2015-02-10
108
20
2014-05-26
2014-05-30
Securities Exchange Act of 1934
34
72251
72285
Administrative Proceeding
AP
1460
1476
Investment Advisers Act of 1940
IA
3840
3841
Investment Company Act of 1940
IC
31063
31065
Initial Decision
ID
602
606
Litigation Release
LR
23003
23010
34-72251
http://www.sec.gov/rules/sro/phlx/2014/34-72251.pdf
SR-PHLX-2014-36
2014-05-27
Notice / Immediate Effectiveness Relating to Routing Fees
SRO Filing
NASDAQ OMX PHLX LLC
http://www.federalregister.gov/citation/79-FR-31356
79 FR 31356
34-72252
http://www.sec.gov/rules/sro/nysemkt/2014/34-72252.pdf
SR-NYSEMKT-2014-46
2014-05-27
Notice / Immediate Effectiveness Amending NYSE MKT Rule 13 - Equities to Introduce a New "Retail" Modifier for Orders and to Make Related, Administrative Changes to Its Price List
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/79-FR-31368
79 FR 31368
34-72253
http://www.sec.gov/rules/sro/nyse/2014/34-72253.pdf
SR-NYSE-2014-26
2014-05-27
Notice / Immediate Effectiveness Amending NYSE Rule 13 to Introduce a New "Retail" Modifier for Orders and to Make Related, Administrative Changes to Its Price List
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/79-FR-31353
79 FR 31353
34-72254
http://www.sec.gov/rules/sro/ise/2014/34-72254.pdf
SR-ISE-2014-26
2014-05-27
Notice / Immediate Effectiveness Regarding Complex Orders
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/79-FR-31372
79 FR 31372
34-72255
http://www.sec.gov/rules/sro/nysearca/2014/34-72255.pdf
SR-NYSEARCA-2014-10
2014-05-27
Order / Instituting Proceedings to Determine Whether to Approve or Disapprove to Adopt NYSE Arca Equities Rule 8.900, Which Permits the Listing and Trading of Managed Portfolio Shares, and to List and Trade Shares of the ActiveShares Large-Cap Fund,
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-31362
79 FR 31362
34-72256
http://www.sec.gov/litigation/admin/2014/34-72256.pdf
3-15887
2014-05-27
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Davis, Blayne S.
N/A
34-72257
http://www.sec.gov/litigation/admin/2014/34-72257.pdf
3-15888
2014-05-27
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
French, Donald R., Jr.
N/A
34-72258
http://www.sec.gov/litigation/admin/2014/34-72258.pdf
3-15889
2014-05-27
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Gilner, Albert E.
N/A
34-72259
http://www.sec.gov/litigation/admin/2014/34-72259.pdf
3-15890
2014-05-27
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Bochinski, Randi A.
N/A
34-72260
http://www.sec.gov/rules/sro/nscc-an/2014/34-72260.pdf
SR-NSCC-2014-802
2014-05-27
Notice / Amendment No. 1 / No Objection / as Modified by Amendment No. 1, to Enhance NSCC's Existing Parametric Value-at-Risk Margining Model
SRO Filing
National Securities Clearing Corporation
http://www.federalregister.gov/citation/79-FR-31360
79 FR 31360
34-72261
http://www.sec.gov/litigation/admin/2014/34-72261.pdf
3-15781
2014-05-28
Notice That Initial Decision Has Become Final
Notice
George Foreman Enterprises, Inc.
MacKay Life Sciences, Inc.
Reinsurance Technologies, Ltd. (a/k/a Solution Technology International, Inc.)
Tire International Environmental Solutions, Inc.
WatchIt Technologies, Inc.
Weststar Financial Services Corporation
WorldSpace, Inc.
N/A
34-72262
http://www.sec.gov/litigation/admin/2014/34-72262.pdf
3-15806
2014-05-28
Notice That Initial Decision Has Become Final
Notice
NextFit, Inc.
Rocky Mountain Minerals, Inc.
Titan Technologies, Inc.
Trudy Corporation
UAGH, Inc.
Uranium 308 Corp.
N/A
34-72263
http://www.sec.gov/litigation/suspensions/2014/34-72263.pdf
500-1
2014-05-28
Trading Suspension
Trading Suspension
Asia Global Holdings Corp.
Ikona Gear International, Inc.
