2014-04-28
108
11
2014-03-24
2014-03-28
Securities Act of 1933
33
9564
9568
Securities Exchange Act of 1934
34
71772
71831
Accounting and Auditing Enforcement Release
AAER
3545
3546
Administrative Proceeding
AP
1333
1349
Investment Advisers Act of 1940
IA
3804
3805
Investment Company Act of 1940
IC
30990
30999
Initial Decision
ID
582
582
Litigation Release
LR
22950
22954
33-9564
http://www.sec.gov/litigation/admin/2014/33-9564.pdf
3-15812
2014-03-25
Order Fixing Time and Place of Public Hearing and Instituting Proceedings
Order
Creative Vision Alliance Corporation
N/A
33-9565
http://www.sec.gov/litigation/admin/2014/33-9565.pdf
34-71823
AAER-3545
3-15815
2014-03-27
Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing
AP Litigated
L&L Energy, Inc.
Lee, Dickson
N/A
33-9566
2014-03-27
Intentionally Omitted
Unknown
N/A
33-9567
http://www.sec.gov/rules/other/2014/33-9567.pdf
34-71829
265-28
2014-03-28
Notice of Meeting
Notice
Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
http://www.federalregister.gov/citation/79-FR-18591
79 FR 18591
33-9568
http://www.sec.gov/rules/proposed/2014/33-9568.pdf
34-71830
S7-08-10
2014-03-28
Extension of comment period
Ext. of Comment Period
Extension of Comment Period for Asset-Backed Securities Release
http://www.federalregister.gov/citation/79-FR-18483
79 FR 18483
34-71772
http://www.sec.gov/litigation/admin/2014/34-71772.pdf
3-15670
2014-03-24
Notice that Initial Decision Has Become Final
Notice
Matech Corp.
MNC Corporation, a/k/a Monaco Coach Corporation
Pacific Fuel Cell Corp.
Penn Octane Corporation
N/A
34-71773
http://www.sec.gov/rules/sro/c2/2014/34-71773.pdf
SR-C2-2014-005
2014-03-24
Notice / Immediate Effectiveness Relating to Certain C2 Real-Time Data Feeds and a New Book Depth Data Feed
SRO Filing
C2 Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-17611
79 FR 17611
34-71774
http://www.sec.gov/rules/sro/cboe/2014/34-71774.pdf
SR-CBOE-2014-020
2014-03-24
Notice / Immediate Effectiveness Relating to Certain CBOE Real-Time Data Feeds and a New Book Depth Data Feed
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-17619
79 FR 17619
34-71775
http://www.sec.gov/rules/sro/cboe/2014/34-71775.pdf
SR-CBOE-2014-021
2014-03-24
Notice / Immediate Effectiveness Relating to CBSX BBO Data Feed and a New CBSX Book Depth Data Feed
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-17627
79 FR 17627
34-71776
http://www.sec.gov/rules/sro/edga/2014/34-71776.pdf
SR-EDGA-2014-05
2014-03-24
Notice / Immediate Effectiveness to Add a Reference to Rule 10C-1 Under the Exchange Act in EDGA Rule 14.1 Concerning Unlisted Trading Privileges
SRO Filing
EDGA Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-17583
79 FR 17583
34-71777
http://www.sec.gov/rules/sro/edgx/2014/34-71777.pdf
SR-EDGX-2014-06
2014-03-24
Notice / Immediate Effectiveness to Add a Reference to Rule 10C-1 Under the Exchange Act in EDGX Rule 14.1 Concerning Unlisted Trading Privileges
SRO Filing
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-17613
79 FR 17613
34-71778
http://www.sec.gov/rules/sro/nysearca/2014/34-71778.pdf
SR-NYSEARCA-2014-23
2014-03-24
Notice / to List and Trade Shares of the iShares Interest Rate Hedged Corporate Bond ETF and iShares Interest Rate Hedged High Yield Bond ETF under NYSE Arca Equities Rule 8.600
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-17585
79 FR 17585
34-71779
http://www.sec.gov/rules/sro/nysearca/2014/34-71779.pdf
SR-NYSEARCA-2014-26
2014-03-24
Notice / Immediate Effectiveness Relating to Changes to the Means of Achieving the Investment Objective Applicable to the db-X Ultra-Short Duration Fund
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-17625
79 FR 17625
34-71780
http://www.sec.gov/rules/sro/nysearca/2014/34-71780.pdf
SR-NYSEARCA-2014-21
2014-03-24
Notice / Immediate Effectiveness Amending NYSE Arca Equities Rule 7.44 to Change the Priority of Displayable Odd Lot Interest Within the Recently Approved Retail Liquidity Program
