2014-04-21
108
10
2014-03-17
2014-03-21
Securities Act of 1933
33
9562
9563
Securities Exchange Act of 1934
34
71730
71771
Accounting and Auditing Enforcement Release
AAER
3543
3544
Administrative Proceeding
AP
1310
1332
Investment Advisers Act of 1940
IA
3797
3803
Investment Company Act of 1940
IC
30983
30989
Initial Decision
ID
576
581
Litigation Release
LR
22945
22949
33-9562
http://www.sec.gov/rules/other/2014/33-9562.pdf
34-71742
IA-3799
4-673
2014-03-19
Notice of roundtable discussion; request for comment
Notice
Cybersecurity Roundtable
http://www.federalregister.gov/citation/79-FR-16071
79 FR 16071
33-9563
http://www.sec.gov/rules/other/2014/33-9563.pdf
34-71771
IA-3803
IC-30989
S7-04-14
2014-03-21
Notice of Semi-Annual Regulatory Agenda
Notice
Regulatory Flexibility Agenda
http://www.federalregister.gov/citation/79-FR-34208
79 FR 34208
34-71730
http://www.sec.gov/rules/sro/nysemkt/2014/34-71730.pdf
SR-NYSEMKT-2014-19
2014-03-18
Notice / Immediate Effectiveness Amending its Price List to Specify Pricing Applicable to Executions of Mid-Point Passive Liquidity Orders Against Retail Orders Within the Retail Liquidity Program
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/79-FR-16085
79 FR 16085
34-71731
http://www.sec.gov/rules/sro/phlx/2014/34-71731.pdf
SR-PHLX-2014-16
2014-03-18
Notice / Immediate Effectiveness to Provide that Market Maker Complex Orders Cannot Initiate a Complex Order Live Auction
SRO Filing
NASDAQ OMX PHLX LLC
http://www.federalregister.gov/citation/79-FR-16083
79 FR 16083
34-71732
http://www.sec.gov/litigation/admin/2014/34-71732.pdf
3-15796
2014-03-18
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Cabello, Gary Allen
N/A
34-71733
http://www.sec.gov/rules/sro/nysearca/2014/34-71733.pdf
SR-NYSEARCA-2014-04
2014-03-18
Notice / Designation of Longer Period for Commission Action to Amend its Rules by Revising the Order of Priority of Bids and Offers when Executing Orders in Open Outcry
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-16072
79 FR 16072
34-71734
http://www.sec.gov/litigation/admin/2014/34-71734.pdf
IA-3797
3-15797
2014-03-18
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Brady, Michael Aaron
N/A
34-71735
http://www.sec.gov/litigation/admin/2014/34-71735.pdf
3-15798
2014-03-18
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Coplan, Jenny E.
N/A
34-71736
http://www.sec.gov/rules/sro/bats/2014/34-71736.pdf
SR-BATS-2014-007
2014-03-18
Notice / to List and Trade Shares of Certain Funds of the ProShares Trust
SRO Filing
BATS Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-16073
79 FR 16073
34-71737
http://www.sec.gov/litigation/admin/2014/34-71737.pdf
3-15179
2014-03-18
Order Making Findings and Imposing Remedial Sanctions
AP Settled
Alexander, Linda Dianne
N/A
34-71738
http://www.sec.gov/litigation/admin/2014/34-71738.pdf
IA-3798
3-15799
2014-03-18
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Montgomery, Michael D.
N/A
34-71739
http://www.sec.gov/litigation/admin/2014/34-71739.pdf
3-15800
2014-03-19
Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities
AP Settled
Bristol Rhace Natural Resource Corp.
N/A
34-71740
http://www.sec.gov/litigation/admin/2014/34-71740.pdf
3-15801
2014-03-19
Order Instituting Proceedings, Making Findings, and Revoking Registration
AP Settled
First State Bancorporation
N/A
34-71741
http://www.sec.gov/litigation/admin/2014/34-71741.pdf
3-15802
2014-03-19
Order Instituting Proceedings, Making Findings, and Revoking Registration
AP Settled
Tarcon Acquisitions I, Inc.
