Order Granting Second Extension

2013-11-19 107 7 2013-10-07 2013-10-11 Securities Act of 1933 33 9463 9465 Securities Exchange Act of 1934 34 70616 70681 Accounting and Auditing Enforcement Release AAER 3506 3507 Administrative Proceeding AP 940 953 Investment Advisers Act of 1940 IA 3687 3691 Investment Company Act of 1940 IC 30741 30741 Initial Decision ID 507 508 Litigation Release LR 22834 22843 33-9463 http://www.sec.gov/litigation/opinions/2013/33-9463.pdf 34-70621 IA-3687 IC-30741 3-15015 2013-10-07 Order Granting Second Extension Order Bresner, Michael Calabro, Ralph Konner, Jason Koutsoubos, Dimitrios N/A 33-9464 http://www.sec.gov/litigation/opinions/2013/33-9464.pdf 34-70631 3-15020 2013-10-08 Order Dismissing Proceeding Order Bauer, Jilaine H., Esq. N/A 33-9465 http://www.sec.gov/litigation/opinions/2013/33-9465.pdf 34-70639 3-14266 2013-10-09 Corrected Order Denying Motions for Reconsideration and a Stay Order Clifton, Johnny N/A 34-70616 http://www.sec.gov/litigation/admin/2013/34-70616.pdf 3-15498 2013-10-07 Order Making Findings and Revoking Registrations by Default Order Prolink Holdings Corp. RPM Technologies, Inc. SARS Corp. Secured Digital Storage Corp. Siboney Corp. SiriCOMM, Inc. Standard Management Corp. N/A 34-70617 http://www.sec.gov/rules/sro/msrb/2013/34-70617.pdf SR-MSRB-2013-06 2013-10-07 Notice / of Withdrawal to Amend MSRB Rule A-3, on Membership on the Board, to Modify the Standard of Independence for Public Board Members SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/78-FR-62780 78 FR 62780 34-70618 http://www.sec.gov/rules/sro/cboe/2013/34-70618.pdf SR-CBOE-2013-093 2013-10-07 Notice / to Amend Rule 6.42 SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/78-FR-62887 78 FR 62887 34-70619 http://www.sec.gov/rules/sro/finra/2013/34-70619.pdf SR-FINRA-2013-027 2013-10-07 Order / Relating to Amendments to FINRA Rules 2360 and 4210 in Connection with OCC Cleared Over-the-Counter Options SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/78-FR-62722 78 FR 62722 34-70620 http://www.sec.gov/litigation/opinions/2013/34-70620.pdf 3-15432 2013-10-07 Order Denying Stay Order Atlantis Internet Group Corporation N/A 34-70621 http://www.sec.gov/litigation/opinions/2013/33-9463.pdf 33-9463 IA-3687 IC-30741 3-15015 2013-10-07 Order Granting Second Extension Order Bresner, Michael Calabro, Ralph Konner, Jason Koutsoubos, Dimitrios N/A 34-70622 http://www.sec.gov/litigation/admin/2013/34-70622.pdf 3-15496 2013-10-08 Order Making Findings and Revoking Registration AP Settled Explortex Energy, Inc. N/A 34-70623 http://www.sec.gov/rules/sro/byx/2013/34-70623.pdf SR-BYX-2013-037 2013-10-08 Notice / Immediate Effectiveness to Add a Reference to Rule 10C-1 Under the Exchange Act in the Exchange's Rules Concerning Unlisted Trading Privileges SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/78-FR-62777 78 FR 62777 34-70624 http://www.sec.gov/rules/sro/nysearca/2013/34-70624.pdf SR-NYSEARCA-2013-101 2013-10-08 Notice / to List and Trade Shares of the Wisdom Tree Bloomberg U.S. Dollar Bullish Fund, Wisdom Tree Bloomberg U.S. Dollar Bearish Fund, and the WisdomTree Commodity Currency Bearish Fund under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/78-FR-62751 78 FR 62751 34-70625 http://www.sec.gov/rules/sro/edga/2013/34-70625.pdf SR-EDGA-2013-29 2013-10-08 Notice / Immediate Effectiveness to Amend EDGA Rules 3.2, 13.3, and Adopt Rule 12.14, Front Running of Block Transactions to Conform with the Rules of Other Self-Regulatory Organizations SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/78-FR-62842 78 FR 62842 34-70626 http://www.sec.gov/rules/sro/edgx/2013/34-70626.pdf SR-EDGX-2013-36 2013-10-08 Notice / Immediate Effectiveness to Amend EDGX Rules 3.2, 13.3, and Adopt Rule 12.14, Front Running of Block Transactions to Conform