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-17623
79 FR 17623
34-71781
http://www.sec.gov/rules/sro/finra/2014/34-71781.pdf
SR-FINRA-2014-013
2014-03-24
Notice / Immediate Effectiveness to Extend the Clearly Erroneous Pilot Program for Exchange-Listed Securities
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/79-FR-17615
79 FR 17615
34-71782
http://www.sec.gov/rules/sro/chx/2014/34-71782.pdf
SR-CHX-2014-04
2014-03-24
Notice / Immediate Effectiveness to Extend a Pilot Program Related to Article 20, Rule 10 concerning the Handling of Clearly Erroneous Transactions
SRO Filing
Chicago Stock Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-17630
79 FR 17630
34-71783
http://www.sec.gov/rules/sro/phlx/2014/34-71783.pdf
SR-PHLX-2014-18
2014-03-24
Notice / Immediate Effectiveness to the Clearly Erroneous Rule
SRO Filing
NASDAQ OMX PHLX LLC
http://www.federalregister.gov/citation/79-FR-17617
79 FR 17617
34-71784
http://www.sec.gov/rules/sro/bx/2014/34-71784.pdf
SR-BX-2014-014
2014-03-24
Notice / Immediate Effectiveness to the Clearly Erroneous Rule
SRO Filing
NASDAQ OMX BX, Inc.
http://www.federalregister.gov/citation/79-FR-17610
79 FR 17610
34-71785
http://www.sec.gov/rules/sro/nasdaq/2014/34-71785.pdf
SR-NASDAQ-2014-028
2014-03-24
Notice / Immediate Effectiveness to the Clearly Erroneous Rule
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-17621
79 FR 17621
34-71786
http://www.sec.gov/rules/sro/finra/2014/34-71786.pdf
SR-FINRA-2014-010
2014-03-24
Notice / to Adopt FINRA Rule 2243 (Disclosure and Reporting Obligations Related to Recruitment Practices)
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/79-FR-17592
79 FR 17592
34-71787
http://www.sec.gov/litigation/admin/2014/34-71787.pdf
IA-3804
3-15581
2014-03-24
Notice that Initial Decision Has Become Final
Notice
Newman, Todd
N/A
34-71788
http://www.sec.gov/litigation/admin/2014/34-71788.pdf
3-15410
2014-03-25
Notice that Initial Decision Has Become Final
Notice
Goolu, Inc.
N/A
34-71789
http://www.sec.gov/rules/sro/cboe/2014/34-71789.pdf
SR-CBOE-2014-023
2014-03-25
Notice / Immediate Effectiveness to Amend the Fees Schedule
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-18104
79 FR 18104
34-71790
http://www.sec.gov/rules/sro/iceeu/2014/34-71790.pdf
SR-ICEEU-2014-01
2014-03-25
Order / Regarding New Permitted Cover
SRO Filing
ICE Clear Europe Limited
http://www.federalregister.gov/citation/79-FR-18098
79 FR 18098
34-71791
http://www.sec.gov/rules/sro/iceeu/2014/34-71791.pdf
SR-ICEEU-2014-02
2014-03-25
Order / Regarding New Permitted Cover
SRO Filing
ICE Clear Europe Limited
http://www.federalregister.gov/citation/79-FR-18098
79 FR 18098
34-71792
http://www.sec.gov/rules/sro/finra/2014/34-71792.pdf
SR-FINRA-2014-012
2014-03-25
Notice / To Amend FINRA Rules 2210 (Communications with the Public) and 2214 (Requirements for the Use of Investment Analysis Tools)
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/79-FR-18094
79 FR 18094
34-71793
http://www.sec.gov/rules/sro/nasdaq/2014/34-71793.pdf
SR-NASDAQ-2014-026
2014-03-25
Notice / Immediate Effectiveness to the Qualified Market Maker Program and NBBO Setter Incentive Program under Rule 7014, and to Modify the Rules Governing Fees Assessed for Orders Executed in the NASDAQ Opening Cross under Rule 7018
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-18091
79 FR 18091
34-71794
http://www.sec.gov/rules/sro/nasdaq/2014/34-71794.pdf
SR-NASDAQ-2014-025
2014-03-25
Notice / Immediate Effectiveness to Modify NASDAQ's DOT, DOTI, and LIST Routing Strategies
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-18101
79 FR 18101
34-71795
http://www.sec.gov/rules/sro/bats/2014/34-71795.pdf
SR-BATS-2014-008
2014-03-25
Notice / Immediate Effectiveness to the Clearly Erroneous Execution Rule for BATS Exchange, Inc.
SRO Filing
BATS Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-18089
79 FR 18089
34-71796
http://www.sec.gov/rules/sro/byx/2014/34-71796.pdf
SR-BYX-2014-003
2014-03-25
Notice / Immediate Effectiveness to the Clearly Erroneous Execution Rule for BATS Y-Exchange, Inc.
SRO Filing
BATS Y-Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-18099
79 FR 18099
34-71797
http://www.sec.gov/rules/sro/nsx/2014/34-71797.pdf
SR-NSX-2014-07
2014-03-25
Notice / Immediate Effectiveness to Extend a Pilot Program Related to Rule 11.19, Titled "Clearly Erroneous Executions"
SRO Filing
National Stock Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-18108
79 FR 18108
34-71798
http://www.sec.gov/rules/sro/cboe/2014/34-71798.pdf
SR-CBOE-2014-025
2014-03-25
Notice / Immediate Effectiveness Relating to the CBSX Clearly Erroneous Policy
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-18086
79 FR 18086
34-71799
http://www.sec.gov/rules/sro/cme/2014/34-71799.pdf
SR-CME-2014-09
2014-03-25
Notice / Immediate Effectiveness Regarding Acceptance of a New Series of Credit Default Swap Index Product
SRO Filing
Chicago Mercantile Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-18107
79 FR 18107
34-71800
http://www.sec.gov/litigation/admin/2014/34-71800.pdf
3-15665
2014-03-26
Notice that Initial Decision Has Become Final
Notice
China Metallic Resources, Inc.
China Timber Works Enterprises, Inc.
Premier International Hotel Group, Inc.
N/A
34-71801
http://www.sec.gov/litigation/admin/2014/34-71801.pdf
3-15685
2014-03-26
Notice that Initial Decision Has Become Final
Notice
Jinhao Motor Company
N/A
34-71802
http://www.sec.gov/litigation/suspensions/2014/34-71802.pdf
500-1
2014-03-26
Trading Suspension
Trading Suspension
1st Pacific Bancorp
China Shen Zhou Mining & Resources, Inc.
Ideal Financial Solutions, Inc.
Smooth Global (China) Holdings, Inc.
Weikang Bio-Technology Group Co.,
Inc.
http://www.federalregister.gov/citation/79-FR-17631
79 FR 17631
34-71803
http://www.sec.gov/litigation/admin/2014/34-71803.pdf
3-15813
2014-03-26
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
1st Pacific Bancorp
China Shen Zhou Mining & Resources, Inc.
Ideal Financial Solutions, Inc.
Smooth Global (China) Holdings, Inc.
Weikang Bio-Technology Group Co., Inc.
N/A
34-71804
http://www.sec.gov/rules/sro/nysearca/2014/34-71804.pdf
SR-NYSEARCA-2013-141
2014-03-26
Notice / Amendment No. 2 Order Accelerating to Adopt New NYSE Arca Equities Rule 7.25 to Create a Crowd Participant Program on a Pilot Basis to Incent Competitive Quoting and Trading Volume in Exchange-Traded Products by Market Makers
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-18357
79 FR 18357
34-71805
http://www.sec.gov/rules/exorders/2014/34-71805.pdf
NO FILE NUMBER
2014-03-26
Order / Granting Limited Exemption from Rule 102 of Regulation M Concerning the NYSE Arca, Inc.'s Crowd Participant Program Pilot
Order
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-18365
79 FR 18365
34-71806
http://www.sec.gov/rules/sro/ise/2014/34-71806.pdf
SR-ISE-2014-19
2014-03-26
Notice / Immediate Effectiveness to Amend ISE Rule 2128 Relating to Clearly Erroneous Trades
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/79-FR-18375
79 FR 18375
34-71807
http://www.sec.gov/rules/sro/nysearca/2014/34-71807.pdf
SR-NYSEARCA-2014-32
2014-03-26
Notice / Immediate Effectiveness to Extend a Pilot Program Related to Rule 7.10, Entitled "Clearly Erroneous Executions"
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-18087
79 FR 18087
34-71808
http://www.sec.gov/rules/sro/edga/2014/34-71808.pdf
SR-EDGA-2014-006
2014-03-26
Notice / Immediate Effectiveness to the Clearly Erroneous Execution Rule for EDGA Exchange, Inc.