N/A
34-71742
http://www.sec.gov/rules/other/2014/33-9562.pdf
33-9562
IA-3799
4-673
2014-03-19
Notice of roundtable discussion; request for comment
Notice
Cybersecurity Roundtable
http://www.federalregister.gov/citation/79-FR-16071
79 FR 16071
34-71743
http://www.sec.gov/litigation/admin/2014/34-71743.pdf
3-15803
2014-03-19
Order Instituting Administrative Proceedings, Making Findings and Imposing Remedial Sanctions
AP Settled
Sharif, Feisal
N/A
34-71744
http://www.sec.gov/rules/sro/cboe/2014/34-71744.pdf
SR-CBOE-2014-024
2014-03-19
Notice / Immediate Effectiveness to Amend the Appointment Cost for CBOE Volatility Index (VIX) Options
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-16411
79 FR 16411
34-71745
http://www.sec.gov/rules/sro/dtc/2014/34-71745.pdf
SR-DTC-2013-11
2014-03-19
Notice / Amendment Nos. 1 and 2 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove to Specify Procedures Available to Issuers of Securities Deposited at DTC for Book Entry Services When DTC Imposes or Intends to Impose
SRO Filing
Depository Trust Company
http://www.federalregister.gov/citation/79-FR-16392
79 FR 16392
34-71746
http://www.sec.gov/rules/sro/bats/2014/34-71746.pdf
SR-BATS-2014-006
2014-03-19
Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc.
SRO Filing
BATS Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-16412
79 FR 16412
34-71747
http://www.sec.gov/rules/sro/edgx/2014/34-71747.pdf
SR-EDGX-2014-05
2014-03-19
Notice / to Adopt a New Order Type Called the Mid-Point Discretionary Order
SRO Filing
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-16401
79 FR 16401
34-71748
http://www.sec.gov/litigation/admin/2014/34-71748.pdf
3-15804
2014-03-19
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order
AP Settled
Halpern, Wilfred J., CPA
N/A
34-71749
http://www.sec.gov/rules/sro/nysemkt/2014/34-71749.pdf
SR-NYSEMKT-2014-20
2014-03-19
Notice / Immediate Effectiveness Expanding the Short-Term Option Series Program
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/79-FR-16388
79 FR 16388
34-71750
http://www.sec.gov/rules/sro/nysearca/2014/34-71750.pdf
SR-NYSEARCA-2014-24
2014-03-19
Notice / Immediate Effectiveness Expanding the Short-Term Option Series Program
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-16416
79 FR 16416
34-71751
http://www.sec.gov/rules/sro/occ/2014/34-71751.pdf
SR-OCC-2014-04
2014-03-19
Notice / Immediate Effectiveness to Make Administrative and Conforming Changes to Rename the Membership/Risk Committee to Risk Committee, Reflect the Renaming of the Chairman Title to Executive Chairman, and Reflect that Two Management Directors are on
SRO Filing
Options Clearing Corporation
http://www.federalregister.gov/citation/79-FR-16414
79 FR 16414
34-71752
http://www.sec.gov/litigation/admin/2014/34-71752.pdf
3-14594
2014-03-19
Order Granting Extension of Time to Submit Proposed Plan of Distribution
Order
Bhatt, Samir H.
Credit Suisse Alternative Capital, LLC f/k/a Credit Suisse Alternative Capital Inc.
Credit Suisse Asset Management, LLC
N/A
34-71753
http://www.sec.gov/litigation/admin/2014/34-71753.pdf
3-15805
2014-03-20
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
IVI Communications, Inc.
Omnicity Corp.
Precision Petroleum Corporation
PSB Group, Inc.
Sustainable Power Corp.
