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

2015-11-23 112 13 2015-10-19 2015-10-23 Securities Act of 1933 33 9964 9965 Securities Exchange Act of 1934 34 76184 76257 Trust Indenture Act of 1939 39 2507 2507 Accounting and Auditing Enforcement Release AAER 3715 3715 Administrative Proceedings AP 3235 3254 Investment Advisers Act of 1940 IA 4233 4241 Investment Company Act of 1940 IC 31869 31880 Initial Decisions (ALJ) ID 900 903 Litigation Releases LR 23389 23391 33-9964 http://www.sec.gov/litigation/admin/2015/33-9964.pdf IA-4233 IC-31869 3-16909 2015-10-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled UBS Fund Advisor, L.L.C. UBS Willow Management L.L.C. 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65274-FR-65274 80 FR 65274 34-76199 http://www.sec.gov/rules/sro/bx/2015/34-76199.pdf SR-BX-2015-057 2015-10-20 Notice / Immediate Effectiveness to Implement An Order Exposure Alert to be Disseminated by the Exchange SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/80 FR 65271-FR-65271 80 FR 65271 34-76200 http://www.sec.gov/rules/sro/edgx/2015/34-76200.pdf SR-EDGX-2015-48 2015-10-20 Notice / Immediate Effectiveness to Amend Rule 19.3 to Allow the Listing of Certain Options Based on International Indexes SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/80 FR 65263-FR-65263 80 FR 65263 34-76201 http://www.sec.gov/rules/sro/miax/2015/34-76201.pdf SR-MIAX-2015-59 2015-10-20 Notice / Immediate Effectiveness to Amend Exchange Rule 404 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/80 FR 65277-FR-65277 80 FR 65277 34-76202 http://www.sec.gov/rules/sro/nysearca/2015/34-76202.pdf SR-NYSEARCA-2015-77 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Effectiveness to Amend Rule 11.25, Retail Order Attribution Program SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/80 FR 65828-FR-65828 80 FR 65828 34-76206 http://www.sec.gov/rules/sro/byx/2015/34-76206.pdf SR-BYX-2015-38 2015-10-21 Notice / Designation of a Longer Period for Commission Action to Amend Rules 1.5(r) and 11.1 and Adopt New Rule 11.1(a)(1) SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/80 FR 65823-FR-65823 80 FR 65823 34-76207 http://www.sec.gov/rules/sro/byx/2015/34-76207.pdf SR-BYX-2015-45 2015-10-21 Notice / Immediate Effectiveness to Amend Rule 11.24, Retail Price Improvement Program SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/80 FR 65824-FR-65824 80 FR 65824 34-76208 http://www.sec.gov/rules/sro/nysemkt/2015/34-76208.pdf SR-NYSEMKT-2015-78 2015-10-21 Notice / Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule Related to the Amex Customer Engagement Program SRO Filing 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Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/80 FR 65826-FR-65826 80 FR 65826 34-76216 http://www.sec.gov/litigation/admin/2015/34-76216.pdf 3-16293 2015-10-21 Extension Order Order Bebo, Laurie Buono, John, CPA N/A 34-76217 http://www.sec.gov/alj/aljdec/2015/34-76217.pdf IA-4236 3-16217 2015-10-21 Notice That Initial Decision Has Become Final Notice Petrou, Thrasos Tommy N/A 34-76218 http://www.sec.gov/litigation/admin/2015/34-76218.pdf IA-4237 3-16915 2015-10-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bowie, Joseph Wayne Research Holdings, LLC Retirement Investment Advisors Inc. 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N/A AP-3237 http://www.sec.gov/alj/aljorders/2015/ap-3237.pdf 3-16906 2015-10-19 Order Scheduling Hearing and Designating Presiding Judge Order Accentia Biopharmaceuticals, Inc. Biostem U.S. Corp. N/A AP-3238 http://www.sec.gov/alj/aljorders/2015/ap-3238.pdf 3-16907 2015-10-19 Order Scheduling Hearing and Designating Presiding Judge Order Life Care Medical Devices Ltd. New Leaf Brands, Inc. N/A AP-3239 http://www.sec.gov/alj/aljorders/2015/ap-3239.pdf 3-16433 2015-10-19 Motion to the Commission for Extension Order Scipione, Albert