SRO Filing
EDGA Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-18355
79 FR 18355
34-71809
http://www.sec.gov/rules/sro/edgx/2014/34-71809.pdf
SR-EDGX-2014-007
2014-03-26
Notice / Immediate Effectiveness to the Clearly Erroneous Execution Rule for EDGX Exchange, Inc.
SRO Filing
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-18353
79 FR 18353
34-71810
http://www.sec.gov/rules/sro/icc/2014/34-71810.pdf
SR-ICC-2014-02
2014-03-26
Notice / to Update ICC's Liquidity Thresholds for Euro Denominated Products
SRO Filing
ICE Clear Credit LLC
http://www.federalregister.gov/citation/79-FR-18377
79 FR 18377
34-71811
http://www.sec.gov/rules/sro/edga/2014/34-71811.pdf
SR-EDGA-2014-007
2014-03-26
Notice / Immediate Effectiveness to Amend Rule 12.6 to Conform to FINRA Rule 5320, BATS Rule 12.6 and BATS-Y Rule 12.6 Relating to Trading Ahead of Customer Orders
SRO Filing
EDGA Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-18367
79 FR 18367
34-71812
http://www.sec.gov/rules/sro/edgx/2014/34-71812.pdf
SR-EDGX-2014-008
2014-03-26
Notice / Immediate Effectiveness to Amend Rule 12.6 to Conform to FINRA Rule 5320, BATS Rule 12.6 and BATS-Y Rule 12.6 Relating to Ahead of Customer Orders
SRO Filing
EDGX Exchange, Inc.
http://www.federalregister.gov/citation/79-FR-18371
79 FR 18371
34-71813
http://www.sec.gov/rules/sro/nasdaq/2014/34-71813.pdf
SR-NASDAQ-2014-009
2014-03-26
Notice / Amendment No. 1 and Designation of Longer Period for Commission Action Relating to the Listing and Trading of the Shares of the First Trust Tactical High Yield ETF of First Trust Exchange-Traded Fund IV
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-18378
79 FR 18378
34-71814
http://www.sec.gov/litigation/suspensions/2014/34-71814.pdf
500-1
2014-03-27
Trading Suspension
Trading Suspension
Advanced Cannabis Solutions, Inc.
http://www.federalregister.gov/citation/79-FR-18111
79 FR 18111
34-71815
http://www.sec.gov/litigation/suspensions/2014/34-71815.pdf
500-1
2014-03-27
Trading Suspension
Trading Suspension
Hendrx Corp.
Plastinum Polymer Technologies Corp.
Vertical Branding, Inc.
WHY USA Financial Group, Inc.
XNE, Inc.
http://www.federalregister.gov/citation/79-FR-18110
79 FR 18110
34-71816
http://www.sec.gov/litigation/admin/2014/34-71816.pdf
3-15814
2014-03-27
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Hendrx Corp.
Plastinum Polymer Technologies Corp.
Vertical Branding, Inc.
WHY USA Financial Group, Inc.
XNE, Inc.
N/A
34-71817
http://www.sec.gov/rules/sro/nysemkt/2014/34-71817.pdf
SR-NYSEMKT-2014-23
2014-03-27
Notice / Immediate Effectiveness Amending Rule 900.3NY to Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/79-FR-18601
79 FR 18601
34-71818
http://www.sec.gov/rules/sro/nysearca/2014/34-71818.pdf
SR-NYSEARCA-2014-27
2014-03-27
Notice / Immediate Effectiveness Amending Rule 6.62 to Specifically Address the Number and Size of Contra-Parties to a Qualified Contingent Cross Order
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-18599
79 FR 18599
34-71819
http://www.sec.gov/rules/sro/finra/2014/34-71819.pdf
SR-FINRA-2013-039
2014-03-27
Notice / Designation of Longer Period for Commission Action, as Modified by Amendment No. 1, to Clarify the Classification and Reporting of Certain Securities to FINRA
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/79-FR-18591
79 FR 18591
34-71820
http://www.sec.gov/rules/sro/nysemkt/2014/34-71820.pdf
SR-NYSEMKT-2014-28
2014-03-27
Notice / Immediate Effectiveness Extending a Pilot Program Related to Rule 128-Equities, Entitled "Clearly Erroneous Executions For Equities"
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/79-FR-18595
79 FR 18595
34-71821
http://www.sec.gov/rules/sro/nyse/2014/34-71821.pdf
SR-NYSE-2014-17
2014-03-27
Notice / Immediate Effectiveness Extending a Pilot Program Related to Rule 128, Entitled "Clearly Erroneous Executions For NYSE Equities"
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/79-FR-18592
79 FR 18592
34-71822
http://www.sec.gov/rules/sro/phlx/2014/34-71822.pdf
SR-PHLX-2014-19
2014-03-27
Notice / Immediate Effectiveness Regarding Extension of FLEX Option No Minimum Value Size Pilot Program
SRO Filing
NASDAQ OMX PHLX LLC
http://www.federalregister.gov/citation/79-FR-18593
79 FR 18593
34-71823
http://www.sec.gov/litigation/admin/2014/33-9565.pdf
33-9565
AAER-3545
3-15815
2014-03-27
Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing
AP Litigated
L&L Energy, Inc.
Lee, Dickson
N/A
34-71824
http://www.sec.gov/litigation/admin/2014/34-71824.pdf
AAER-3546
3-15816
2014-03-27
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order
AP Settled
Kiang, Shirley
N/A
34-71825
http://www.sec.gov/litigation/admin/2014/34-71825.pdf
3-15507
2014-03-27
Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount
Order
JPMorgan Chase & Co.
N/A
34-71826
http://www.sec.gov/rules/sro/nasdaq/2014/34-71826.pdf
SR-NASDAQ-2014-030
2014-03-28
Notice / Immediate Effectiveness to Extend the Pilot Period for the Retail Price Improvement Program, Which Currently Is Set To Expire On March 28, 2014, For An Additional Six Months
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-18597
79 FR 18597
34-71827
http://www.sec.gov/rules/sro/nasdaq/2014/34-71827.pdf
SR-NASDAQ-2012-129
2014-03-28
Order / Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Price Improvement Program
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-18601
79 FR 18601
34-71828
http://www.sec.gov/rules/sro/dtc/2014/34-71828.pdf
SR-DTC-2014-03
2014-03-28
Notice / Immediate Effectiveness to Update Existing Procedures as They Relate to Processing Mandatory Corporate Actions
SRO Filing
Depository Trust Company
http://www.federalregister.gov/citation/79-FR-18748
79 FR 18748
34-71829
http://www.sec.gov/rules/other/2014/33-9567.pdf
33-9567
265-28
2014-03-28
Notice of Meeting
Notice
Securities and Exchange Commission Dodd-Frank Investor Advisory Committee
http://www.federalregister.gov/citation/79-FR-18591
79 FR 18591
34-71830
http://www.sec.gov/rules/proposed/2014/33-9568.pdf
33-9568
S7-08-10
2014-03-28
Extension of comment period
Ext. of Comment Period
Extension of Comment Period for Asset-Backed Securities Release
http://www.federalregister.gov/citation/79-FR-18483
79 FR 18483
34-71831
http://www.sec.gov/litigation/admin/2014/34-71831.pdf
3-14641
2014-03-28
Extension Order
Order
Hornbogen, Gina M.
Rizzo, Charles L.
N/A
AAER-3545
http://www.sec.gov/litigation/admin/2014/33-9565.pdf
33-9565
34-71823
3-15815
2014-03-27
Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing
AP Litigated
L&L Energy, Inc.
Lee, Dickson
N/A
AAER-3546
http://www.sec.gov/litigation/admin/2014/34-71824.pdf
34-71824
3-15816
2014-03-27
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order
AP Settled
Kiang, Shirley
N/A
AP-1333
http://www.sec.gov/alj/aljorders/2014/ap-1333.pdf
3-15755
2014-03-25
Prehearing Order
Order
Feathers, Mark
N/A
AP-1334
http://www.sec.gov/alj/aljorders/2014/ap-1334.pdf
3-15690
2014-03-25
Stay Order
Order
Brody, Kevin Patrick
N/A
AP-1335
http://www.sec.gov/alj/aljorders/2014/ap-1335.pdf
3-15812
2014-03-25
Order Designating Presiding Judge
Order
Creative Vision Alliance Corporation
N/A
AP-1336
http://www.sec.gov/alj/aljorders/2014/ap-1336.pdf
3-15626
2014-03-25
Stay Order
Order
Bott, John P., II
Falkenberg, F. Robert
Parallax Investments, LLC
N/A
AP-1337
http://www.sec.gov/alj/aljorders/2014/ap-1337.pdf
3-14971
2014-03-26
Stay Order
Order
GiraSolar, Inc.
N/A
AP-1338
http://www.sec.gov/alj/aljorders/2014/ap-1338.pdf
3-15683
2014-03-26
Order
Order
Neto, Waldyr Da Silva Prado
N/A
AP-1339
http://www.sec.gov/alj/aljorders/2014/ap-1339.pdf
3-15780
2014-03-27
Order
Order
Newnan Coweta Bancshares, Inc.
Proper Power and Energy, Inc.
Uvumobile, Inc.
WGNB Corp.
YouBlast Global, Inc.
N/A
AP-1340
http://www.sec.gov/alj/aljorders/2014/ap-1340.pdf
3-15790
2014-03-27
Order Following Prehearing Conference
Order
Cohen, Moshe Marc
Horowitz, Michael A.
N/A
AP-1341
http://www.sec.gov/alj/aljorders/2014/ap-1341.pdf
3-15764
2014-03-27
Order Following Prehearing Conference
Order
McDuff, Gary L.
N/A
AP-1342
http://www.sec.gov/alj/aljorders/2014/ap-1342.pdf
3-15813
2014-03-27
Order Scheduling Hearing and Designating Presiding Judge
Order
1st Pacific Bancorp
China Shen Zhou Mining & Resources, Inc.
Ideal Financial Solutions, Inc.
Smooth Global (China) Holdings, Inc.
Weikang Bio-Technology Group Co., Inc.
N/A
AP-1343
http://www.sec.gov/alj/aljorders/2014/ap-1343.pdf
3-15696
2014-03-28
Order Staying Proceeding
Order
Hegedus, Shawn C.
N/A
AP-1344
http://www.sec.gov/alj/aljorders/2014/ap-1344.pdf
3-15814
2014-03-28
Order Scheduling Hearing and Designating Presiding Judge
Order
Hendrx Corp.
Plastinum Polymer Technologies Corp.
Vertical Branding, Inc.
WHY USA Financial Group, Inc.
XNE, Inc.
N/A
AP-1345
3-15514
2014-03-28
Order Under Seal
Order
Anthony, Donald J., Jr.
Chiappone, Frank H.
Feldman, 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-1346
http://www.sec.gov/alj/aljorders/2014/ap-1346.pdf
3-15805
2014-03-28
Order
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-1347
http://www.sec.gov/alj/aljorders/2014/ap-1347.pdf
3-14630
2014-03-28
Order
Order
Gallagher, Daniel J.
N/A
AP-1348
http://www.sec.gov/alj/aljorders/2014/ap-1348.pdf
3-15446
2014-03-28
Order on Motion
Order
Drennan, Douglas F.
J.S. Oliver Capital Management, L.P
Mausner, Ian O.
N/A
AP-1349
http://www.sec.gov/alj/aljorders/2014/ap-1349.pdf
3-15815
2014-03-28
Order Scheduling Hearing and Designating Presiding Judge
Order
L&L Energy, Inc.
Lee, Dickson, CPA
N/A
IA-3804
http://www.sec.gov/litigation/admin/2014/34-71787.pdf
34-71787
3-15581
2014-03-24
Notice that Initial Decision Has Become Final
Notice
Newman, Todd
N/A
IA-3805
http://www.sec.gov/litigation/opinions/2014/ia-3805.pdf
IC-30997
3-14194
2014-03-27
Opinion
Opinion
Pelosi, Michael R.
N/A
IC-30990
http://www.sec.gov/rules/ic/2014/ic-30990.pdf
812-14127
2014-03-24
Order
Order
Legg Mason Partners Equity Trust
Legg Mason Partners Variable Equity Trust
Permal Asset Management LLC
N/A
IC-30991
http://www.sec.gov/rules/ic/2014/ic-30991.pdf
812-14282
2014-03-25
Order
Order
Hatteras Alternative Mutual Funds Trust
Scotland Acquisition, LLC, d/b/a Hatteras Funds, LLC
Underlying Funds Trust
N/A
IC-30992
http://www.sec.gov/rules/icdereg/2014/ic-30992.pdf
811-5308
2014-03-26
Order
Order
Perritt Microcap Opportunities Fund Inc.
N/A
IC-30993
http://www.sec.gov/rules/icdereg/2014/ic-30993.pdf
811-21724
2014-03-26
Order
Order
Allianzgi International & Premium Strategy Fund
N/A
IC-30994
http://www.sec.gov/rules/icdereg/2014/ic-30994.pdf
811-4448
2014-03-26
Order
Order
UBS Master Series Inc.
N/A
IC-30995
http://www.sec.gov/rules/icdereg/2014/ic-30995.pdf
811-4132
2014-03-26
Order
Order
RiverSource Selected Series, Inc.
N/A
IC-30996
http://www.sec.gov/rules/icdereg/2014/ic-30996.pdf
811-6062
2014-03-26
Order
Order
Thai Capital Fund Inc.
N/A
IC-30997
http://www.sec.gov/litigation/opinions/2014/ia-3805.pdf
IA-3805
3-14194
2014-03-27
Opinion
Opinion
Pelosi, Michael R.
N/A
IC-30998
http://www.sec.gov/rules/icdereg/2014/ic-30998.pdf
811-2557
811-22505
811-22681
811-10415
2014-03-28
Notice
Notice
Dreyfus Money Market Instruments Inc.
ING Emerging Markets Local Bond Fund
ING Global Strategic Income Fund
Lazard Alternative Strategies Fund, L.L.C.
http://www.federalregister.gov/citation/79-FR-18739
79 FR 18739
IC-30999
http://www.sec.gov/rules/ic/2014/ic-30999.pdf
812-14203
2014-03-28
Notice
Notice
Minnesota Life Insurance Company, et al.
http://www.federalregister.gov/citation/79-FR-18739
79 FR 18739
ID-582
http://www.sec.gov/alj/aljdec/2014/id582ce.pdf
3-15468
2014-03-27
Initial Decision
Initial Decision
Burns, Eric T.
N/A
LR-22950
http://www.sec.gov/litigation/litreleases/2014/lr22950.htm
13-CV-62025
2014-03-25
Enforcement Case
Grable, Linda
Imaging Diagnostic Systems, Inc.
Schwartz, Allan
N/A
LR-22951
http://www.sec.gov/litigation/litreleases/2014/lr22951.htm
08-CV-7893 (PGG)
2014-03-26
Enforcement Case
Curshen, Jonathan R.
N/A
LR-22952
http://www.sec.gov/litigation/litreleases/2014/lr22952.htm
14-MC-30
2014-03-26
Enforcement Case
Gerasimowicz, Walter
Meditron Asset Management, LLC
Meditron Management Group, LLC
N/A
LR-22953
http://www.sec.gov/litigation/litreleases/2014/lr22953.htm
CV14-2334-CAS (MR WX)
2014-03-28
Enforcement Case
WCM
WCM777
World Capital Market, Inc.
Xu, Ming "Phil"
N/A
LR-22954
http://www.sec.gov/litigation/litreleases/2014/lr22954.htm
3:14-CV-01106-D
2014-03-28
Enforcement Case
Booths, Patrick J.
Halek, Jason A.
Little, Steven
Spivey, Joshua
N/A