Whitehall Jewelers Holdings, Inc. (n/k/a WJ Holdings Liquidating Company)
N/A
34-71754
http://www.sec.gov/litigation/suspensions/2014/34-71754.pdf
500-1
2014-03-20
Trading Suspension
Trading Suspension
IVI Communications, Inc.
Omnicity Corp.
Precision Petroleum Corporation
PSB Group, Inc.
Sustainable Power Corp.
Whitehall Jewelers Holdings, Inc. (n/k/a WJ Holdings Liquidating Company)
http://www.federalregister.gov/citation/79-FR-16088
79 FR 16088
34-71755
http://www.sec.gov/litigation/admin/2014/34-71755.pdf
3-15806
2014-03-20
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Network Dealer Services Holding Corp.
NextFit, Inc.
Rocky Mountain Minerals, Inc.
Titan Technologies, Inc.
Trudy Corporation
UAGH, Inc.
Uranium 308 Corp.
N/A
34-71756
http://www.sec.gov/litigation/suspensions/2014/34-71756.pdf
500-1
2014-03-20
Trading Suspension
Trading Suspension
Network Dealer Services Holding Corp.
NextFit, Inc.
Rocky Mountain Minerals, Inc.
Titan Technologies, Inc.
Trudy Corporation
UAGH, Inc.
Uranium 308 Corp.
http://www.federalregister.gov/citation/79-FR-16088
79 FR 16088
34-71757
http://www.sec.gov/litigation/admin/2014/34-71757.pdf
IA-3800
3-15807
2014-03-20
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Felix Investments, LLC
Mazzola, Frank
N/A
34-71758
http://www.sec.gov/rules/sro/isegemini/2014/34-71758.pdf
SR-ISEGEMINI-2014-09
2014-03-20
Notice / Related to Market Maker Risk Parameters
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/79-FR-16846
79 FR 16846
34-71759
http://www.sec.gov/rules/sro/ise/2014/34-71759.pdf
SR-ISE-2014-09
2014-03-20
Notice / Related to Market Maker Risk Parameters
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/79-FR-16850
79 FR 16850
34-71760
http://www.sec.gov/rules/sro/ise/2014/34-71760.pdf
SR-ISE-2014-16
2014-03-20
Notice / Immediate Effectiveness to Amend the Schedule of Fees
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/79-FR-16848
79 FR 16848
34-71761
http://www.sec.gov/litigation/opinions/2014/34-71761.pdf
AAER-3543
3-15659
2014-03-20
Order Denying Petition to Lift Temporary Suspension and Directing Hearing
Order
Melvin, Thomas D., CPA
N/A
34-71762
http://www.sec.gov/litigation/suspensions/2014/34-71762.pdf
500-1
2014-03-21
Trading Suspension
Trading Suspension
Citadel EFT, Inc.
http://www.federalregister.gov/citation/79-FR-18110
79 FR 18110
34-71763
http://www.sec.gov/litigation/admin/2014/34-71763.pdf
3-15677
2014-03-21
Notice that Initial Decision Has Become Final
Notice
Aden Solutions Inc.
Lumonall, Inc.
Smart Comm International Ltd.
Tissera, Inc.
Ungava Mines, Inc.
Unity Wireless Corporation
Zupintra Corporation, Inc.
N/A
34-71764
http://www.sec.gov/rules/sro/cboe/2014/34-71764.pdf
SR-CBOE-2014-003
2014-03-21
Order / to List and Trade CBOE Short-Term Volatility Index Options
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-17212
79 FR 17212
34-71765
http://www.sec.gov/rules/sro/ise/2014/34-71765.pdf
SR-ISE-2014-17
2014-03-21
Notice / Immediate Effectiveness to Amend the Schedule of Fees
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/79-FR-17216
79 FR 17216
34-71766
http://www.sec.gov/litigation/admin/2014/34-71766.pdf
IA-3802
3-15809
2014-03-21
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Sullivan, Patrick J.
N/A
34-71767
http://www.sec.gov/rules/sro/nysearca/2014/34-71767.pdf
SR-NYSEARCA-2014-11
2014-03-21
Order / to List and Trade Shares of the SPDR SSgA Risk Aware ETF; SPDR SSgA Large Cap Risk Aware ETF; and SPDR SSgA Small Cap Risk Aware ETF under NYSE Arca Equities Rule 8.600
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-17206
79 FR 17206
34-71768
http://www.sec.gov/litigation/admin/2014/34-71768.pdf
3-15810
2014-03-21
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order
AP Settled
PHL Variable Insurance Company
Phoenix Companies, Inc.
N/A
34-71769
http://www.sec.gov/rules/sro/occ/2014/34-71769.pdf
SR-OCC-2014-05
2014-03-21
Notice / Immediate Effectiveness to Reflect the Elimination of a Discount to OCC's Clearing Fee Schedule
SRO Filing
Options Clearing Corporation
http://www.federalregister.gov/citation/79-FR-17214
79 FR 17214
34-71770
http://www.sec.gov/litigation/admin/2014/34-71770.pdf
AAER-3544
3-12105
2014-03-21
Order Granting Application for Reinstatement
Order
McDonald, Brendon P., CPA
N/A
34-71771
http://www.sec.gov/rules/other/2014/33-9563.pdf
33-9563
IA-3803
IC-30989
S7-04-14
2014-03-21
Notice of Semi-Annual Regulatory Agenda
Notice
Regulatory Flexibility Agenda
http://www.federalregister.gov/citation/79-FR-34208
79 FR 34208
AAER-3543
http://www.sec.gov/litigation/opinions/2014/34-71761.pdf
34-71761
3-15659
2014-03-20
Order Denying Petition to Lift Temporary Suspension and Directing Hearing
Order
Melvin, Thomas D., CPA
N/A
AAER-3544
http://www.sec.gov/litigation/admin/2014/34-71770.pdf
34-71770
3-12105
2014-03-21
Order Granting Application for Reinstatement
Order
McDonald, Brendon P., CPA
N/A
AP-1310
http://www.sec.gov/alj/aljorders/2014/ap-1310.pdf
3-15737
2014-03-18
Order
Order
Gonnella, Thomas C.
N/A
AP-1311
http://www.sec.gov/alj/aljorders/2014/ap-1311.pdf
3-15514
2014-03-18
Order Admitting Exhibits Offered by the Division of Enforcement
Order
Anthony, Donald J., Jr.
Chiappone, Frank H.
Feldmann, Richard D.
Gamelllo, William P.
Guzzetti, Andrew G.
Lex, William F.
Livingston, Thomas E.
Mayer, Brian T.
Rabinovich, Philip S.
Rogers, Ryan C.
N/A
AP-1312
http://www.sec.gov/alj/aljorders/2014/ap-1312.pdf
3-15574
2014-03-18
Order Following Prehearing Conference
Order
Chau, Wing F.
Harding Advisory LLC
N/A
AP-1313
http://www.sec.gov/alj/aljorders/2014/ap-1313.pdf
3-15755
2014-03-18
Order
Order
Feathers, Mark
N/A
AP-1314
http://www.sec.gov/alj/aljorders/2014/ap-1314.pdf
3-15544
2014-03-19
Order Following Second Prehearing Conference
Order
China Ruitai International Holdings Co., Ltd.
Ma, Dian Min
Ma, Gang
Tian, Jin
N/A
AP-1315
http://www.sec.gov/alj/aljorders/2014/ap-1315.pdf
3-15691
2014-03-19
Prehearing Order
Order
Rathgeber, James A.
N/A
AP-1316
http://www.sec.gov/alj/aljorders/2014/ap-1316.pdf
3-15753
2014-03-20
Stay Order
Order
Gordon, Michael
N/A
AP-1317
http://www.sec.gov/alj/aljorders/2014/ap-1317.pdf
3-15680
2014-03-20
Order Postponing Prehearing Conference
Order
Egeberg, Eugene M., III, CPA
N/A
AP-1318
http://www.sec.gov/alj/aljorders/2014/ap-1318.pdf
3-15737
2014-03-20
Order Setting Prehearing Schedule
Order
Gonnella, Thomas C.
