2018-11-07 October 2018 35 34-84497 https://www.sec.gov/rules/other/2018/34-84497.pdf 2018-10-29 Order Lifting the Automatic Stay of the Order Denying Applications by New York Stock Exchange LLC, NYSE MKT LLC, NYSE Arca, Inc., and NYSE National, Inc., Respectively, for Confidential Treatment Pursuant to Rule 24b-2 under the Exchange Act for Material Filed Pursuant to Rule 6a-2 under the Exchange Act Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84499 https://www.sec.gov/litigation/opinions/2018/34-84499.pdf 2018-10-29 North,Thaddeus J. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84500 https://www.sec.gov/litigation/opinions/2018/34-84500.pdf 2018-10-29 North,Thaddeus J. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10569 https://www.sec.gov/rules/proposed/2018/33-10569.pdf 2018-10-30 Updated Disclosure Requirements and Summary Prospectus for Variable Annuity and Variable Life Insurance Contracts; Proposed rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84501 https://www.sec.gov/litigation/admin/2018/34-84501.pdf 2018-10-30 Swartz, Aric Yerusalem Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 34-84511 https://www.sec.gov/rules/policy/2018/34-84511.pdf 2018-10-31 Commission Statement on Certain Provisions of Business Conduct Standards for Security- Based Swap Dealers and Major Security-Based Swap Participants Clayton Approved Stein Not Approved Jackson Not Approved Peirce Approved Roisman Approved 34-84513 https://www.sec.gov/litigation/opinions/2018/34-84513.pdf 2018-10-31 Riemer, Richard Allen Jr. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84382 https://www.sec.gov/litigation/suspensions/2018/34-84382.pdf https://www.sec.gov/litigation/suspensions/2018/34-84382-o.pdf 2018-10-05 OneLife Technologies Corp. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84414 https://www.sec.gov/litigation/admin/2018/34-84414.pdf 2018-10-12 Suster, Saul Daniel Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84432 https://www.sec.gov/litigation/opinions/2018/34-84432.pdf 2018-10-16 Securities Industry and Financial Markets Association Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84433 https://www.sec.gov/litigation/opinions/2018/34-84433.pdf 2018-10-16 Securities Industry and Financial Markets Association Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Bloomberg L.P. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84482 https://www.sec.gov/litigation/admin/2018/34-84482.pdf 2018-10-24 Thomassen, Marilyn R. Clayton Approved Stein Approved Jackson Not Participating Peirce Approved Roisman Approved 34-84483 https://www.sec.gov/litigation/admin/2018/34-84483.pdf 2018-10-24 Francisco, Emilio Clayton Approved Stein Approved Jackson Not Participating Peirce Approved Roisman Approved 34-84485 https://www.sec.gov/litigation/admin/2018/34-84485.pdf 2018-10-25 Alborano, Joseph Clayton Approved Stein Approved Jackson Approved Peirce Approved 33-10567 https://www.sec.gov/rules/interim/2018/33-10567.pdf 2018-10-16 Regulation Crowdfunding and Regulation A Relief and Assistance for Victims of Hurricane Michael; Interim final temporary rule Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84429 https://www.sec.gov/litigation/investreport/34-84429.pdf 2018-10-16 Report of Investigation Pursuant to Section 21(a) of the Securities Exchange Act of 1934 Regarding Certain Cyber-Related Frauds and Public Company Issuer Internal Accounting Controls Requirements Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84440 https://www.sec.gov/rules/other/2018/34-84440.pdf 2018-10-16 Order Under Section 15B, Section 17A and Section 36 of the Securities Exchange Act of 1934 Granting Exemptions from Specified Provisions of the Exchange Act and Certain Rules Thereunder Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84407 https://www.sec.gov/litigation/admin/2018/34-84407.pdf 2018-10-11 Linkbrokers Derivatives, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84408 https://www.sec.gov/litigation/admin/2018/34-84408.pdf 2018-10-11 Reech, John Kevin Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84409 https://www.sec.gov/rules/proposed/2018/34-84409.pdf 2018-10-11 Capital, Margin, and Segregation Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants and Capital Requirements for Broker-Dealers; Proposed rule; reopening of comment period; request for additional comment Clayton Approved Stein Approved Jackson Not Approved Peirce Approved Roisman Approved 34-84415 https://www.sec.gov/litigation/admin/2018/34-84415.pdf 2018-10-12 Apex Fund Services (US), Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84416 https://www.sec.gov/litigation/admin/2018/34-84416.pdf 2018-10-12 Touizer, Daniel Joseph Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84419 https://www.sec.gov/litigation/admin/2018/34-84419.pdf 2018-10-12 Nagdimov, Lev CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Bertuglia, Richard J. CPA Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved Green, John W. CPA Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 34-84324 https://www.sec.gov/litigation/opinions/2018/34-84324.pdf 2018-10-01 Zipper, Bruce M. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84329 https://www.sec.gov/litigation/admin/2018/34-84329.pdf 2018-10-01 Taberna Capital Management, LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Fralin, Michael Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved Licht, Raphael Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84334 https://www.sec.gov/litigation/opinions/2018/34-84334.pdf 2018-10-01 Zipper, Bruce Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84335 https://www.sec.gov/litigation/opinions/2018/34-84335.pdf 2018-10-01 Riemer, Richard Allen Jr. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84337 https://www.sec.gov/rules/sro/chx/2018/34-84337.pdf 2018-10-02 Order Setting Aside the Order by Delegated Authority Approving SR-CHX-2017-04 Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84342 https://www.sec.gov/litigation/admin/2018/34-84342.pdf 2018-10-02 Lanier, Patrick Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84359 https://www.sec.gov/litigation/admin/2018/34-84359.pdf 2018-10-04 Rampoldi, Paul T. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar. Roisman Approved 34-84367 https://www.sec.gov/rules/sro/cboebzx/2018/34-84367.pdf 2018-10-04 Cboe BZX Exchange, Inc.; Corrected Notice of Filing of Amendment No. 2 to a Proposed Rule Change to List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust , Under Rule 14.11(f)(4), Trust Issued Receipts Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84368 https://www.sec.gov/rules/sro/cboebzx/2018/34-84368.pdf 2018-10-04 In the Matter of Cboe BZX Exchange, Inc. For an Order of Disapproval of Proposed Rule Change to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF (File No. SR-CboeBZX-2018-001); Corrected Order Scheduling Filing of Statements on Review Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84369 https://www.sec.gov/rules/sro/nysearca/2018/34-84369.pdf 2018-10-04 In the Matter of the NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change to List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF (File No. SR-NYSEArca-2017-139); Corrected Order Scheduling Filing of Statements on Review Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84370 https://www.sec.gov/rules/sro/nysearca/2018/34-84370.pdf 2018-10-04 In the Matter of the NYSE Arca, Inc. For an Order of Disapproval of Proposed Rule Change Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares, and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E (File No. SR-NYSEArca-2018-02); Corrected Order Scheduling Filing of Statements on Review Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved