Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order

2015-02-26 110 13 2015-01-12 2015-01-16 Securities Act of 1933 33 9697 9702 Securities Exchange Act of 1934 34 74031 74090 Accounting and Auditing Enforcement Release AAER 3619 3619 Administrative Proceeding AP 2206 2229 Investment Advisers Act of 1940 IA 3993 4000 Investment Company Act of 1940 IC 31409 31421 Initial Decision ID 734 737 Litigation Release LR 23172 23174 33-9697 http://www.sec.gov/litigation/admin/2015/33-9697.pdf 34-74060 3-16338 2015-01-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled UBS Securities LLC N/A 33-9698 http://www.sec.gov/rules/other/2015/33-9698.pdf 34-74061 3-16338 2015-01-15 Order Granting a Waiver From Being an Ineligible Issuer Order UBS AG N/A 33-9699 http://www.sec.gov/litigation/admin/2015/33-9699.pdf 34-74065 3-16339 2015-01-15 Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing AP Litigated Briner, John, Esq., et al. N/A 33-9700 http://www.sec.gov/litigation/admin/2015/33-9700.pdf 34-74066 3-16340 2015-01-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Carnie, Stuart N/A 33-9701 http://www.sec.gov/litigation/admin/2015/33-9701.pdf 34-74068 3-16341 2015-01-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Irizarry, Charles N/A 33-9702 http://www.sec.gov/litigation/admin/2015/33-9702.pdf 34-74069 3-16342 2015-01-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Middleton, Wayne N/A 34-74031 http://www.sec.gov/rules/sro/nyse/2015/34-74031.pdf SR-NYSE-2014-78 2015-01-12 Notice / Immediate Effectiveness Amending Its Price List Relating to Fees for Bond Trading License Firms SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/80-FR-2462 80 FR 2462 34-74032 http://www.sec.gov/litigation/admin/2015/34-74032.pdf 3-16332 2015-01-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled EDGA Exchange, Inc. EDGX Exchange, Inc. N/A 34-74033 http://www.sec.gov/rules/sro/ficc/2015/34-74033.pdf SR-FICC-2014-12 2015-01-12 Notice / Immediate Effectiveness to Modify the Fee Schedule in the Mortgage-Backed Securities Division Clearing Rules SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/80-FR-2452 80 FR 2452 34-74034 http://www.sec.gov/rules/sro/miax/2015/34-74034.pdf SR-MIAX-2014-71 2015-01-12 Notice / Immediate Effectiveness to Amend Exchange Rule 807 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/80-FR-2465 80 FR 2465 34-74035 http://www.sec.gov/rules/sro/nyse/2015/34-74035.pdf SR-NYSE-2014-63 2015-01-12 Order / Amending Rules 311 and 313 to Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate the Requirement that SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/80-FR-2450 80 FR 2450 34-74036 http://www.sec.gov/rules/sro/nysemkt/2015/34-74036.pdf SR-NYSEMKT-2014-97 2015-01-12 Order / Amending Rules 311 - Equities and 313 - Equities to Add Limited Liability Companies as Eligible Member Organizations and Delineate the Information Limited Liability Companies Must Submit to the Exchange as Part of the Membership Process; Eliminate SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/80-FR-2457 80 FR 2457 34-74037 http://www.sec.gov/litigation/admin/2015/34-74037.pdf 3-16005 2015-01-13 Notice That Initial Decision Has Become Final Notice Glolbal Stevia Corp. N/A 34-74038 http://www.sec.gov/rules/sro/c2/2015/34-74038.pdf SR-C2-2014-028 2015-01-13 Notice / Immediate Effectiveness Relating to Amending Rule 8.2(d) SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-2455 