with the Rules of Other Self-Regulatory Organizations SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/78-FR-62855 78 FR 62855 34-70627 http://www.sec.gov/rules/sro/nasdaq/2013/34-70627.pdf SR-NASDAQ-2013-130 2013-10-08 Notice / Immediate Effectiveness to Adopt New Regulatory Fees Payable by Certain Listed Companies and Applicants SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/78-FR-62726 78 FR 62726 34-70628 http://www.sec.gov/rules/sro/nyse/2013/34-70628.pdf SR-NYSE-2013-68 2013-10-08 Notice / Amending Section 907.00 Of The Listed Company Manual to Expand The Suite of Complimentary Products and Services That Are Offered to Certain Current and Newly Listed Companies SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/78-FR-62889 78 FR 62889 34-70629 http://www.sec.gov/rules/sro/phlx/2013/34-70629.pdf SR-PHLX-2013-100 2013-10-08 Notice / Immediate Effectiveness to Delay the Implementation of the Options Floor Broker Management System SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/78-FR-62852 78 FR 62852 34-70630 http://www.sec.gov/rules/sro/phlx/2013/34-70630.pdf SR-PHLX-2013-96 2013-10-08 Notice / Immediate Effectiveness to Amend the Table of Contents of the Pricing Schedule SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/78-FR-62774 78 FR 62774 34-70631 http://www.sec.gov/litigation/opinions/2013/33-9464.pdf 33-9464 3-15020 2013-10-08 Order Dismissing Proceeding Order Bauer, Jilaine H., Esq. N/A 34-70632 http://www.sec.gov/litigation/opinions/2013/34-70632.pdf 3-13678 2013-10-08 Order Remanding Proceeding to Registered Securities Association Order Saad, John M.E. N/A 34-70633 http://www.sec.gov/litigation/admin/2013/34-70633.pdf 3-15553 2013-10-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Wilson, Arn N/A 34-70634 http://www.sec.gov/litigation/admin/2013/34-70634.pdf 3-15464 2013-10-09 Order Making Findings and Revoking Registrations by Default Order Hydrogen Corp. QueryObject Systems Corp. Security Intelligence Technologies, Inc. Skins, Inc. SLM Holdings, Inc. Spring Creek Healthcare Systems, Inc. Startech Environmental Corp. N/A 34-70635 http://www.sec.gov/litigation/admin/2013/34-70635.pdf 3-15439 2013-10-09 Order Making Findings and Revoking Registration AP Settled Chartwell International, Inc. (n/k/a Covalent Energy International, Inc.) N/A 34-70636 http://www.sec.gov/rules/sro/topaz/2013/34-70636.pdf SR-TOPAZ-2013-05 2013-10-09 Notice / Immediate Effectiveness Related to PIM and Penny Pilot Periods SRO Filing Topaz Exchange, LLC http://www.federalregister.gov/citation/78-FR-62836 78 FR 62836 34-70637 http://www.sec.gov/rules/sro/nysearca/2013/34-70637.pdf SR-NYSEARCA-2013-92 2013-10-09 Notice / to Amend NYSE Arca Equities Rules 7.31, 7.32, 7.37, and 7.38 in Order to Comprehensively Update Rules Related to the Exchange's Order Types and Modifiers SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/78-FR-62745 78 FR 62745 34-70638 http://www.sec.gov/rules/sro/nasdaq/2013/34-70638.pdf SR-NASDAQ-2013-107 2013-10-09 Order / Relating to the Listing and Trading of the Shares of the First Trust Global Tactical Commodity Strategy Fund of First Trust Exchange-Traded Fund VII SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/78-FR-62834 78 FR 62834 34-70639 http://www.sec.gov/litigation/opinions/2013/33-9465.pdf 33-9465 3-14266 2013-10-09 Corrected Order Denying Motions for Reconsideration and a Stay Order Clifton, Johnny N/A 34-70640 http://www.sec.gov/litigation/admin/2013/34-70640.pdf 3-15554 2013-10-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Berg, Mark Steven N/A 34-70641 http://www.sec.gov/litigation/admin/2013/34-70641.pdf 3-15555 2013-10-09 Order of Suspension Order Weisberg, Martin E. N/A 34-70642 http://www.sec.gov/litigation/admin/2013/34-70642.pdf IA-3689 3-15556 2013-10-09 