Imagin Molecular Corp. (n/k/a The Planet Bottle Corporation
Sungold International Holdings Corp.
Westergaard.com, Inc.
http://www.federalregister.gov/citation/79-FR-31184
79 FR 31184
34-72264
http://www.sec.gov/litigation/admin/2014/34-72264.pdf
3-15891
2014-05-28
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Asia Global Holdings Corp.
China Electric Motor, Inc.
Ikona Gear International, Inc.
Imagin Molecular Corp. (n/k/a The Planet Bottle Corporation)
Sungold International Holdings Corp.
Westergaard.com, Inc.
N/A
34-72265
http://www.sec.gov/rules/sro/nysearca/2014/34-72265.pdf
SR-NYSEARCA-2013-127
2014-05-28
Notice / Designation of Longer Period for Commission Action, as Modified by Amendments No. 1 and No. 2 Thereto, to List and Trade Shares of Nine Series of the IndexIQ Active ETF Trust under NYSE Arca Equities Rule 8.600
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/79-FR-32008
79 FR 32008
34-72266
http://www.sec.gov/rules/sro/occ/2014/34-72266.pdf
SR-OCC-2014-10
2014-05-28
Notice / Immediate Effectiveness to Require That Intraday Margin be Collected and Margin Assets Not be Withdrawn When a Clearing Member's Reasonably Anticipated Settlement Obligations to OCC Would Exceed the Liquidity Resources Available to OCC to Satisfy
SRO Filing
Options Clearing Corporation
http://www.federalregister.gov/citation/79-FR-32009
79 FR 32009
34-72267
http://www.sec.gov/rules/sro/cboe/2014/34-72267.pdf
SR-CBOE-2014-031
2014-05-28
Notice / of Withdrawal to Amend the Fees Schedule
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-32008
79 FR 32008
34-72268
http://www.sec.gov/rules/sro/occ-an/2014/34-72268.pdf
SR-OCC-2014-802
2014-05-28
Notice / Advance Notice Concerning the Consolidation of the Governance Committee and Nominating Committee into a Single Committee, Changes to the Nominating Process for Directors, and Increasing the Number of Public Directors on The Options Clearing
SRO Filing
Options Clearing Corporation
http://www.federalregister.gov/citation/79-FR-31998
79 FR 31998
34-72269
http://www.sec.gov/rules/sro/finra/2014/34-72269.pdf
SR-FINRA-2014-008
2014-05-28
Notice / Amendment No. 1 / Order Accelerating as Modified by Amendment No. 1, Relating to Protecting Personal Confidential Information in Documents Filed with FINRA Dispute Resolution
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/79-FR-32003
79 FR 32003
34-72270
http://www.sec.gov/litigation/admin/2014/34-72270.pdf
3-15892
2014-05-29
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Carbon 612 Corporation
EcoGlobal Holdings Corporation
Euramerica Holdings Corp.
Wilder Filing, Inc.
N/A
34-72271
http://www.sec.gov/rules/sro/cboe/2014/34-72271.pdf
SR-CBOE-2014-046
2014-05-29
Notice / Immediate Effectiveness Relating to Exchange Rule 24.20
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-32342
79 FR 32342
34-72272
http://www.sec.gov/rules/sro/cme/2014/34-72272.pdf
SR-CME-2014-21
2014-05-29
Notice / Immediate Effectiveness Relating to IRS Coupon Blending
SRO Filing
Chicago Mercantile Exchange Inc.