80 FR 2455 34-74039 http://www.sec.gov/litigation/admin/2015/34-74039.pdf AAER-3619 3-16333 2015-01-13 Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Crane, James T., CPA N/A 34-74040 http://www.sec.gov/rules/sro/nasdaq/2015/34-74040.pdf SR-NASDAQ-2015-003 2015-01-13 Notice / Immediate Effectiveness Regarding the Extranet Access Fee SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/80-FR-2460 80 FR 2460 34-74041 http://www.sec.gov/rules/sro/nasdaq/2015/34-74041.pdf SR-NASDAQ-2014-110 2015-01-13 Order / to Adopt NASDAQ Rule 7015(i) to Offer the New IPO Workstation SRO Filing NASDAQ Stock Market LLC; http://www.federalregister.gov/citation/80-FR-2762 80 FR 2762 34-74042 http://www.sec.gov/rules/sro/occ/2015/34-74042.pdf SR-OCC-2015-01 2015-01-13 Notice / Concerning the Date of the Annual Meeting of The Options Clearing Corporation's Stockholders SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/80-FR-2760 80 FR 2760 34-74043 http://www.sec.gov/rules/sro/bats/2015/34-74043.pdf SR-BATS-2015-01 2015-01-13 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/80-FR-2763 80 FR 2763 34-74044 http://www.sec.gov/litigation/admin/2015/ia-3993.pdf IA-3993 3-16334 2015-01-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Shelton Financial Group, Inc. Shelton, Jeffrey N/A 34-74045 http://www.sec.gov/rules/sro/bx/2015/34-74045.pdf SR-BX-2015-003 2015-01-13 Notice / Immediate Effectiveness Regarding the Extranet Access Fee SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/80-FR-2766 80 FR 2766 34-74046 http://www.sec.gov/rules/sro/ficc/2015/34-74046.pdf SR-FICC-2014-06 2015-01-13 Order / to Amend the Rules of the Government Securities Division and the Mortgage-Backed Securities Division on Insolvency and Ceasing to Act SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/80-FR-2758 80 FR 2758 34-74047 http://www.sec.gov/litigation/admin/2015/34-74047.pdf 3-16247 2015-01-14 Notice That Initial Decision Has Become Final Notice VHGI Holdings Inc. N/A 34-74048 http://www.sec.gov/litigation/admin/2015/34-74048.pdf 3-16221 2015-01-14 Notice That Initial Decision Has Become Final Notice 4301 et al. N/A 34-74049 http://www.sec.gov/rules/sro/finra/2015/34-74049.pdf SR-FINRA-2015-001 2015-01-14 Notice / Immediate Effectiveness to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/80-FR-2983 80 FR 2983 34-74050 http://www.sec.gov/rules/sro/byx/2015/34-74050.pdf SR-BYX-2015-01 2015-01-14 Notice / Immediate Effectiveness to Related to Fees for Use of BATS Y-Exchange, Inc. SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/80-FR-2989 80 FR 2989 34-74051 http://www.sec.gov/rules/sro/nyse/2015/34-74051.pdf SR-NYSE-2014-59 2015-01-14 Notice / Amending Rule 13 and Related Rules Governing Order Types and Modifiers, as modified by Partial Amendment No. 1 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/80-FR-2983 80 FR 2983 34-74052 http://www.sec.gov/rules/sro/bats/2015/34-74052.pdf SR-BATS-2015-02 2015-01-14 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/80-FR-2987 80 FR 2987 34-74053 http://www.sec.gov/rules/sro/icc/2015/34-74053.pdf SR-ICC-2015-001 2015-01-14 Notice / to Revise ICC End-of-Day Price Discovery Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/80-FR-2985 80 FR 2985 34-74054 http://www.sec.gov/litigation/opinions/2015/34-74054.pdf 3-15993 2015-01-14 Order Granting Petition for Review and Scheduling Briefs Order Accredited Business