J. N/A AP-3240 http://www.sec.gov/alj/aljorders/2015/ap-3240.pdf 3-15967 2015-10-20 Order Extending Deadlines Order Labine, Lawrence M. N/A AP-3241 http://www.sec.gov/alj/aljorders/2015/ap-3241.pdf 3-16836 2015-10-20 Protective Order Order Alternative Securities Markets Group Corp. Blue Coast Banc Blue Coast Securities Corp. DBA GlobalCrowdTV, Inc. Muehler, Steven J. N/A AP-3242 http://www.sec.gov/alj/aljorders/2015/ap-3242.pdf 3-16729 2015-10-20 Order Granting Request to Extend Answer Deadline Order Boyd, Paul W., CPA Hall, David M. Miller Energy Resources, Inc. Vogt, Carlton W., III, CPA N/A AP-3243 http://www.sec.gov/alj/aljorders/2015/ap-3243.pdf 3-16840 2015-10-20 Order Following Prehearing Conference and to Show Cause Order Money Tree Lending Group, Inc. Pep Management Corp. Pop Starz Ventures 2, Inc. Primo World Markets Ltd. N/A AP-3244 http://www.sec.gov/alj/aljorders/2015/ap-3244.pdf 3-16888 2015-10-21 Order Postponing Hearing and Directing Parties to Hold a Prehearing Conference Order Bay Peak, LLC Roberts, Phillip Cory N/A AP-3245 http://www.sec.gov/alj/aljorders/2015/ap-3245.pdf 3-16712 2015-10-21 Prehearing Order Order De Charsonville, Gilles T. N/A AP-3246 http://www.sec.gov/alj/aljorders/2015/ap-3246.pdf 3-16914 2015-10-21 Order Scheduling Hearing and Designating Presiding Judge Order Litwok, Evelyn N/A AP-3247 http://www.sec.gov/alj/aljorders/2015/ap-3247.pdf 3-16888 2015-10-21 Protective Order Order Bay Peak, LLC Roberts, Phillip Cory N/A AP-3248 http://www.sec.gov/alj/aljorders/2015/ap-3248.pdf 3-16876 2015-10-21 Order Postponing Hearing and Scheduling Prehearing Conference Order Aksanov, Efim N/A AP-3249 http://www.sec.gov/alj/aljorders/2015/ap-3249.pdf 3-16832 2015-10-21 Order to Show Cause Order Advanced battery Technologies, Inc. Chauvin Enterprise, Inc. (a/k/a Internet Solutions for Business, Inc., a/k/a International Solutions for Business, Inc.) Oilsands Quest, Inc. N/A AP-3250 http://www.sec.gov/alj/aljorders/2015/ap-3250.pdf 3-16883 2015-10-22 Protective Order Order Innovative Business Solutions, LLC Jacob, Arthur F., CPA N/A AP-3251 http://www.sec.gov/alj/aljorders/2015/ap-3251.pdf 3-16886 2015-10-22 Order to Show Cause, Postponing Hearing and Scheduling Prehearing Conference Order OneSource Technologies, Inc. PackItGreen Holdings Corp. Raytec Corp. N/A AP-3252 http://www.sec.gov/alj/aljorders/2015/ap-3252.pdf 3-16433 2015-10-23 Order Granting Extension Order Scipione, Albert J. N/A AP-3253 http://www.sec.gov/alj/aljorders/2015/ap-3253.pdf 3-16824 2015-10-23 Scheduling Order Order Paez, Daniel N/A AP-3254 http://www.sec.gov/alj/aljorders/2015/ap-3254.pdf 3-16916 2015-10-23 Order Scheduling Hearing and Designating Presiding Judge Order King, Jeffrey A. N/A IA-4233 http://www.sec.gov/litigation/admin/2015/33-9964.pdf 33-9964 IC-31869 3-16909 2015-10-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled UBS Fund Advisor, L.L.C. UBS Willow Management L.L.C. N/A IA-4234 http://www.sec.gov/litigation/admin/2015/ia-4234.pdf 3-16911 2015-10-20 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Moore, Paul Lee N/A IA-4235 http://www.sec.gov/litigation/admin/2015/ia-4235.pdf 3-16914 2015-10-21 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Litwok, Evelyn N/A IA-4236 http://www.sec.gov/alj/aljdec/2015/34-76217.pdf 34-76217 3-16217 2015-10-21 Notice That Initial Decision Has Become Final Notice Petrou, Thrasos Tommy N/A IA-4237 http://www.sec.gov/litigation/admin/2015/34-76218.pdf 34-76218 3-16915 2015-10-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bowie, Joseph Wayne Research Holdings, LLC Retirement Investment Advisors Inc. N/A IA-4238 http://www.sec.gov/rules/other/2015/33-9965.pdf 33-9965 34-76240 39-2507 IC-31879 S7-21-15 2015-10-22 Proposed Rule Proposed Rule List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act http://www.federalregister.gov/citation/80 FR 65973-FR-65973 80 FR 65973 IA-4239 http://www.sec.gov/litigation/opinions/2015/34-76241.pdf 34-76241 IC-31880 3-15006 2015-10-22 Partial Stay Order Order Lucia, Raymond J., Jr. Raymond J. Lucia Companies, Inc. N/A IA-4240 http://www.sec.gov/litigation/admin/2015/34-76243.pdf 34-76243 3-16917 2015-10-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Taylor, Garfield M. N/A IA-4241 http://www.sec.gov/alj/aljdec/2015/ia-4241.pdf 3-16540 2015-10-23 Notice that Initial Decision Has Become Final Notice Kirkland, Stephen L. N/A IC-31869 http://www.sec.gov/litigation/admin/2015/33-9964.pdf 33-9964 IA-4233 3-16909 2015-10-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled UBS Fund Advisor, L.L.C. UBS Willow Management L.L.C. N/A IC-31870 http://www.sec.gov/rules/ic/2015/ic-31870.pdf 812-14536 2015-10-19 Notice Notice AAM ETF Trust Advisors Asset Management, Inc. http://www.federalregister.gov/citation/80 FR 64468-FR-64468 80 FR 64468 IC-31871 http://www.sec.gov/rules/ic/2015/ic-31871.pdf 812-14550 2015-10-19 Order Order GE Capital International Funding Company General Electric Company N/A IC-31872 http://www.sec.gov/rules/ic/2015/ic-31872.pdf 812-14509 2015-10-19 Order Order Principal Exchange-Traded Funds Principal Funds Distributor, Inc. Principal Management Corporation N/A IC-31873 http://www.sec.gov/rules/icdereg/2015/ic-31873.pdf 811-22928 2015-10-21 Order Order Carlyle Select Trust N/A IC-31874 http://www.sec.gov/rules/icdereg/2015/ic-31874.pdf 811-08312 2015-10-21 Order Order Daily Income Fund N/A IC-31875 http://www.sec.gov/rules/icdereg/2015/ic-31875.pdf 811-04922 2015-10-21 Order Order California Daily Tax Free Income Fund Inc. N/A IC-31876 http://www.sec.gov/rules/icdereg/2015/ic-31876.pdf 811-22399 2015-10-21 Order Order Oppenheimer Currency Opportunities Fund N/A IC-31877 http://www.sec.gov/rules/icdereg/2015/ic-31877.pdf 811-22812 2015-10-21 Order Order Ares Multi-Strategy Credit Fund, Inc. N/A IC-31878 http://www.sec.gov/rules/ic/2015/ic-31878.pdf 812-14506 2015-10-22 Notice Notice Good Hill ETF Trust Good Hill Partners LP http://www.federalregister.gov/citation/80 FR 66074-FR-66074 80 FR 66074 IC-31879 http://www.sec.gov/rules/other/2015/33-9965.pdf 33-9965 34-76240 39-2507 IA-4238 S7-21-15 2015-10-22 Proposed Rule Proposed Rule List of Rules to be Reviewed Pursuant to the Regulatory Flexibility Act http://www.federalregister.gov/citation/80 FR 65973-FR-65973 80 FR 65973 IC-31880 http://www.sec.gov/litigation/opinions/2015/34-76241.pdf 34-76241 IA-4239 3-15006 2015-10-22 Partial Stay Order Order Lucia, Raymond J., Jr. Raymond J. Lucia Companies, Inc. N/A ID-900 http://www.sec.gov/alj/aljdec/2015/id900bpm.pdf 3-16802 2015-10-19 Initial Decision Initial Decision Bala Cynwyd Corp. Digital Lighthouse Corp. Great Idea Corp. Green Carbon Technologies Corp. Riverside Parkway, Inc. Southern Community Bancshares, Inc. Submicron Technologies, Inc. United Esystems, Inc. N/A ID-901 http://www.sec.gov/alj/aljdec/2015/id901jsp.pdf 3-16719 2015-10-19 Initial Decision of Default Initial Decision Volt Solar Systems, Inc. N/A ID-902 http://www.sec.gov/alj/aljdec/2015/id902jeg.pdf 3-16806 2015-10-20 Initial Decision Initial Decision MSGI Technology Solutions, Inc. (a/k/a MSGI Security Solutions, Inc.) NMI Health, Inc. Plushzone, Inc. Prosorcons Sports & Entertainment Co. N/A ID-903 http://www.sec.gov/alj/aljdec/2015/id903jsp.pdf 3-16483 2015-10-20 Initial Decision of Default Initial Decision Danzig, Craig N/A LR-23389 http://www.sec.gov/litigation/litreleases/2015/lr23389.htm 15-CV-1248 (KF) 2015-10-21 Enforcement Case Jankovic, Jerry Premiere Power, LLC N/A LR-23390 http://www.sec.gov/litigation/litreleases/2015/lr23390.htm 15-CV-819 2015-10-22 Enforcement Case Williams, John Clifford N/A LR-23391 http://www.sec.gov/litigation/litreleases/2015/lr23391.htm 3:14-CV-05844-MAS-TJB 2015-10-23 Enforcement Case Eydelman, Vladimir N/A