N/A
AP-1319
http://www.sec.gov/alj/aljorders/2014/ap-1319.pdf
3-15737
2014-03-20
General Prehearing Order
Order
Gonnella, Thomas C.
N/A
AP-1320
http://www.sec.gov/alj/aljorders/2014/ap-1320.pdf
3-15799
2014-03-20
Order Scheduling Hearing and Designating Presiding Judge
Order
Montgomery, Michael D.
N/A
AP-1321
http://www.sec.gov/alj/aljorders/2014/ap-1321.pdf
3-15696
2014-03-20
Order Postponing Prehearing Conference
Order
Hegedus, Shawn C.
N/A
AP-1322
http://www.sec.gov/alj/aljorders/2014/ap-1322.pdf
3-15798
2014-03-20
Order Scheduling Hearing and Designating Presiding Judge
Order
Coplan, Jenny E.
N/A
AP-1323
http://www.sec.gov/alj/aljorders/2014/ap-1323.pdf
3-15790
2014-03-20
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Cohen, Moshe Marc
Horowitz, Michael A.
N/A
AP-1324
http://www.sec.gov/alj/aljorders/2014/ap-1324.pdf
3-15781
2014-03-20
Order Postponing Hearing and Scheduling Prehearing Conference
Opinion
George Foreman Enterprises, Inc.
Mackay Life Sciences, Inc.
Reinsurance Technologies, Ltd., a/k/a Solutions Technology International, Inc.
Tire International Environmental Solutions, Inc.
Watchit Technologies, Inc.
Weststar Financial Services Corporation
Worldspace, Inc.
N/A
AP-1325
http://www.sec.gov/alj/aljorders/2014/ap-1325.pdf
3-15215
2014-03-21
Order
Order
Tagliaferri, James S.
N/A
AP-1326
http://www.sec.gov/alj/aljorders/2014/ap-1326.pdf
3-15249
2014-03-21
Order
Order
Assensus Capital Management, LLC
Assensus Capital, LLC
Berkman, Craig, d/b/a Ventures Trust LLC
Face Off Acquisitions, LLC
Face Off Management, LLC, a/k/a Face Off Acquisitions Management, LLC
Kern, John B.
Ventures Trust Asset Fund LLC
Ventures Trust Asset Management, LLC, a/k/a Ventures Trust II Asset Management, LLC
Ventures Trust II LLC
Ventures Trust III LLC
Ventures Trust IV LLC
Ventures Trust Management LLC
Ventures Trust V LLC
Ventures Trust VI LLC
N/A
AP-1327
http://www.sec.gov/alj/aljorders/2014/ap-1327.pdf
3-15784
2014-03-21
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Theodule, George Louis
N/A
AP-1328
http://www.sec.gov/alj/aljorders/2014/ap-1328.pdf
3-15805
2014-03-21
Order Scheduling Hearing and Designating Presiding Judge
Order
IVI Communications, Inc.
Omnicity Corp.
Precision Petroleum Corporation
PSB Group, Inc.
Sustainable Power Corp.
Whitehall Jewelers Holdings, Inc., n/k/a WJ Holdings Liquidating Company
N/A
AP-1329
http://www.sec.gov/alj/aljorders/2014/ap-1329.pdf
3-15808
2014-03-21
Order Scheduling Hearing and Designating Presiding Judge
Order
Johnson, Aaron Jousan
N/A
AP-1330
http://www.sec.gov/alj/aljorders/2014/ap-1330.pdf
3-15806
2014-03-21
Order Scheduling Hearing and Designating Presiding Judge
Order
Network Dealer Services Holding Corp.
NextFit, Inc.
Rocky Mountain Minerals, Inc.
Titan Technologies, Inc.
Trudy Corporation
UAGH, Inc.
Uranium 308 Corp.
N/A
AP-1331
http://www.sec.gov/alj/aljorders/2014/ap-1331.pdf
3-15446
2014-03-21
Order On Transcript Corrections
Order
Drennan, Douglas F.
J. S. Oliver Capital Management, L.P.
Mausner, Ian O.
N/A
AP-1332
http://www.sec.gov/alj/aljorders/2014/ap-1332.pdf
3-15255
2014-03-21
Order
Order
Belesis, Anastasios "Tommy"
Jarkesy, George R., Jr.
John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC
John Thomas Financial, Inc.
N/A
IA-3797
http://www.sec.gov/litigation/admin/2014/34-71734.pdf
34-71734
3-15797
2014-03-18
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Brady, Michael Aaron
N/A
IA-3798
http://www.sec.gov/litigation/admin/2014/34-71738.pdf
34-71738
3-15799
2014-03-18
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Montgomery, Michael D.
N/A
IA-3799
http://www.sec.gov/rules/other/2014/33-9562.pdf
33-9562
34-71742
4-673
2014-03-19
Notice of roundtable discussion; request for comment
Notice
Cybersecurity Roundtable
http://www.federalregister.gov/citation/79-FR-16071
79 FR 16071
IA-3800
http://www.sec.gov/litigation/admin/2014/34-71757.pdf
34-71757
3-15807
2014-03-20
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Felix Investments, LLC
Mazzola, Frank
N/A
IA-3801
http://www.sec.gov/litigation/admin/2014/ia-3801.pdf
3-15808
2014-03-20
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Johnson, Aaron Jousan
N/A
IA-3802
http://www.sec.gov/litigation/admin/2014/34-71766.pdf
34-71766
3-15809
2014-03-21
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Sullivan, Patrick J.
N/A
IA-3803
http://www.sec.gov/rules/other/2014/33-9563.pdf
33-9563
34-71771
IC-30989
S7-04-14
2014-03-21
Notice of Semi-Annual Regulatory Agenda
Notice
Regulatory Flexibility Agenda
http://www.federalregister.gov/citation/79-FR-34208
79 FR 34208
IC-30983
http://www.sec.gov/rules/ic/2014/ic-30983.pdf
812-14160
2014-03-18
Order
Order
ALPS Distributors, Inc.
RiverNorth Capital Management, LLC
RiverNorth Funds
N/A
IC-30984
http://www.sec.gov/rules/ic/2014/ic-30984.pdf
812-14016
2014-03-18
Notice
Notice
HMS Income Fund, Inc. et al.
http://www.federalregister.gov/citation/79-FR-16066
79 FR 16066
IC-30985
http://www.sec.gov/rules/ic/2014/ic-30985.pdf
812-14134
2014-03-19
Notice
Notice
PennantPark Investment Corp., et al.
http://www.federalregister.gov/citation/79-FR-16384
79 FR 16384
IC-30986
http://www.sec.gov/rules/ic/2014/ic-30986.pdf
812-14231
2014-03-19
Notice
Notice
Virtus Alternative Investment Advisers, Inc.
Virtus Alternative Solutions Trust
http://www.federalregister.gov/citation/79-FR-16843
79 FR 16843
IC-30987
http://www.sec.gov/rules/ic/2014/ic-30987.pdf
812-14229
2014-03-21
Order
Order
Cohen & Steers Capital Managment, Inc.
Cohen & Steers ETF Trust
Cohen & Steers Securities, LLC
N/A
IC-30988
http://www.sec.gov/rules/ic/2014/ic-30988.pdf
812-14245
2014-03-21
Notice
Notice
Empowered Funds ETF Trust
Empowered Funds, LLC
http://www.federalregister.gov/citation/79-FR-17199
79 FR 17199
IC-30989
http://www.sec.gov/rules/other/2014/33-9563.pdf
33-9563
34-71771
IA-3803
S7-04-14
2014-03-21
Notice of Semi-Annual Regulatory Agenda
Notice
Regulatory Flexibility Agenda
http://www.federalregister.gov/citation/79-FR-34208
79 FR 34208
ID-576
http://www.sec.gov/alj/aljdec/2014/id576bpm.pdf
3-15650
2014-03-18
Initial Decision
Initial Decision
Enlightened Gourmet, Inc.
