2018-12-06 November 2018 32 34-84665 https://www.sec.gov/litigation/admin/2018/34-84665.pdf 2018-11-27 America Capital Group LLC Goldman, Ricardo H. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84670 https://www.sec.gov/rules/sro/batsbzx/2018/34-84670.pdf 2018-11-28 Publication of Notice of Filing of Amendment No. 2 to the Proposed Rule Change by Cboe BZX Exchange, Inc. (f/k/a Bats BZX Exchange, Inc.) to Introduce Cboe Market Close (SR-BatsBZX-2017-34) Bats BZX Exchange, Inc.; Notice of Filing of Amendment No. 2 to Proposed Rule Change to Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28 Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10578 https://www.sec.gov/litigation/admin/2018/33-10578.pdf 2018-11-29 Certain Initial Coin Offering Promotions Mayweather, Floyd Jr. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 33-10579 https://www.sec.gov/litigation/admin/2018/33-10579.pdf 2018-11-29 Certain Initial Coin Offering Promotions Khaled, Khaled Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 34-84676 https://www.sec.gov/rules/sro/nysearca/2018/34-84676.pdf 2018-11-29 Commission review of Division staff’s approval, pursuant to delegated authority, of an NYSE Arca, Inc. proposal to list and trade shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund under Commentary .02 to NYSE Arca Equities Rule 8.200 (SR-NYSEArca-2016-120) NYSE Arca, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved 34-84689 https://www.sec.gov/rules/other/2018/34-84689.pdf 2018-11-29 The application of BofAML Securities, Inc., a registered broker-dealer, to compute net capital deductions for market risk using internal models rather than using standardized haircuts Order Regarding Alternative Net Capital Computation for BofAML Securities, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84707 https://www.sec.gov/litigation/admin/2018/34-84707.pdf 2018-11-30 Ronald Wayne Nabors Nabors, Ronald Wayne Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penny stock bar. Roisman Approved 34-84711 https://www.sec.gov/litigation/opinions/2018/34-84711.pdf 2018-11-30 Jennifer F. Wolf Wolf, Jennifer F. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84617 https://www.sec.gov/litigation/admin/2018/34-84617.pdf 2018-11-19 Certain Petrobas Drilling Contracts Vantage Drilling International Clayton Approved Stein Not Approved Jackson Approved Peirce Approved Roisman Approved 34-84618 https://www.sec.gov/litigation/admin/2018/34-84618.pdf 2018-11-19 Mieka Energy Corporation Myers, Robert William Jr. White Approved Stein Approved Piwowar Not Participating 34-84626 https://www.sec.gov/rules/sro/occ-an/2018/34-84626.pdf 2018-11-19 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 model for incorporating variations in implied volatility within OCC's margin methodology (SR-OCC-2018-804) The Options Clearing Corporation; Notice of Filing of Advance Notice, as Modified by Partial Amendment No. 1, Related to The Options Clearing Corporation’s Margin Methodology for Incorporating Variations in Implied Volatility Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84627 https://www.sec.gov/litigation/opinions/2018/34-84627.pdf 2018-11-19 Karen Bruton Bruton, Karen Clayton Approved Stein Approved Jackson Approved Peirce Not Approved Roisman Approved IA-5065 https://www.sec.gov/litigation/admin/2018/ia-5065.pdf 2018-11-19 Retirement Capital Strategies, Inc. Retirement Capital Strategies, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the censure. Roisman Approved IA-5066 https://www.sec.gov/litigation/admin/2018/ia-5066.pdf 2018-11-19 Mark Hotton Hotton, Mark Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84628 https://www.sec.gov/litigation/admin/2018/34-84628.pdf 2018-11-20 ArthroCare Corporation Gluk, Michael T. CPA Clayton Approved Stein Approved Piwowar Approved Jackson Approved Peirce Approved 33-10576 https://www.sec.gov/rules/other/2018/33-10576.pdf 2018-11-21 Publication of the Commission's Regulatory Flexibility Act Rule Review List List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act; Publication of rules scheduled for review Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84605 https://www.sec.gov/litigation/admin/2018/34-84605.pdf 2018-11-15 Function(x) Inc. Function(x), Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10574 https://www.sec.gov/litigation/admin/2018/33-10574.pdf 2018-11-16 Paragon Coin, Inc. Paragon Coin, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 33-10575 https://www.sec.gov/litigation/admin/2018/33-10575.pdf 2018-11-16 AirFox Carrier EQ, Inc. d/b/a AirFox Clayton Approved Stein Approved Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 34-84614 https://www.sec.gov/rules/other/2018/34-84614.pdf 2018-11-16 Petition for review of the Division's suspension and institution of proceedings to determine whether to approve or disapprove, pursuant to delegated authority, a BOX Exchange LLC proposed rule change to amend the fee schedule of the BOX Market LLC options facility to establish BOX connectivity fees for participants and non-participants who connect to the BOX network (SR-BOX-2018-24) BOX Exchange LLC Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84615 https://www.sec.gov/litigation/opinions/2018/34-84615.pdf 2018-11-16 Cynthia C. Reinhart, CPA Reinhart, Cynthia C. CPA Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84541 https://www.sec.gov/rules/final/2018/34-84541.pdf 2018-11-06 NMS Stock Alternative Trading Systems Regulation of NMS Stock Alternative Trading Systems; Final rule; technical correction Clayton Approved Stein Approved Jackson Approved Peirce Approved 34-84543 https://www.sec.gov/litigation/suspensions/2018/34-84543.pdf Order 2018-11-06 Vitality Biopharma, Inc. Vitality Biopharma, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IA-5061 https://www.sec.gov/litigation/admin/2018/ia-5061.pdf 2018-11-06 Pennant Management, Inc. Pennant Management, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved IA-5062 https://www.sec.gov/litigation/admin/2018/ia-5062.pdf 2018-11-06 Pennant Management, Inc. Elste, Mark A. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10571 https://www.sec.gov/litigation/admin/2018/33-10571.pdf 2018-11-07 Certain ADR Issuers Citibank, N.A. Clayton Not Participating Stein Approved Jackson Approved Peirce Approved Roisman Approved 33-10572 https://www.sec.gov/litigation/admin/2018/33-10572.pdf 2018-11-07 ITG Inc. ITG Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved AlterNet Securities, Inc. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved 34-84553 https://www.sec.gov/litigation/admin/2018/34-84553.pdf 2018-11-08 Certain Decentralized Digital Asset Platforms Coburn, Zachary Clayton Approved Stein Approved with Exception Approved except as to the settlement. Jackson Approved Peirce Approved with Exception Approved except as to the penalty. Roisman Approved 34-84563 https://www.sec.gov/litigation/admin/2018/34-84563.pdf 2018-11-09 American Life, Inc. Qi, Steve Esq. Clayton Approved Stein Approved Piwowar Approved 34-84564 https://www.sec.gov/litigation/admin/2018/34-84564.pdf 2018-11-09 J.P. Turner & Company, L.L.C. Palermo, Salvadore D. Clayton Approved Stein Approved Jackson Approved Peirce Approved IA-5064 https://www.sec.gov/litigation/admin/2018/ia-5064.pdf 2018-11-09 Woodley & Co. Wealth Strategies Eldrick E. Woodley d/b/a Woodley & Co. Wealth Strategies White Approved Stein Not Participating Piwowar Approved 34-84525 https://www.sec.gov/litigation/admin/2018/34-84525.pdf 2018-11-02 Fisher, Mark E. Esq. Clayton Approved Stein Approved Jackson Approved Peirce Approved Roisman Approved