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Geidel, Timothy J. N/A 34-70643 http://www.sec.gov/rules/sro/topaz/2013/34-70643.pdf SR-TOPAZ-2013-07 2013-10-09 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing Topaz Exchange, LLC http://www.federalregister.gov/citation/78-FR-62764 78 FR 62764 34-70644 http://www.sec.gov/rules/sro/topaz/2013/34-70644.pdf SR-TOPAZ-2013-06 2013-10-09 Notice / Immediate Effectiveness Related to Market Maker Risk Parameters SRO Filing Topaz Exchange, LLC http://www.federalregister.gov/citation/78-FR-62785 78 FR 62785 34-70645 http://www.sec.gov/litigation/admin/2013/34-70645.pdf 3-15557 2013-10-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Petrozzo, Robert N/A 34-70646 http://www.sec.gov/litigation/admin/2013/34-70646.pdf 3-15558 2013-10-09 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Jones, Corbin N/A 34-70647 http://www.sec.gov/rules/sro/ise/2013/34-70647.pdf SR-ISE-2013-50 2013-10-09 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/78-FR-62901 78 FR 62901 34-70648 http://www.sec.gov/litigation/admin/2013/34-70648.pdf 3-12907 2013-10-09 Order Directing Disbursement of Fair Fund Order Morgan Stanley & Co., Incorporated N/A 34-70649 http://www.sec.gov/litigation/admin/2013/34-70649.pdf 3-15559 2013-10-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Kirschner, Peter D. N/A 34-70650 http://www.sec.gov/litigation/admin/2013/34-70650.pdf 3-15560 2013-10-09 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Moore, Shawn H. N/A 34-70651 http://www.sec.gov/litigation/admin/2013/34-70651.pdf 3-15561 2013-10-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Rubens, Stuart M. N/A 34-70652 http://www.sec.gov/rules/sro/nyse/2013/34-70652.pdf SR-NYSE-2013-66 2013-10-10 Notice / Immediate Effectiveness Amending Rule 2 to Specify That The Definition of An Approved Person Does Not Include A Governmental Entity and Amending Rule 304 to Provide That If A Governmental Entity Directly or Indirectly Owns A Member Organization SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/78-FR-62915 78 FR 62915 34-70653 http://www.sec.gov/rules/sro/nysemkt/2013/34-70653.pdf SR-NYSEMKT-2013-79 2013-10-10 Notice / Immediate Effectiveness Amending Rule 2 -- Equities to Specify that the Definition of An Approved Person Does Not Include A Governmental Entity and Amending Rule 304 -- Equities To Provide That If A Governmental Entity Directly or Indirectly Owns SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/78-FR-62928 78 FR 62928 34-70654 http://www.sec.gov/rules/sro/phlx/2013/34-70654.pdf SR-PHLX-2013-76 2013-10-10 Order / Relating to the Discontinuation of the Differentiation of Price Improvement XL Orders of Less Than 50 Contracts SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/78-FR-62891 78 FR 62891 34-70655 http://www.sec.gov/rules/sro/bx/2013/34-70655.pdf SR-BX-2013-054 2013-10-10 Notice / to Amend the Fee Schedule under Exchange Rule 7018(a) with Respect to Transactions in Securities Priced at $1 per Share or Greater SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/78-FR-62841 78 FR 62841 34-70656 http://www.sec.gov/litigation/admin/2013/34-70656.pdf 3-15562 2013-10-10 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Gasarch, Mark N/A 34-70657 http://www.sec.gov/rules/sro/ise/2013/34-70657.pdf SR-ISE-2013-51 2013-10-10 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/78-FR-62899 78 FR 62899 34-70658 http://www.sec.gov/litigation/admin/2013/34-70658.pdf AAER-3506 3-15563 2013-10-10 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lazorchak, John (CPA) N/A 34-70659 http://www.sec.gov/litigation/admin/2013/34-70659.pdf AAER-3507 3-15564 2013-10-10 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Cupo, Mark S. (CPA) N/A 34-70660 http://www.sec.gov/litigation/admin/2013/34-70660.pdf 3-15439 2013-10-11 Order Making Findings and Revoking Registration by Default Order First Sun South Corp. N/A 34-70661 http://www.sec.gov/litigation/admin/2013/34-70661.pdf 3-15449 2013-10-11 Order Making Findings and Revoking Registrations by Default Order Crescent Moon, Inc. Financial Ventures, Inc. Fire From Ice, Inc. (f/k/a Roman Acquisition Corp.) Freeman Technologies Corp. Great American Recreation, Inc. N/A 34-70662 http://www.sec.gov/rules/sro/bats/2013/34-70662.pdf SR-BATS-2013-056 2013-10-11 Notice / to Amend Rule 12.6 to Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/78-FR-62828 78 FR 62828 34-70663 http://www.sec.gov/rules/sro/byx/2013/34-70663.pdf SR-BYX-2013-036 2013-10-11 Notice / to Amend Rule 12.6 to Conform to FINRA Rule 5320 Relating to Trading Ahead of Customer Orders SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/78-FR-62896 78 FR 62896 34-70664 http://www.sec.gov/rules/sro/bats/2013/34-70664.pdf SR-BATS-2013-054 2013-10-11 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/78-FR-62804 78 FR 62804 34-70665 http://www.sec.gov/rules/sro/byx/2013/34-70665.pdf SR-BYX-2013-035 2013-10-11 Notice / Immediate Effectiveness Related to Fees for Use of BATS Y-Exchange, Inc. SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/78-FR-62926 78 FR 62926 34-70666 http://www.sec.gov/rules/sro/byx/2013/34-70666.pdf SR-BYX-2013-034 2013-10-11 Notice / Immediate Effectiveness Related to Fees for Use of BATS Y-Exchange, Inc. SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/78-FR-62907 78 FR 62907 34-70667 http://www.sec.gov/alj/aljdec/2013/34-70667.pdf 3-15189 2013-10-11 Notice that Initial Decision has Become Final Notice Benger, Stefan H. N/A 34-70668 http://www.sec.gov/rules/sro/box/2013/34-70668.pdf SR-BOX-2013-48 2013-10-11 Notice / Immediate Effectiveness to Amend Interpretive Material to Rule 5050 and Rule 6090 SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/78-FR-62771 78 FR 62771 34-70669 http://www.sec.gov/rules/sro/edgx/2013/34-70669.pdf SR-EDGX-2013-38 2013-10-11 Notice / Immediate Effectiveness Relating to Amendments to the EDGX Exchange, Inc. Fee Schedule SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/78-FR-62778 78 FR 62778 34-70670 http://www.sec.gov/rules/sro/topaz/2013/34-70670.pdf SR-TOPAZ-2013-08 2013-10-11 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing Topaz Exchange, LLC http://www.federalregister.gov/citation/78-FR-62815 78 FR 62815 34-70671 http://www.sec.gov/rules/sro/box/2013/34-70671.pdf SR-BOX-2013-46 2013-10-11 Notice / Immediate Effectiveness to Amend BOX Rule 3130 (Exemptions for Position Limits) SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/78-FR-62765 78 FR 62765 34-70672 http://www.sec.gov/rules/sro/box/2013/34-70672.pdf SR-BOX-2013-47 2013-10-11 Notice / Immediate Effectiveness to Amend BOX Rule 8040 SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/78-FR-62860 78 FR 62860 34-70673 http://www.sec.gov/rules/sro/phlx/2013/34-70673.pdf SR-PHLX-2013-99 2013-10-11 Notice / Immediate Effectiveness Clarifying Rule 1014 Regarding Daily Quoting Obligations SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/78-FR-62780 78 FR 62780 34-70674 http://www.sec.gov/rules/sro/nysemkt/2013/34-70674.pdf SR-NYSEMKT-2013-80 2013-10-11 Notice / Immediate Effectiveness to Adopt Price Protection Filters for Electronic Complex Orders SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/78-FR-62917 78 FR 62917 34-70675 http://www.sec.gov/rules/sro/dtc/2013/34-70675.pdf SR-DTC-2013-10 2013-10-11 Order / to Terminate the Sealed Envelope Service, Which is Part of The Depository Trust Company's Custody Service SRO Filing Depository Trust Company http://www.federalregister.gov/citation/78-FR-62827 78 FR 62827 34-70676 http://www.sec.gov/rules/sro/finra/2013/34-70676.pdf SR-FINRA-2013-042 2013-10-11 Notice / to Require Alternative Trading Systems to Report Volume Information to FINRA and Use Unique Market Participant Identifiers SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/78-FR-62862 78 FR 62862 34-70677 http://www.sec.gov/rules/sro/nysearca/2013/34-70677.pdf SR-NYSEARCA-2013-103 2013-10-11 Notice / Immediate Effectiveness Adding a New Rule to Adopt Price Protection Filters for Electronic Complex Orders SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/78-FR-62923 78 FR 62923 34-70678 http://www.sec.gov/litigation/admin/2013/34-70678.pdf IA-3691 3-15566 2013-10-11 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Fraiman, Jonathan N/A 34-70679 http://www.sec.gov/litigation/admin/2013/34-70679.pdf 3-15567 2013-10-11 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mulholland, James C. N/A 34-70680 http://www.sec.gov/litigation/admin/2013/34-70680.pdf 3-15568 2013-10-11 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mulholland, Thomas S. N/A 34-70681 http://www.sec.gov/litigation/suspensions/2013/34-70681.pdf 500-1 2013-10-11 Trading Suspension Trading Suspension Pacific Clean Water Technologies, Inc. http://www.federalregister.gov/citation/78-FR-62931 78 FR 62931 AAER-3506 http://www.sec.gov/litigation/admin/2013/34-70658.pdf 34-70658 3-15563 2013-10-10 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lazorchak, John (CPA) N/A AAER-3507 http://www.sec.gov/litigation/admin/2013/34-70659.pdf 34-70659 3-15564 2013-10-10 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Cupo, Mark S. (CPA) N/A AP-940 http://www.sec.gov/alj/aljorders/2013/ap-940.pdf 3-15263 2013-10-07 Order Order Zavanelli, Max E. ZPR Investment Management, Inc. N/A AP-941 http://www.sec.gov/alj/aljorders/2013/ap-941.pdf 3-15551 2013-10-07 Order Scheduling Hearing and Designating Presiding Judge Order China Ritar Power Corp. N/A AP-942 http://www.sec.gov/alj/aljorders/2013/ap-942.pdf 3-15446 2013-10-08 Order Following Prehearing Conference Order Drennan, Douglas F. J.S. Oliver Capital Management, L.P. Mausner, Ian O. N/A AP-943 http://www.sec.gov/alj/aljorders/2013/ap-943.pdf 3-15453 2013-10-08 Order Following Prehearing Conference Order China Cablecom Holdings Ltd., n/k/a China Cablecom Ltd. N/A AP-944 http://www.sec.gov/alj/aljorders/2013/ap-944.pdf 3-15497 2013-10-08 Order Postponing Hearing and Scheduling Prehearing Conference Order A.G. Volney Center, Inc. (f/k/a Buddha Steel, Inc.) China Green Material Technologies, Inc. China Tractor Holdings, Inc. Franklin Towers Enterprises, Inc. N/A AP-945 http://www.sec.gov/alj/aljorders/2013/ap-945.pdf 3-15495 2013-10-08 Order Postponing Hearing and Scheduling Prehearing Conference Order G-2 Trading LLC N/A AP-946 http://www.sec.gov/alj/aljorders/2013/ap-946.pdf 3-15515 2013-10-08 Order Postponing Hearing and Scheduling Prehearing Conference Order Skyview Holdings Corp. Stonecrest One, Inc. Sunstates Corp. Tetragenex Pharmaceuticals, Inc. TIA III, Inc. (n/k/a PTL Energy, Inc.) TIA IV, Inc. Ultimate Indoor Football League, Inc. United States Oil and Gas Corp. N/A AP-947 http://www.sec.gov/alj/aljorders/2013/ap-947.pdf 3-15498 2013-10-08 Order Canceling Hearing Order Municipal Mortgage & Equity LLC Prolink Holdings Corp. RPM Technologies, Inc. SARS Corp. Secured Digital Storage Corp. Siboney Corp. SiriCOMM, Inc. Standard Management Corp. N/A AP-948 http://www.sec.gov/alj/aljorders/2013/ap-948.pdf 3-15506 2013-10-09 Order to Show Cause and Scheduling Prehearing Conference Order Home System Group N/A AP-949 http://www.sec.gov/alj/aljorders/2013/ap-949.pdf 3-15499 2013-10-09 Order to Show Cause and Postponing Hearing and Scheduling Prehearing Conference Order Patch International, Inc. QuadTech International, Inc. Strategic Resources, Ltd. Virtual Medical Centre, Inc. N/A AP-950 http://www.sec.gov/alj/aljorders/2013/ap-950.pdf 3-15496 2013-10-09 Order to Show Cause and Scheduling Prehearing Conference Order American Energy Production, Inc. Best Energy Services, Inc. Community Central Bank Corporation Explortex Energy, Inc. Hemobiotech, Inc. Larrea Biosciences Corporation MBI Financial, Inc. Million Dollar Saloon, Inc. N/A AP-951 http://www.sec.gov/alj/aljorders/2013/ap-951.pdf 3-15514 2013-10-09 Order Converting Scheduled Hearing to Prehearing Conference and Extending Time to Answer Order Instituting Proceedings Order Anthony, Donald J., Jr. Chiappone, Frank H. Feldmann, Richard D. Gamello, William P. Guzzetti, Andrew G. Lex, William F. Livingston, Thomas E. Mayer, Brian T. Rabinovich, Philip S. Rogers, Ryan C. N/A AP-952 http://www.sec.gov/alj/aljorders/2013/ap-952.pdf 3-15005 2013-10-10 Postponement Order Order China Sky One Medical, Inc. N/A AP-953 http://www.sec.gov/alj/aljorders/2013/ap-953.pdf 3-15263 2013-10-11 Order Order ZPR Investment Management, Inc. N/A IA-3687 http://www.sec.gov/litigation/opinions/2013/33-9463.pdf 33-9463 34-70621 IC-30741 3-15015 2013-10-07 Order Granting Second Extension Order Bresner, Michael Calabro, Ralph Konner, Jason Koutsoubos, Dimitrios N/A IA-3688 http://www.sec.gov/litigation/admin/2013/ia-3688.pdf 3-15552 2013-10-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lee, Richard N/A IA-3689 http://www.sec.gov/litigation/admin/2013/34-70642.pdf 34-70642 3-15556 2013-10-09 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Geidel, Timothy J. N/A IA-3690 http://www.sec.gov/litigation/admin/2013/ia-3690.pdf 3-15565 2013-10-11 Order Instituting Administrative Proceedings, Making Findings, an Imposing Remedial Sanctions AP Settled Morriss, Burton Douglas N/A IA-3691 http://www.sec.gov/litigation/admin/2013/34-70678.pdf 34-70678 3-15566 2013-10-11 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Fraiman, Jonathan N/A IC-30741 http://www.sec.gov/litigation/opinions/2013/33-9463.pdf 33-9463 34-70621 IA-3687 3-15015 2013-10-07 Order Granting Second Extension Order Bresner, Michael Calabro, Ralph Konner, Jason Koutsoubos, Dimitrios N/A ID-507 http://www.sec.gov/alj/aljdec/2013/id507ce.pdf 3-15124 2013-10-08 Initial Decision Initial Decision Bandimere, David F. N/A ID-508 http://www.sec.gov/alj/aljdec/2013/id508ce.pdf 3-15240 2013-10-09 Initial Decision Initial Decision Seeley, Christopher A. N/A LR-22834 http://www.sec.gov/litigation/litreleases/2013/lr22834.htm 12 CIV. 5009 2013-10-07 Enforcement Case Bao, ThanhHa Nguyen, Tai N/A LR-22835 http://www.sec.gov/litigation/litreleases/2013/lr22835.htm 12-CV-14663 2013-10-07 Enforcement Case Mulholland, James C., Jr. Mulholland, Thomas S. N/A LR-22836 http://www.sec.gov/litigation/litreleases/2013/lr22836.htm 1:12-CV-11489-MBB 2013-10-08 Enforcement Case Fraiman, Jonathan N/A LR-22837 http://www.sec.gov/litigation/litreleases/2013/lr22837.htm 13-CV-5364 (KORMAN J.) 2013-10-09 Enforcement Case Ling, Lee Chi Perfect Genius Limited N/A LR-22838 http://www.sec.gov/litigation/litreleases/2013/lr22838.htm CR13-0733 2013-10-09 Enforcement Case Scammell, Toby G. N/A LR-22839 http://www.sec.gov/litigation/litreleases/2013/lr22839.htm 3:13-CR-00347-K 2013-10-10 Enforcement Case Cantu, Martin Wynn, Jason N/A LR-22840 http://www.sec.gov/litigation/litreleases/2013/lr22840.htm 13-CV-3669 (GF) 2013-10-10 Enforcement Case Capital Management Associates, Inc. Dushek, Charles J. Dushek, Charles S. N/A LR-22841 http://www.sec.gov/litigation/litreleases/2013/lr22841.htm 13-CIV-1080 (JSR) 2013-10-10 Enforcement Case Terpins, Michel Terpins, Rodrigo N/A LR-22842 http://www.sec.gov/litigation/litreleases/2013/lr22842.htm 2:13-CV-01151 2013-10-11 Enforcement Case Enea, Michael R. N/A LR-22843 http://www.sec.gov/litigation/litreleases/2013/lr22843.htm 12-CV-8202 2013-10-11 Enforcement Case Hochfeld Capital Management, L.L.C. Hochfeld, Berton M. N/A