http://www.federalregister.gov/citation/79-FR-32340
79 FR 32340
34-72273
http://www.sec.gov/rules/sro/miax/2014/34-72273.pdf
SR-MIAX-2014-22
2014-05-29
Notice / Immediate Effectiveness to Amend MIAX Rule 516 to Remove the Size Restrictions on Contra-Party Participation on a Qualified Contingent Cross Order
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/79-FR-32345
79 FR 32345
34-72274
http://www.sec.gov/litigation/admin/2014/34-72274.pdf
3-15893
2014-05-29
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Olive, Susan
N/A
34-72275
http://www.sec.gov/litigation/admin/2014/34-72275.pdf
3-15894
2014-05-29
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Olive, Richard
N/A
34-72276
http://www.sec.gov/rules/sro/c2/2014/34-72276.pdf
SR-C2-2014-010
2014-05-29
Notice / Immediate Effectiveness to Extend the Penny Pilot Program
SRO Filing
C2 Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-32349
79 FR 32349
34-72277
http://www.sec.gov/rules/sro/cboe/2014/34-72277.pdf
SR-CBOE-2014-047
2014-05-29
Notice / Immediate Effectiveness Relating to the Penny Pilot Program
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-32347
79 FR 32347
34-72278
http://www.sec.gov/rules/sro/isegemini/2014/34-72278.pdf
SR-ISEGEMINI-2014-14
2014-05-29
Notice / Immediate Effectiveness to Extend the Penny Pilot Program
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/79-FR-32353
79 FR 32353
34-72279
http://www.sec.gov/rules/sro/ise/2014/34-72279.pdf
SR-ISE-2014-29
2014-05-29
Notice / Immediate Effectiveness to Extend the Penny Pilot Program
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/79-FR-32354
79 FR 32354
34-72280
http://www.sec.gov/rules/sro/finra/2014/34-72280.pdf
SR-FINRA-2014-018
2014-05-29
Order / to Establish a Fee Schedule for Alternative Trading System Volume Information
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/79-FR-32351
79 FR 32351
34-72281
http://www.sec.gov/rules/sro/nasdaq/2014/34-72281.pdf
SR-NASDAQ-2014-057
2014-05-30
Notice / Relating to the Listing and Trading of the Shares of the First Trust Low Duration Mortgage Opportunities ETF of First Trust Exchange-Traded Fund IV
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/79-FR-32586
79 FR 32586
34-72282
http://www.sec.gov/litigation/admin/2014/34-72282.pdf
3-15895
2014-05-30
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Sarafraz, Behrooz
N/A
34-72283
http://www.sec.gov/rules/sro/dtc/2014/34-72283.pdf
SR-DTC-2014-06
2014-05-30
Notice / to Modify the Receiver Authorized Delivery and Reclaim Processing Value Limits by Transaction
SRO Filing
Depository Trust Company
http://www.federalregister.gov/citation/79-FR-32599
79 FR 32599
34-72284
http://www.sec.gov/rules/sro/cboe/2014/34-72284.pdf
SR-CBOE-2014-043
2014-05-30
Notice / Relating to Closing Rotation Procedures for S&P 500 Index Options
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/79-FR-32594
79 FR 32594
34-72285
http://www.sec.gov/litigation/admin/2014/34-72285.pdf
3-15696
2014-05-30
Order Making Findings and Imposing Remedial Sanctions
AP Settled
Hegedus, Shawn C.
N/A
AP-1460
http://www.sec.gov/alj/aljorders/2014/ap-1460.pdf
3-15884
2014-05-27
Order Scheduling Hearing and Designating Presiding Judge
Order
OCTuS, Inc.
Pacific Coast National Bancorp
Travelstar, Inc.
We Save Homes, Inc.
ZVUE Corp.
N/A
AP-1461
http://www.sec.gov/alj/aljorders/2014/ap-1461.pdf
3-15885
2014-05-27
Order Scheduling Hearing and Designating Presiding Judge
Order
Pro-Tech Industries, Inc.
Vida Life International Ltd.
Vitavea, Inc.
Western Power & Equipment Corp.
Westmont Resources, Inc.
N/A
AP-1462
http://www.sec.gov/alj/aljorders/2014/ap-1462.pdf
3-15864
2014-05-27
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Imaging Diagnostic Systems, Inc.
N/A
AP-1463
http://www.sec.gov/alj/aljorders/2014/ap-1463.pdf
3-15613
2014-05-27
Order Scheduling Prehearing Conference Following Rejection of Settlement Offer
Order
Martin, Julieann Palmer
N/A
AP-1464
http://www.sec.gov/alj/aljorders/2014/ap-1464.pdf
3-15862
2014-05-28
Order Postponing Hearing and Scheduling Prehearing Conference
Order
GeNOsys, Inc.
N/A
AP-1465
http://www.sec.gov/alj/aljorders/2014/ap-1465.pdf
3-15889
2014-05-28
Order Scheduling Hearing and Designating Presiding Judge
Order
Gilner, Albert E.
N/A
AP-1466
http://www.sec.gov/alj/aljorders/2014/ap-1466.pdf
3-15888
2014-05-28
Order Scheduling Hearing and Designating Presiding Judge
Order
French, Donald R., Jr.