Consolidators Corp. N/A 34-74055 http://www.sec.gov/rules/sro/cme/2015/34-74055.pdf SR-CME-2015-001 2015-01-14 Notice / Immediate Effectiveness Related to Clearing of Certain iTraxx Europe Index Untranched CDS Contracts on Indices Administered by Markit SRO Filing Chicago Mercantile Exchange Inc. http://www.federalregister.gov/citation/80-FR-2991 80 FR 2991 34-74056 http://www.sec.gov/litigation/admin/2015/34-74056.pdf 3-16282 2015-01-15 Notice That Initial Decision Has Become Final Notice All-American Care Centers, Inc. FDH, Inc. USN Communications, Inc. (n/k/a CTBB Holdings, Inc.) N/A 34-74057 http://www.sec.gov/rules/other/2015/34-74057.pdf NO FILE NUMBER 2015-01-15 Order Making Fiscal Year 2015 Annual Adjustments to Transaction Fee Rates Order Order Making Fiscal Year 2015 Annual Adjustments to Transaction Fee Rates http://www.federalregister.gov/citation/80-FR-2978 80 FR 2978 34-74058 http://www.sec.gov/rules/sro/nysearca/2015/34-74058.pdf SR-NYSEARCA-2014-114 2015-01-15 Notice / Order Accelerating as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the iShares Interest Rate Hedged 0-5 Year High Yield Bond ETF, iShares Interest Rate Hedged 10+ Year Credit Bond ETF, and the iShares Interest Rate Hedged SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/80-FR-3924 80 FR 3924 34-74059 http://www.sec.gov/rules/sro/phlx/2015/34-74059.pdf SR-PHLX-2015-01 2015-01-15 Notice / Immediate Effectiveness Relating to Customer Rebate Program SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/80-FR-3292 80 FR 3292 34-74060 http://www.sec.gov/litigation/admin/2015/33-9697.pdf 33-9697 3-16338 2015-01-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled UBS Securities LLC N/A 34-74061 http://www.sec.gov/rules/other/2015/33-9698.pdf 33-9698 3-16338 2015-01-15 Order Granting a Waiver From Being an Ineligible Issuer Order UBS AG N/A 34-74062 http://www.sec.gov/rules/sro/phlx/2015/34-74062.pdf SR-PHLX-2015-06 2015-01-15 Notice / Immediate Effectiveness Relating to Amendments to Sections II and IV of the Pricing Schedule SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/80-FR-3278 80 FR 3278 34-74063 http://www.sec.gov/rules/sro/nyse/2015/34-74063.pdf SR-NYSE-2015-01 2015-01-15 Notice / Immediate Effectiveness to Add a Price Protection Mechanism to Prevent the Automatic Execution of Incoming Market Orders and Marketable Limit Orders Outside a Specified Parameter and Eliminate Liquidity Replenishment Points and the Gap Quote SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/80-FR-3269 80 FR 3269 34-74064 http://www.sec.gov/rules/sro/nysemkt/2015/34-74064.pdf SR-NYSEMKT-2015-02 2015-01-15 Notice/Immediate Effectiveness to Add a Price Protection Mechanism to Prevent the Automatic Execution of Incoming Market Orders and Marketable Limit Orders Outside a Specified Parameter and Eliminate Liquidity Replenishment Points and the Gap Quote Policy SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/80-FR-3273 80 FR 3273 34-74065 http://www.sec.gov/litigation/admin/2015/33-9699.pdf 33-9699 3-16339 2015-01-15 Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing AP Litigated Briner, John, Esq., et al. N/A 34-74066 http://www.sec.gov/litigation/admin/2015/33-9700.pdf 33-9700 3-16340 2015-01-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Carnie, Stuart N/A 34-74067 http://www.sec.gov/rules/sro/cboe/2015/34-74067.pdf SR-CBOE-2015-004 2015-01-15 Notice / Immediate Effectiveness to Delay the Implementation Date of Rule Change SR-CBOE-2014-040 SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-3267 80 FR 3267 34-74068 http://www.sec.gov/litigation/admin/2015/33-9701.pdf 33-9701 3-16341 2015-01-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Irizarry, Charles N/A 34-74069 http://www.sec.gov/litigation/admin/2015/33-9702.pdf 33-9702 3-16342 2015-01-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Middleton, Wayne N/A 34-74070 http://www.sec.gov/litigation/admin/2015/34-74070.pdf IA-3998 3-16343 2015-01-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Crafton, Bill C. (Billy), Jr. N/A 34-74071 http://www.sec.gov/litigation/admin/2015/34-74071.pdf 3-11645 2015-01-15 Order Directing Disbursement Order PA Distributors LLC f/k/a PIMCO Advisors Distributors LLC PA Fund Management LLC f/k/a PIMCO Advisors Fund Management LLC PEA Capital LLC f/k/a PIMCO Equity Advisors LLC N/A 34-74072 http://www.sec.gov/rules/sro/edgx/2015/34-74072.pdf SR-EDGX-2015-02 2015-01-15 Notice / Immediate Effectiveness to Clarify the Use of Certain Data Feeds SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/80-FR-3282 80 FR 3282 34-74073 http://www.sec.gov/rules/sro/occ-an/2015/34-74073.pdf SR-OCC-2014-812 2015-01-15 Notice of Filing of Advance Notice Concerning Extended and Overnight Trading Sessions SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/80-FR-3287 80 FR 3287 34-74074 http://www.sec.gov/rules/sro/bats/2015/34-74074.pdf SR-BATS-2015-04 2015-01-15 Notice / Immediate Effectiveness to Clarify the Use of Certain Data Feeds SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/80-FR-3679 80 FR 3679 34-74075 http://www.sec.gov/rules/sro/byx/2015/34-74075.pdf SR-BYX-2015-03 2015-01-15 Notice / Immediate Filing to Clarify the Use of Certain Data Feeds SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/80-FR-3693 80 FR 3693 34-74076 http://www.sec.gov/rules/sro/edga/2015/34-74076.pdf SR-EDGA-2015-02 2015-01-15 Notice / Immediate Effectiveness to Clarify the Use of Certain Data Feeds SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/80-FR-3674 80 FR 3674 34-74077 http://www.sec.gov/rules/sro/nasdaq/2015/34-74077.pdf SR-NASDAQ-2015-002 2015-01-16 Notice / Immediate Effectiveness Regarding the Extranet Access Fee SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/80-FR-3683 80 FR 3683 34-74078 http://www.sec.gov/rules/sro/nasdaq/2015/34-74078.pdf SR-NASDAQ-2015-004 2015-01-16 Notice / Immediate Effectiveness Relating to Membership Application SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/80-FR-3689 80 FR 3689 34-74079 http://www.sec.gov/litigation/admin/2015/34-74079.pdf 3-12372 2015-01-16 Order Directing Disbursement of a Fair Fund Order Waddell & Reed Investment Management Company Waddell & Reed Services Company Waddell & Reed, Inc. N/A 34-74080 http://www.sec.gov/litigation/admin/2015/34-74080.pdf 3-16264 2015-01-16 Extension Order Order Reeves, Alfred P., III N/A 34-74081 http://www.sec.gov/litigation/admin/2015/34-74081.pdf 3-16246 2015-01-16 Order Appointing Tax Administrator Order Williams, Steven Durrelle N/A 34-74082 http://www.sec.gov/rules/sro/icc/2015/34-74082.pdf SR-ICC-2014-19 2015-01-16 Notice / to Formalize the ICC Operational Risk Management Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/80-FR-3687 80 FR 3687 34-74083 http://www.sec.gov/rules/sro/nysemkt/2015/34-74083.pdf SR-NYSEMKT-2015-01 2015-01-16 Notice / Immediate Effectiveness Amending Sections 140 and 141 of The NYSE MKT Company Guide to Adopt A New Flat Annual Fee of $5,000 for Listed Warrants SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/80-FR-3685 80 FR 3685 34-74084 http://www.sec.gov/rules/sro/icc/2015/34-74084.pdf SR-ICC-2015-002 2015-01-16 Notice / to Revise the ICC Treasury Operations Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/80-FR-3691 80 FR 3691 34-74085 http://www.sec.gov/rules/sro/iceeu/2015/34-74085.pdf SR-ICEEU-2014-20 2015-01-16 Order / Relating to CDS Pricing Policy SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/80-FR-3699 80 FR 3699 34-74086 http://www.sec.gov/rules/sro/nysemkt/2015/34-74086.pdf SR-NYSEMKT-2015-04 2015-01-16 Notice / Immediate Effectiveness Amending the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/80-FR-3701 80 FR 3701 34-74087 http://www.sec.gov/rules/sro/nysemkt/2015/34-74087.pdf SR-NYSEMKT-2014-86 2015-01-16 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Remove the Exchange's Quote Mitigation Plan as Provided by Exchange Rule 970.1NY SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/80-FR-3697 80 FR 3697 34-74088 http://www.sec.gov/rules/sro/nysearca/2015/34-74088.pdf SR-NYSEARCA-2014-117 2015-01-16 Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Remove the Exchange's Quote Mitigation Plan as Provided by Commentary .03 to Exchange Rule 6.86 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/80-FR-3687 80 FR 3687 34-74089 http://www.sec.gov/litigation/admin/2015/34-74089.pdf IA-3999 IC-31421 3-16344 2015-01-16 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Giovannetti, Edgar Lee N/A 34-74090 http://www.sec.gov/litigation/admin/2015/34-74090.pdf 3-16283 2015-01-16 Order Making Findings and Revoking Registration AP Settled Forum National Investments, Ltd. N/A AAER-3619 http://www.sec.gov/litigation/admin/2015/34-74039.pdf 34-74039 3-16333 2015-01-13 Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Crane, James T., CPA N/A AP-2206 http://www.sec.gov/alj/aljorders/2015/ap-2206.pdf 3-16181 2015-01-12 Order Order MacDonald, Duncan J., III N/A AP-2207 http://www.sec.gov/alj/aljorders/2015/ap-2207.pdf 3-16033 2015-01-12 Notice of Hearing Location Notice Airtouch Communications, Inc. Kaiser, Jerome, CPA Kanakubo, Hideyuki N/A AP-2208 http://www.sec.gov/alj/aljorders/2015/ap-2208.pdf 3-16293 2015-01-12 Prehearing Scheduling Order Order Bebo, Laurie Buono, John, CPA N/A AP-2209 http://www.sec.gov/alj/aljorders/2015/ap-2209.pdf 3-16328 2015-01-12 Order Postponing Hearing and Scheduling Prehearing Conference Order Robert Geiger, George Barbaresi, and Steve Downey, CPA Vero Capital Management, LLC N/A AP-2210 http://www.sec.gov/alj/aljorders/2015/ap-2210.pdf 3-16165 2015-01-12 Stay Order Order Cacchione, David Scott N/A AP-2211 http://www.sec.gov/alj/aljorders/2015/ap-2211.pdf 3-16198 2015-01-13 Order Denying Motion for Stay Order Penna, Gaeton S. Della N/A AP-2212 http://www.sec.gov/alj/aljorders/2015/ap-2212.pdf 3-15350 2015-01-13 Order on Consent Motion to Extend Prehearing Schedule Order Securities Industry and Financial Markets Association N/A AP-2213 http://www.sec.gov/alj/aljorders/2015/ap-2213.pdf 3-16037 2015-01-13 Order Regarding Respondents' Reliance on Advice Defenses Order Page, Edgar R. PageOne Financial Inc. N/A AP-2214 http://www.sec.gov/alj/aljorders/2015/ap-2214.pdf 3-15974 2015-01-13 Order Order Cohen, James E. Corazzi, Joseph A. Natural