Eternal Image, Inc.
Maxconcept International Holdings, Inc.
NMT Medical, Inc.
N/A
ID-577
http://www.sec.gov/alj/aljdec/2014/id577bpm.pdf
3-15678
2014-03-19
Initial Decision
Initial Decision
Power Air Corporation
Wescorp Energy, Inc.
World Ventures, Inc.
N/A
ID-578
http://www.sec.gov/alj/aljdec/2014/id578bpm.pdf
3-15686
2014-03-19
Initial Decision
Initial Decision
Advanced Pipe Fitting Technologies Inc.
N/A
ID-579
http://www.sec.gov/alj/aljdec/2014/id579bpm.pdf
3-15669
2014-03-20
Initial Decision
Initial Decision
Environmental Energy Services, Inc.
IDI Global, Inc.
Inform Worldwide Holdings, Inc.
Iptimize, Inc.
NGEN, Inc. (a/k/a Nanogen, Inc.)
Patron Systems, Inc.
N/A
ID-580
http://www.sec.gov/alj/aljdec/2014/id580bpm.pdf
3-15729
3-15722
3-15725
3-15730
3-15718
3-15723
3-15728
3-15719
3-15726
3-15724
3-15717
3-15727
3-15731
3-15715
3-15732
3-15720
3-15733
3-15716
3-15721
3-15734
2014-03-20
Initial Decision
Initial Decision
Bonanza Resources Corp.
Braxton Resources, Inc.
Canyon Minerals Inc.
CBL Resources Inc.
Chum Mining Group, Inc.
Clearpoint Resources Inc.
Coronation Mining Corp.
Eclipse Resources Inc.
Gaspard Mining Inc.
Gold Camp Explorations Inc.
Goldstream Mining Inc.
Jewel Explorations Inc.
Kingman River Resources Inc.
La Paz Mining Corp.
Lost Hills Mining Inc.
PRWC Energy Inc.
Seaview Resources Inc.
Stone Boat Mining Corp.
Tuba City Gold Corp.
Yuma Resources Inc.
N/A
ID-581
http://www.sec.gov/alj/aljdec/2014/id581bpm.pdf
3-15758
2014-03-21
Initial Decision
Initial Decision
Ads in Motion, Inc.
Premier Beverage Group Corp.
Pulmo Biotech, Inc.
Trimedia Entertainment Group, Inc.
Zanett, Inc.
N/A
LR-22945
http://www.sec.gov/litigation/litreleases/2014/lr22945.htm
13-CV-982
2014-03-19
Enforcement Case
A Chicago Convention Center, LLC
Intercontinental Regional Center Trust of Chicago, LLC
Sethi, Anshoo R.
N/A
LR-22946
http://www.sec.gov/litigation/litreleases/2014/lr22946.htm
1:14-CV-11007
2014-03-19
Enforcement Case
Cancian, David J.
N/A
LR-22947
http://www.sec.gov/litigation/litreleases/2014/lr22947.htm
2:11-CIV.00116-JES-DNF
2014-03-19
Enforcement Case
DiGiorgio, Robert A.
N/A
LR-22948
http://www.sec.gov/litigation/litreleases/2014/lr22948.htm
3:14-CV-01742
2014-03-20
Enforcement Case
Eydelman, Vladimir
Metro, Steven
N/A
LR-22949
http://www.sec.gov/litigation/litreleases/2014/lr22949.htm
12-CV-1258 MMC
2014-03-20
Enforcement Case
Facie Libre Management Associates
Felix Investments, LLC
Mazzola, Frank
N/A