N/A
AP-1467
http://www.sec.gov/alj/aljorders/2014/ap-1467.pdf
3-15890
2014-05-28
Order Scheduling Hearing and Designating Presiding Judge
Order
Bochinski, Randi A.
N/A
AP-1468
http://www.sec.gov/alj/aljorders/2014/ap-1468.pdf
3-15680
2014-05-28
Order Staying Proceeding
Order
Egeberg, Eugene M. III, CPA
N/A
AP-1469
http://www.sec.gov/alj/aljorders/2014/ap-1469.pdf
3-15820
2014-05-28
Order Following Prehearing Conference
Order
D. Christopher Capital Management Group, LLC
Thomas, Delsa U.
N/A
AP-1470
http://www.sec.gov/alj/aljorders/2014/ap-1470.pdf
3-15891
2014-05-29
Order Scheduling Hearing and Designating Presiding Judge
Order
Asia Global Holdings Corp.
China Electric Motor, Inc.
Ikona Gear International, Inc.
Imagin Molecular Corp. (n/k/a The Planet Bottle Corporation)
Sungold International Holdings Corp.
Westergaard.com, Inc.
N/A
AP-1471
http://www.sec.gov/alj/aljorders/2014/ap-1471.pdf
3-15887
2014-05-29
Order Scheduling Hearing and Designating Presiding Judge
Order
Davis, Blayne S.
N/A
AP-1472
http://www.sec.gov/alj/aljorders/2014/ap-1472.pdf
3-15382
2014-05-29
Order Continuing Stay
Order
Cohen, Steven A.
N/A
AP-1473
http://www.sec.gov/alj/aljorders/2014/ap-1473.pdf
3-15844
2014-05-30
Order Finding Respondent in Default and Requesting Motion for Sanctions
Order
Tebbs, Kenneth C.
N/A
AP-1474
http://www.sec.gov/alj/aljorders/2014/ap-1474.pdf
3-15882
2014-05-30
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Angel Acquisition Corp. n/k/a Biogeron, Inc.
N/A
AP-1475
http://www.sec.gov/alj/aljorders/2014/ap-1475.pdf
3-15446
2014-05-30
Motion for Extension
Unknown
Drennan, Douglas F.
J.S. Oliver Capital Management, L.P.
Mausner, Ian O.
N/A
AP-1476
http://www.sec.gov/alj/aljorders/2014/ap-1476.pdf
3-15868
2014-05-30
Postponement Order
Order
Spangler, Mark F.
N/A
IA-3840
http://www.sec.gov/litigation/admin/2014/ia-3840.pdf
3-15896
2014-05-30
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Miller, Everett C.
N/A
IA-3841
http://www.sec.gov/litigation/opinions/2014/ia-3841.pdf
3-15580
2014-05-30
Order Granting Petition for Review and Scheduling Briefs
Order
Chiasson, Anthony
N/A
IC-31063
http://www.sec.gov/rules/ic/2014/ic-31063.pdf
812-14267
2014-05-29
Notice
Notice
Prudential Investments LLC, et al.
http://www.federalregister.gov/citation/79-FR-32334
79 FR 32334
IC-31064
http://www.sec.gov/rules/ic/2014/ic-31064.pdf
812-14273
2014-05-30
Notice
Notice
BMO Funds, Inc., et al.
http://www.federalregister.gov/citation/79-FR-32582
79 FR 32582
IC-31065
http://www.sec.gov/rules/icdereg/2014/ic-31065.pdf
811-9174
811-22067
811-6707
811-8168
811-5086
811-21283
811-9459
811-10553
811-21157
811-9453
811-7116
811-22123
811-9473
811-6178
811-6619
811-6424
811-6295
811-9463
811-10445
811-10637
811-6457
811-7792
811-9172
811-9777
811-9847
811-10411
811-10147
811-10413
811-10617
811-21087
811-21192
811-21441
811-21453
811-6239
811-5047
2014-05-30
Notice
Notice
Aegis Value Fund Inc.
AllianzGI Global Equity & Convertible Income Fund
Aquila Narragansett Tax-Free Income Fund
Aquila Three Peaks Opportunity Growth Fund
Churchill Tax Free Trust
Excelsior Buyout Investors LLC
Nuveen Arizona Dividend Advantage Municipal Fund
Nuveen Arizona Dividend Advantage Municipal Fund 2
Nuveen Arizona Dividend Advantage Municipal Fund 3
Nuveen Michigan Dividend Advantage Municipal Fund
Nuveen Michigan Premium Income Municipal Fund Inc.
Nuveen Municipal High Income Opportunity Fund 2
Nuveen New York Dividend Advantage Municipal Income Fund
Nuveen New York Investment Quality Municipal Fund Inc.
Nuveen New York Premium Income Municipal Fund Inc.
Nuveen New York Quality Income Municipal Fund Inc.
Nuveen New York Select Quality Municipal Fund Inc.
Nuveen Ohio Dividend Advantage Municipal Fund
Nuveen Ohio Dividend Advantage Municipal Fund 2
Nuveen Ohio Dividend Advantage Municipal Fund 3
Nuveen Premier Municipal Opportunity Fund Inc.
Nuveen Premium Income Municipal Opportunity Fund
Separate Account VA A
Separate Account VA D
Separate Account VA E
Separate Account VA F
Separate Account VA I
Separate Account VA J
Separate Account VA K
Separate Account VA L
Separate Account VA P
Separate Account VA R
Separate Account VA S
Tax-Free Fund for Utah
Tax-Free Fund of Colorado
http://www.federalregister.gov/citation/79-FR-32775
79 FR 32775
ID-602
http://www.sec.gov/alj/aljdec/2014/id602ce.pdf
3-15263
2014-05-27
Initial Decision
Initial Decision
Zavanelli, Max E.
ZPR Investment Management, Inc.
N/A
ID-603
http://www.sec.gov/alj/aljdec/2014/id603ce.pdf
3-15841
2014-05-27
Initial Decision of Default
Initial Decision
Amcore Financial, Inc.
China Sure Water (USA), Inc.
EuroBancshares, Inc.
InterAmerican Acquisition Group, Inc.
Link Scaffold Products North America
N/A
ID-604
http://www.sec.gov/alj/aljdec/2014/id604bpm.pdf
3-15859
2014-05-28
Initial Decision on Default
Initial Decision
Assured Equities IV Corp.
Beach First National Bancshares, Inc.
Norquest Acquisition Corp.
SAE Acquisitions, Inc.
Unity Holdings, Inc.
Winrock International, Inc.
N/A
ID-605
http://www.sec.gov/alj/aljdec/2014/id605cff.pdf
3-15755
2014-05-30
Initial Decision
Initial Decision
Feathers, Mark
N/A
ID-606
http://www.sec.gov/alj/aljdec/2014/id606cff.pdf
3-15691
2014-05-30
Initial Decision
Initial Decision
Rathgeber, James A.
N/A
LR-23003
http://www.sec.gov/litigation/litreleases/2014/lr23003.htm
3:14-CV-01909-B
2014-05-27
Enforcement Case
Benson, I. John
DGSE Companies, Inc.
N/A
LR-23004
http://www.sec.gov/litigation/litreleases/2014/lr23004.htm
5:14-CV-00299-FL(EDNC)
2014-05-27
Enforcement Case
Drewery, Ronald L.
N/A
LR-23005
http://www.sec.gov/litigation/litreleases/2014/lr23005.htm
2:11-CV-00053-KJM-KJN
2014-05-28
Enforcement Case
Armento, Cassandra
Gendarme Capital Corporation
Lamphere, Ian
Rahimi, Ezat
N/A
LR-23006
http://www.sec.gov/litigation/litreleases/2014/lr23006.htm
1:11-CV-10633
2014-05-28
Enforcement Case
George, Melissa
N/A
LR-23007
http://www.sec.gov/litigation/litreleases/2014/lr23007.htm
14 C 3785
2014-05-28
Enforcement Case
Illinois Stock Transfer Company d/b/a IST Shareholder Services
Pearson, Robert G.
N/A
LR-23008
http://www.sec.gov/litigation/litreleases/2014/lr23008.htm
1:14-CV-03900
2014-05-29
Enforcement Case
Blue Horizon Asset Management
Caldera Advisors
Caldera Investment Group
Goyal, Neal V.
N/A
LR-23009
http://www.sec.gov/litigation/litreleases/2014/lr23009.htm
2:13-CIV-14047
2014-05-29
Enforcement Case
Olive, Richard K.
Olive, Susan L.
N/A
LR-23010
http://www.sec.gov/litigation/litreleases/2014/lr23010.htm
4:14-CV-0348
2014-05-30
Enforcement Case
McCraw, Steven M.
N/A