Blue Resources, Inc. N/A AP-2215 http://www.sec.gov/alj/aljorders/2015/ap-2215.pdf 3-16287 2015-01-14 Order Order Meuse, Joseph N/A AP-2216 http://www.sec.gov/alj/aljorders/2015/ap-2216.pdf 3-16037 2015-01-14 Order on Motions in Limine Order Page, Edgar R. Pageone Financial, Inc. N/A AP-2217 http://www.sec.gov/alj/aljorders/2015/ap-2217.pdf 3-16182 2015-01-14 Scheduling Order Order Lloyd, Jr., Paul Edward "Ed", CPA N/A AP-2218 http://www.sec.gov/alj/aljorders/2015/ap-2218.pdf 3-16318 2015-01-14 Order Postponing Hearing and Ordering Parties to Conduct a Prehearing Conference Order Aurum Mining, LLC Cllug, Alexandre S. Corsair Group, Inc. (The) Crow, Michael W. Panam Terra, Inc. N/A AP-2219 http://www.sec.gov/alj/aljorders/2015/ap-2219.pdf 3-15918 2015-01-14 Order on Division of Enforcement's Motion to Strike Order Malouf, Dennis J. N/A AP-2220 http://www.sec.gov/alj/aljorders/2015/ap-2220.pdf 3-15873 2015-01-15 Order Order Delaney, Thomas R., II Yancey, Charles W. N/A AP-2221 http://www.sec.gov/alj/aljorders/2015/ap-2221.pdf 3-16293 2015-01-15 Order Regarding Subpoenas to Produce Order Bebo, Laurie Buono, John, CPA N/A AP-2222 http://www.sec.gov/alj/aljorders/2015/ap-2222.pdf 3-16142 2015-01-15 Order Scheduling Prehearing Conference Order Jordan, John N/A AP-2223 http://www.sec.gov/alj/aljorders/2015/ap-2223.pdf 3-16326 2015-01-15 Order Following Prehearing Conference Order Eldaher, Khaled A. N/A AP-2224 http://www.sec.gov/alj/aljorders/2015/ap-2224.pdf 3-16335 2015-01-15 Order Scheduling Hearing and Designating Presiding Judge Order Slade, Duane Hamblin N/A AP-2225 http://www.sec.gov/alj/aljorders/2015/ap-2225.pdf 3-16337 2015-01-15 Order Scheduling Hearing and Designating Presiding Judge Order Williams, Brent F. N/A AP-2226 http://www.sec.gov/alj/aljorders/2015/ap-2226.pdf 3-16176 2015-01-16 Order Order China Valves Technology, Inc. N/A AP-2227 http://www.sec.gov/alj/aljorders/2015/ap-2227.pdf 3-16336 2015-01-16 Order Scheduling Hearing and Designating Presiding Judge Order Williams, Guy Andrew N/A AP-2228 http://www.sec.gov/alj/aljorders/2015/ap-2228.pdf 3-15842 2015-01-16 Motion to Commission for Extension Order Cooper, Jacob Keith McNamee, Nathan Shoemaker, Douglas David Total Wealth Management, Inc. N/A AP-2229 http://www.sec.gov/alj/aljorders/2015/ap-2229.pdf 3-15974 2015-01-16 Order Denying Certification for Interlocutory Review Order Cohen, James E. Corazzi, Joseph A. Natural Blue Resources, Inc. N/A IA-3993 http://www.sec.gov/litigation/admin/2015/ia-3993.pdf 34-74044 3-16334 2015-01-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Shelton Financial Group, Inc. Shelton, Jeffrey N/A IA-3994 http://www.sec.gov/litigation/admin/2015/ia-3994.pdf 3-16335 2015-01-13 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Slade, Duane Hamblin N/A IA-3995 http://www.sec.gov/litigation/admin/2015/ia-3995.pdf 3-16336 2015-01-13 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Williams, Guy Andrew N/A IA-3996 http://www.sec.gov/litigation/admin/2015/ia-3996.pdf 3-16337 2015-01-13 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Williams, Brent F. N/A IA-3997 http://www.sec.gov/rules/ia/2015/ia-3997.pdf 803-00217 2015-01-14 Order Order Crestview Advisors, LLC N/A IA-3998 http://www.sec.gov/litigation/admin/2015/34-74070.pdf 34-74070 3-16343 2015-01-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Crafton, Bill C. (Billy), Jr. N/A IA-3999 http://www.sec.gov/litigation/admin/2015/34-74089.pdf 34-74089 IC-31421 3-16344 2015-01-16 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Giovannetti, Edgar Lee N/A IA-4000 http://www.sec.gov/litigation/admin/2015/ia-4000.pdf 3-16345 2015-01-16 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Consulting Services Group, LLC N/A IC-31409 http://www.sec.gov/rules/ic/2015/ic-31409.pdf 812-14097 2015-01-12 Order Order Garrison Capital, Inc. et al. N/A IC-31410 http://www.sec.gov/rules/ic/2015/ic-31410.pdf 812-14393 2015-01-13 Order Order Foreside Fund Services, LLC Mortgage Managers Trust Palmer Square Capital Management LLC N/A IC-31411 http://www.sec.gov/rules/ic/2015/ic-31411.pdf 812-14403 2015-01-13 Order Order Royal Bank of Canada et al. N/A IC-31412 http://www.sec.gov/rules/ic/2015/ic-31412.pdf 812-13961 2015-01-13 Order Order SPDR Index Shares Funds SPDR Series Trust SSGA Active Trust SSGA Funds Management, Inc. SSGA Master Trust N/A IC-31413 http://www.sec.gov/rules/ic/2015/ic-31413.pdf 812-14345 2015-01-13 Order Order Acuitas Investments, LLC Forum Funds II N/A IC-31414 http://www.sec.gov/rules/ic/2015/ic-31414.pdf 812-14344 2015-01-13 Order Order CVR Portfolio Funds LLC Forum Funds II N/A IC-31415 http://www.sec.gov/rules/icdereg/2015/ic-31415.pdf 812-22460 2015-01-14 Order Order Morgan Creek Global Equity Long/Short Fund N/A IC-31416 http://www.sec.gov/rules/icdereg/2015/ic-31416.pdf 811-21675 2015-01-14 Order Order WY Funds N/A IC-31417 http://www.sec.gov/rules/icdereg/2015/ic-31417.pdf 811-22187 2015-01-14 Order Order Pax World Funds Trust II N/A IC-31418 http://www.sec.gov/rules/icdereg/2015/ic-31418.pdf 811-10475 2015-01-14 Order Order Country Mutual Funds Trust N/A IC-31419 http://www.sec.gov/rules/icdereg/2015/ic-31419.pdf 811-6443 2015-01-14 Order Order Blackrock Income Opportunity Trust, Inc. N/A IC-31420 http://www.sec.gov/rules/icdereg/2015/ic-31420.pdf 811-8212 2015-01-14 Order Order J.P. Morgan Series Trust II N/A IC-31421 http://www.sec.gov/litigation/admin/2015/34-74089.pdf 34-74089 IA-3999 3-16344 2015-01-16 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Giovannetti, Edgar Lee N/A ID-734 http://www.sec.gov/alj/aljdec/2015/id734ce.pdf 3-15574 2015-01-12 Initial Decision Initial Decision Chau, Wing F. Harding Advisory LLC N/A ID-735 http://www.sec.gov/alj/aljdec/2015/id735bpm.pdf 3-16313 2015-01-13 Initial Decision on Default Initial Decision Billiard Channel, Inc. Boston Chicken, Inc. Bridgeport Capital Corp. Broadway International Development Corp. N/A ID-736 http://www.sec.gov/alj/aljdec/2015/id736ce.pdf 3-16291 2015-01-13 Initial Decision of Default as to Two Respondents Initial Decision Bingo.Com, Inc. Biocol, Inc. N/A ID-737 http://www.sec.gov/alj/aljdec/2015/id737cff.pdf 3-15900 2015-01-16 Initial Decision Initial Decision Bravata, Antonio M. Bravata, John J.` N/A LR-23172 http://www.sec.gov/litigation/litreleases/2015/lr23172.htm 3:14-CR-00207 2015-01-13 Enforcement Case Myers, Noah L. N/A LR-23173 http://www.sec.gov/litigation/litreleases/2015/lr23173.htm 15-CV-00237-KM-SCM 2015-01-13 Enforcement Case Milrud, Alexsandr N/A LR-23174 http://www.sec.gov/litigation/litreleases/2015/lr23174.htm 13-CV-4609 BUCHWALD 2015-01-16 Enforcement Case Bagattin, Adriana Rosa Blaya, Gonzalo Garcia De Lorenzo, Cecilia Ferrari, Mariano Pablo Ficicchia, Andres Horacio Goldman, Daniela Patricia Graciarena, Mariano Augusto Hernando, Lucia Mariana Loureyro, Fernando Tavella, Magdalena N/A