2019-02-06 July 2018 63 33-10522 https://www.sec.gov/litigation/opinions/2018/33-10522.pdf 2018-07-20 Pending Administrative Proceedings In re: Pending Administrative Proceedings; Order Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83741 https://www.sec.gov/litigation/opinions/2018/34-83741.pdf 2018-07-30 Thaddeus J. North North, Thaddeus J. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83742 https://www.sec.gov/litigation/admin/2018/34-83742.pdf 2018-07-31 Synaptics Inc. Tinker, Fred Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83743 https://www.sec.gov/rules/sro/dtc-an/2018/34-83743.pdf 2018-07-31 Amendments No. 1 to Each of the Advance Notices Filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Depository Trust Company, Fixed Income Clearing Corporation, and National Securities Clearing Corporation to (1) Adopt Recovery and Wind-down Plans and Related Rules (File Nos. SR-DTC-2017-803, SR-FICC-2017-805, SR-NSCC-2017-805); and (2) Amend Loss Allocation Rules and Make Other Technical Changes (SR-DTC-2017-804, SR-FICC-2017-806, SR-NSCC-2017-806) The Depository Trust Company; Notice of Filing of Amendment No. 1 to an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83744 https://www.sec.gov/rules/sro/ficc-an/2018/34-83744.pdf 2018-07-31 Amendments No. 1 to Each of the Advance Notices Filed with the Commission Pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Depository Trust Company, Fixed Income Clearing Corporation, and National Securities Clearing Corporation to (1) Adopt Recovery and Wind-down Plans and Related Rules (File Nos. SR-DTC-2017-803, SR-FICC-2017-805, SR-NSCC-2017-805); and (2) Amend Loss Allocation Rules and Make Other Technical Changes (SR-DTC-2017-804, SR-FICC-2017-806, SR-NSCC-2017-806) Fixed Income Clearing Corporation; Notice of Filing of Amendment No. 1 to an Advance Notice to Adopt a Recovery & Wind-down Plan and Related Rules Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83754 https://www.sec.gov/litigation/admin/2018/34-83754.pdf 2018-07-31 Blackbird Capital Partners, LLC Neff, Brandon T. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83755 https://www.sec.gov/litigation/opinions/2018/34-83755.pdf 2018-07-31 Securities Industry and Financial Markets Assoc.; Bloomberg L.P. Securities Industry and Financial Markets Association Clayton Approved Stein Approved Jackson Approved Peirce Approved Bloomberg L.P. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83685 https://www.sec.gov/litigation/admin/2018/34-83685.pdf 2018-07-23 Certain Stock Buyback Programs Mizuho Securities USA LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83686 https://www.sec.gov/litigation/admin/2018/34-83686.pdf 2018-07-23 Certain Stock Lending Practices Sycamore Lane Partners LLC Clayton Approved Stein Approved Jackson Approved Peirce Not Approved 33-10524 https://www.sec.gov/litigation/admin/2018/33-10524.pdf 2018-07-24 Certain ADR Issuers Ryan, Melanie Clayton Not Participating Stein Approved Jackson Approved Peirce Not Approved 33-10525 https://www.sec.gov/litigation/admin/2018/33-10525.pdf 2018-07-24 Alliance Fiber Optic Products, Inc. Li, Yao Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10526 https://www.sec.gov/rules/proposed/2018/33-10526.pdf 2018-07-24 Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities Financial Disclosures about Guarantors and Issuers of Guaranteed Securities and Affiliates Whose Securities Collateralize a Registrant’s Securities; Proposed rule Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83697 https://www.sec.gov/litigation/admin/2018/34-83697.pdf 2018-07-24 Providence Financial Jarrell, Jack Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Approved 34-83710 https://www.sec.gov/litigation/opinions/2018/34-83710.pdf 2018-07-25 Patrick H. Dowd Dowd, Patrick H. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83711 https://www.sec.gov/litigation/opinions/2018/34-83711.pdf 2018-07-25 Christine D. Memet Memet,Christine D. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83714 https://www.sec.gov/rules/sro/occ-an/2018/34-83714.pdf 2018-07-26 Advance notice filed with the Commission pursuant to the Payment, Clearing, and Settlement Supervision Act of 2010 by The Options Clearing Corporation concerning changes to OCC's rules regarding its clearing fund methodology, stress testing framework, and procyclicality as well as a general reorganization of certain rule provisions (SR-OCC-2018-803) The Options Clearing Corporation; Notice of No Objection to Advance Notice, as Modified by Amendments No. 1 and 2, Concerning Proposed Changes to The Options Clearing Corporation’s Stress Testing and Clearing Fund Methodology Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83723 https://www.sec.gov/rules/other/2018/34-83723.pdf 2018-07-26 Review of Division action by delegated authority disapproving a proposed rule change by Bats BZX Exchange, Inc. to list and trade shares of the Winklevoss Bitcoin Trust (SR-BatsBZX-2016-30) Bats BZX Exchange, Inc.; Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and 2, to List and Trade Shares of the Winklevoss Bitcoin Trust Clayton Approved Stein Approved Jackson Approved Peirce Not Approved 34-83636 https://www.sec.gov/litigation/admin/2018/34-83636.pdf 2018-07-16 Houston American Administrative Proceeding Houston American Energy Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Terwilliger, John F. Jr. Clayton Approved Stein Approved Jackson Approved Peirce Approved Undiscovered Equities Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved McKnight, Kevin T. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83637 https://www.sec.gov/litigation/admin/2018/34-83637.pdf 2018-07-16 Mount Kellett Capital Management, LP Louie, Norman M.K. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Mount Kellett Capital Management, LP Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10519 https://www.sec.gov/litigation/admin/2018/33-10519.pdf 2018-07-17 Mobile Vault, Inc. Lake, Jay C. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83650 https://www.sec.gov/litigation/admin/2018/34-83650.pdf 2018-07-17 BGC Financial, L.P. BGC Financial, L.P. Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83652 https://www.sec.gov/litigation/admin/2018/34-83652.pdf 2018-07-17 Unger, James M. Unger, James M. Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Approved 34-83657 https://www.sec.gov/litigation/admin/2018/34-83657.pdf 2018-07-17 AltaVista Capital Markets, LLC Rahimi, Koorosh "Danny" Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Approved 34-83659 https://www.sec.gov/litigation/opinions/2018/34-83659.pdf 2018-07-17 Mark E. Laccetti, CPA Laccetti, Mark E. CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IA-4970 https://www.sec.gov/litigation/admin/2018/ia-4970.pdf 2018-07-17 New Silk Route Advisors, L.P. New Silk Route Advisors, L.P. Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-4972 https://www.sec.gov/litigation/admin/2018/ia-4972.pdf 2018-07-17 DWM Advisors, LLC Davis, Joseph Pinkney III Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Approved 33-10520 https://www.sec.gov/rules/final/2018/33-10520.pdf 2018-07-18 Securities Act Rule 701 Exempt Offerings Pursuant to Compensatory Arrangements; Final rule Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10521 https://www.sec.gov/rules/concept/2018/33-10521.pdf 2018-07-18 Securities Act Rule 701 and Securities Act Form S-8 Concept Release on Compensatory Securities Offerings and Sales; Concept release; request for comment Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83663 https://www.sec.gov/rules/final/2018/34-83663.pdf 2018-07-18 NMS Stock Alternative Trading Systems Regulation of NMS Stock Alternative Trading Systems; Final rule Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-4973 https://www.sec.gov/litigation/admin/2018/ia-4973.pdf 2018-07-19 Pharos Capital Group, LLC Devlin, Michael Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. 33-10523 https://www.sec.gov/litigation/admin/2018/33-10523.pdf 2018-07-20 Certain ADR Issuers Deutsche Bank Trust Company Americas Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-83677 https://www.sec.gov/litigation/admin/2018/34-83677.pdf 2018-07-20 Certain ADR Issuers Deutsche Bank Securities Inc. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved 34-83678 https://www.sec.gov/rules/sro/iex/2018/34-83678.pdf 2018-07-20 LTSE Listings on IEX Investors Exchange LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83683 https://www.sec.gov/litigation/admin/2018/34-83683.pdf 2018-07-20 Baltia Air Lines, Inc., et al. COPsync, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-83684 https://www.sec.gov/litigation/admin/2018/34-83684.pdf 2018-07-20 Texas Coastal Energy Company, LLC Gordon, Jefferey A. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IA-4975 https://www.sec.gov/litigation/admin/2018/ia-4975.pdf 2018-07-20 Beverly Hills Wealth Management, LLC Beverly Hills Wealth Management, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Black, Margaret Mulligan (aka Margaret Mulligan Scott) Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-83605 https://www.sec.gov/litigation/admin/2018/34-83605.pdf 2018-07-09 Pacific West Capital Group, Inc. Andrew B. Calhoun IV Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-83607 https://www.sec.gov/litigation/admin/2018/34-83607.pdf 2018-07-09 Malachi Financial Products, Inc. Malachi Financial Products, Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-83608 https://www.sec.gov/litigation/admin/2018/34-83608.pdf 2018-07-09 Malachi Financial Products, Inc. Porter B. Bingham Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty 34-83610 https://www.sec.gov/litigation/admin/2018/34-83610.pdf 2018-07-09 Application of Egan-Jones Ratings Company to register with the Commission as a nationally recognized statistical rating organization under Section 15E of the Securities Exchange Act of 1934 and implementing rules in the classes of credit ratings set forth in Exchange Act Sections 3(a)(62)(A)(iv) and (v) Egan-Jones Ratings Company Clayton Approved Stein Approved Piwowar Did not vote Jackson Approved Peirce Approved 33-10517 https://www.sec.gov/litigation/admin/2018/33-10517.pdf 2018-07-10 Advanced Drainage Systems, Inc. Advanced Drainage Systems, Inc. Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Approved with Exception Approved except as to the penalty and the Section 17(a)(3) charge. Mark B. Sturgeon, CPA Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Approved with Exception Approved except as to the Section 17(a)(3) charge. 33-10518 https://www.sec.gov/rules/final/2018/33-10518.pdf 2018-07-10 Revisions to EDGAR Filer Manual, Volume II - "EDGAR Filing" Adoption of Updated EDGAR Filer Manual; Final Rule Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-83611 https://www.sec.gov/litigation/admin/2018/34-83611.pdf 2018-07-10 Woodard, Matthew Charles Matthew C. Woodard Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Approved 34-83613 https://www.sec.gov/litigation/admin/2018/34-83613.pdf 2018-07-10 Romano Brothers & Co. Romano Brothers & Company Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty 34-83615 https://www.sec.gov/litigation/admin/2018/34-83615.pdf 2018-07-10 Ralph Willard Savoie Ralph Willard Savoie Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Approved IA-4958 https://www.sec.gov/litigation/admin/2018/ia-4958.pdf 2018-07-10 Certain Illinois Public Pension Funds; EnCap Investments, L.P.; Oaktree Capital Management, L.P. Sofinnova Ventures, Inc. Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Not Approved IA-4959 https://www.sec.gov/litigation/admin/2018/ia-4959.pdf 2018-07-10 Certain Illinois Public Pension Funds; EnCap Investments, L.P.; Oaktree Capital Management, L.P. EnCap Investments, L.P. Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Not Approved IA-4960 https://www.sec.gov/litigation/admin/2018/ia-4960.pdf 2018-07-10 Certain Illinois Public Pension Funds; EnCap Investments, L.P.; Oaktree Capital Management, L.P. Oaktree Capital Management, L.P. Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Not Approved IA-4961 https://www.sec.gov/litigation/admin/2018/ia-4961.pdf 2018-07-10 Advertising Practices of Certain Investment Advisers William M. Greenfield Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IA-4962 https://www.sec.gov/litigation/admin/2018/ia-4962.pdf 2018-07-10 Advertising Practices of Certain Investment Advisers Brian S. Eyster Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IA-4963 https://www.sec.gov/litigation/admin/2018/ia-4963.pdf 2018-07-10 Advertising Practices of Certain Investment Advisers Jaime Enrique Biel Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved HBA Advisors, LLC Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IA-4964 https://www.sec.gov/litigation/admin/2018/ia-4964.pdf 2018-07-10 Advertising Practices of Certain Investment Advisers Leonard S. Schwartz Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved IC-33157 https://www.sec.gov/rules/ic/2018/ic-33157.pdf 2018-07-10 Charles Schwab & Co., Inc. Charles Schwab & Co. Inc.; Temporary Order Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved Charles Schwab Investment Management, Inc.; Temporary Order Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-83620 https://www.sec.gov/litigation/admin/2018/34-83620.pdf 2018-07-12 Axesstel, Inc. Patrick J. Gray Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-83622 https://www.sec.gov/litigation/admin/2018/34-83622.pdf 2018-07-12 CannaVest Corp. Tommy Shek, CPA Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Not Approved IA-4967 https://www.sec.gov/litigation/admin/2018/ia-4967.pdf 2018-07-12 Strong Investment Management John B. Engebretson Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-83626 https://www.sec.gov/litigation/admin/2018/34-83626.pdf 2018-07-13 John Carter Risley FP Resources USA Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Lobster Point Holdings Limited Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to penalty. 34-83627 https://www.sec.gov/litigation/admin/2018/34-83627.pdf 2018-07-13 Uniprop Manufactured Housing Communities Income Fund II Genesis Associates Limited Partnership Clayton Approved Stein Approved Piwowar Approved with Exception Approved except as to the penalty. Jackson Approved Peirce Approved with Exception Approved except as to the penalty. 33-10516 https://www.sec.gov/litigation/admin/2018/33-10516.pdf 2018-07-02 KBR, Inc. Financial Reporting KBR, Inc. Clayton Approved Stein Approved Piwowar Approved with Exception Approved except as to the penalty. Jackson Approved Peirce Approved with Exception Approved except as to the penalty and 17(a)(3) violation 34-83575 https://www.sec.gov/litigation/admin/2018/34-83575.pdf 2018-07-02 Beam Inc. Beam Suntory Inc. Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty 34-83581 https://www.sec.gov/litigation/admin/2018/34-83581.pdf 2018-07-02 The Dow Chemical Company The Dow Chemical Company Clayton Approved Stein Approved Piwowar Approved with Exception Approved except as to the penalty Jackson Approved Peirce Approved with Exception Approved except as to the penalty 34-83598 https://www.sec.gov/litigation/admin/2018/34-83598.pdf 2018-07-06 Burgess, Daniel Daniel Burgess Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Approved 34-83603 https://www.sec.gov/litigation/admin/2018/34-83603.pdf 2018-07-06 Roger S. Zullo Roger S. Zullo Clayton Approved Stein Approved Piwowar Not Participating Jackson Not Participating Peirce Approved