03-12 Credit Karma, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved with Exception Approved except as to the corporate penalty. 34-82859 https://www.sec.gov/litigation/admin/2018/34-82859.pdf 2018-03-13 BDO Canada LLP (f/k/a BDO Dunwoody LLP) Clayton Approved Stein Approved with Exception Approved except as to the offer of settlement. Piwowar Approved Jackson Approved with Exception Approved except as to the corporate penalty. Peirce Approved 34-82860 https://www.sec.gov/litigation/admin/2018/34-82860.pdf 2018-03-13 KPMG Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved with Exception Approved except as to the corporate penalty. Peirce Approved 34-82861 https://www.sec.gov/litigation/admin/2018/34-82861.pdf 2018-03-13 Deloitte & Touche Chartered Accountants Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82862 https://www.sec.gov/litigation/admin/2018/34-82862.pdf 2018-03-13 KPMG Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10470 https://www.sec.gov/rules/other/2018/33-10470.pdf 2018-03-14 Regulatory Flexibility Agenda; Notice of semiannual regulatory agenda Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82873 https://www.sec.gov/rules/proposed/2018/34-82873.pdf 2018-03-14 Transaction Fee Pilot for NMS Stocks; Proposed rule Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82877 https://www.sec.gov/litigation/admin/2018/34-82877.pdf 2018-03-14 Bailey, Edmund W. Clayton Approved Stein Approved Piwowar Approved with Exception Approved except as to the following in the order: (1) all language in paragraph 5 following "18 U.S.C. § 207"; (2) paragraphs 9 and 11; and (3) the language "17 C.F.R. § 200.735.8(b) and" in paragraph 15. Jackson Approved Peirce Approved with Exception Approved except as to the following in the order: (1) all language in paragraph 5 following "18 U.S.C. § 207"; (2) paragraphs 9 and 11; and (3) the language "17 C.F.R. § 200.735.8(b) and" in paragraph 15. ic-33046 https://www.sec.gov/rules/proposed/2018/ic-33046.pdf 2018-03-14 Investment Company Liquidity Disclosure; Proposed rule Clayton Approved Stein Not Approved Piwowar Approved Jackson Not Approved Peirce Approved 34-82882 https://www.sec.gov/litigation/admin/2018/34-82882.pdf 2018-03-15 Adams, John W. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved AIP, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82885 https://www.sec.gov/rules/sro/nms/2018/34-82885.pdf 2018-03-15 Notice of Filing and Immediate Effectiveness of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Miami International Securities Exchange, LLC as a Party Thereto Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82887 https://www.sec.gov/rules/sro/nms/2018/34-82887.pdf 2018-03-15 Notice of Filing and Immediate Effectiveness of the Sixteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe 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 American LLC, and NYSE Arca, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82888 https://www.sec.gov/rules/sro/nms/2018/34-82888.pdf 2018-03-15 Notice of Filing of the Seventeenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe 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 American LLC, and NYSE Arca, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82892 https://www.sec.gov/rules/sro/nms/2018/34-82892.pdf 2018-03-16 Notice of Withdrawal of Amendment No. 4 to the National Market System Plan Governing the Consolidated Audit Trail Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82893 https://www.sec.gov/litigation/admin/2018/34-82893.pdf 2018-03-16 New Global Energy, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82894 https://www.sec.gov/litigation/suspensions/2018/34-82894.pdf https://www.sec.gov/litigation/suspensions/2018/34-82894-o.pdf 2018-03-16 New Global Energy, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82805 https://www.sec.gov/litigation/admin/2018/34-82805.pdf 2018-03-05 Edwin Shaw, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82806 https://www.sec.gov/litigation/admin/2018/34-82806.pdf 2018-03-05 Stocking, Jacob W.L. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved ia-4863 https://www.sec.gov/litigation/admin/2018/ia-4863.pdf 2018-03-05 Financial Fiduciaries, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Batterman, Thomas Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. 33-10463 https://www.sec.gov/litigation/admin/2018/33-10463.pdf 2018-03-06 New York Stock Exchange LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Not Approved NYSE American LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Not Approved NYSE Arca, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Not Approved 33-10464 https://www.sec.gov/rules/other/2018/33-10464.pdf 2018-03-06 Intercontinental Exchange, Inc. Clayton Approved Stein Not Approved Piwowar Approved Jackson Not Approved Peirce Approved 34-82816 https://www.sec.gov/litigation/admin/2018/34-82816.pdf 2018-03-06 Valor Capital Asset Management, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Magee, Robert Mark Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82818 https://www.sec.gov/litigation/admin/2018/34-82818.pdf 2018-03-07 Kohli, Peter R. Clayton Approved Stein Approved Piwowar Approved 34-82820 https://www.sec.gov/rules/sro/ficc-an/2018/34-82820.pdf 2018-03-07 Fixed Income Clearing Corporation; Notice of Extension of Review Period of Advance Notice to Implement Changes to the Method of Calculating Netting Members’ Margin in the Government Securities Division Rulebook Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82821 https://www.sec.gov/litigation/admin/2018/34-82821.pdf 2018-03-07 Lovy, Eric f/k/a Eric Beltran Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved ia-4866 https://www.sec.gov/litigation/admin/2018/ia-4866.pdf 2018-03-07 DMS Advisors, Inc. Clayton Approved Stein Approved Piwowar Approved 33-10465 https://www.sec.gov/litigation/admin/2018/33-10465.pdf 2018-03-08 Merrill Lynch, Pierce, Fenner & Smith Incorporated Clayton Approved Stein Not Approved Piwowar Approved Jackson Approved Peirce Approved 33-10466 https://www.sec.gov/rules/other/2018/33-10466.pdf 2018-03-08 Merrill Lynch, Pierce, Fenner & Smith Incorporated Clayton Approved Stein Not Approved Piwowar Approved Jackson Not Approved Peirce Approved 33-10468 https://www.sec.gov/litigation/opinions/2018/33-10468.pdf 2018-03-08 Daspin,Edwin M. a/k/a "Edward (Ed) Michael" Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82837 https://www.sec.gov/litigation/admin/2018/34-82837.pdf 2018-03-08 Voya Investments, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Directed Services LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82840 https://www.sec.gov/litigation/admin/2018/34-82840.pdf 2018-03-09 Ritch, Robert Joseph Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82841 https://www.sec.gov/litigation/suspensions/2018/34-82841.pdf https://www.sec.gov/litigation/suspensions/2018/34-82841-o.pdf 2018-03-09 Manzo Pharmaceuticals, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82849 https://www.sec.gov/litigation/admin/2018/34-82849.pdf 2018-03-09 Elbit Imaging Ltd. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Not Approved 34-82794 https://www.sec.gov/rules/other/2018/34-82794.pdf 2018-03-01 Cboe BZX Exchange, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82797 https://www.sec.gov/litigation/opinions/2018/34-82797.pdf 2018-03-01 Lek Securities Corporation Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-82800 https://www.sec.gov/litigation/suspensions/2018/34-82800.pdf https://www.sec.gov/litigation/suspensions/2018/34-82800-o.pdf 2018-03-01 HD View 360 Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved