Order Extending Briefing Schedule

2016-06-29 112 17 2015-11-16 2015-11-20 Securities Act of 1933 33 9978 9979 Securities Exchange Act of 1934 34 76441 76502 Administrative Proceedings AP 3316 3336 Investment Advisers Act of 1940 IA 4266 4275 Investment Company Act of 1940 IC 31901 31908 Initial Decisions (ALJ) ID 916 917 Litigation Releases LR 23408 23411 33-9978 http://www.sec.gov/litigation/admin/2015/33-9978.pdf 34-76473 3-15974 2015-11-18 Order Extending Briefing Schedule Order Cohen, James E. Corazzi, Joseph A. N/A 33-9979 http://www.sec.gov/litigation/opinions/2015/33-9979.pdf 34-76502 IA-4275 IC-31908 3-15842 2015-11-20 Order Directing the Filing of Briefs Order Cooper, Jacob Keith N/A 34-76441 http://www.sec.gov/rules/sro/phlx/2015/34-76441.pdf SR-PHLX-2015-91 2015-11-16 Notice / Immediate Effectiveness to Amend Rule 1014, "Obligations and Restrictions Applicable to Specialists and Registered Options Traders" SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/80-FR-72773 80-FR-72773 34-76442 http://www.sec.gov/rules/sro/cboe/2015/34-76442.pdf SR-CBOE-2015-101 2015-11-16 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-72761 80-FR-72761 34-76443 http://www.sec.gov/rules/sro/msrb/2015/34-76443.pdf SR-MSRB-2015-12 2015-11-16 Notice / Immediate Effectiveness to Adopt Proposed New MSRB Rule A-18, on Mandatory Participation in Business Continuity and Disaster Recovery Testing SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/80-FR-72756 80-FR-72756 34-76444 http://www.sec.gov/rules/sro/finra/2015/34-76444.pdf SR-FINRA-2015-034 2015-11-16 Notice / Designation of Longer Period for Commission Action to Merge FINRA Dispute Resolution, Inc. into and with FINRA Regulation, Inc. SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/80-FR-72775 80-FR-72775 34-76445 http://www.sec.gov/rules/sro/nasdaq/2015/34-76445.pdf SR-NASDAQ-2015-133 2015-11-16 Notice / Immediate Effectiveness to Create a Market Access and Routing Subsidy or "MARS" SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/80-FR-72763 80-FR-72763 34-76446 http://www.sec.gov/rules/sro/phlx/2015/34-76446.pdf SR-PHLX-2015-89 2015-11-16 Notice / Immediate Effectiveness to a Market Access and Routing Subsidy or "MARS" SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/80-FR-72768 80-FR-72768 34-76447 http://www.sec.gov/rules/sro/box/2015/34-76447.pdf SR-BOX-2015-36 2015-11-16 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/80-FR-72758 80-FR-72758 34-76448 http://www.sec.gov/litigation/admin/2015/34-76448.pdf 3-16962 2015-11-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Equity Ventures Group, Inc. Games on Demand International, Inc. (a/k/a FirmwareTechnologies Inc.) N/A 34-76449 http://www.sec.gov/rules/sro/nasdaq/2015/34-76449.pdf SR-NASDAQ-2015-140 2015-11-17 Notice / Immediate Effectiveness Relating to Sponsored Access SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/80-FR-73011 80-FR-73011 34-76450 http://www.sec.gov/rules/sro/nasdaq/2015/34-76450.pdf SR-NASDAQ-2015-137 2015-11-17 Notice / Immediate Effectiveness to Amend the Market Quality Incentive Program and Certain Other Fees and Credits for Execution and Routing SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/80-FR-73016 80-FR-73016 34-76451 http://www.sec.gov/rules/sro/ise/2015/34-76451.pdf SR-ISE-2015-37 2015-11-17 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/80-FR-73034 80-FR-73034 34-76452 http://www.sec.gov/rules/sro/phlx/2015/34-76452.pdf SR-PHLX-2015-93 2015-11-17 Notice / Immediate Effectiveness Relating to Sponsored Access SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/80-FR-73019 80-FR-73019 34-76453 http://www.sec.gov/rules/sro/edgx/2015/34-76453.pdf SR-EDGX-2015-56 2015-11-17 Notice / Immediate Effectiveness Related to Fees SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/80-FR-72999 80-FR-72999 34-76454 http://www.sec.gov/rules/sro/bx/2015/34-76454.pdf SR-BX-2015-067 2015-11-17 Notice / Immediate Effectiveness Relating to Sponsored Access SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/80-FR-73006 80-FR-73006 34-76455 http://www.sec.gov/rules/sro/edga/2015/34-76455.pdf SR-EDGA-2015-42 2015-11-17 Notice / Immediate Effectiveness to Amend Rule 11.11, Routing to Away Trading Centers SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/80-FR-73009 80-FR-73009 34-76456 http://www.sec.gov/rules/sro/edgx/2015/34-76456.pdf SR-EDGX-2015-53 2015-11-17 Notice / Immediate Effectiveness to Amend Rule 11.11, Routing to Away Trading Centers SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/80-FR-73032 80-FR-73032 34-76457 http://www.sec.gov/rules/sro/byx/2015/34-76457.pdf SR-BYX-2015-46 2015-11-17 Notice / Immediate Effectiveness to Amend Rule 11.13, Order Execution and Routing SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/80-FR-73026 80-FR-73026 34-76458 http://www.sec.gov/rules/sro/nscc/2015/34-76458.pdf SR-NSCC-2015-005 2015-11-17 Order / to Permit Trades in Eligible Fixed Income Securities Scheduled to Settle on Day After Trade Date to Be Processed for Settlement at National Securities Clearing Corporation SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/80-FR-73028 80-FR-73028 34-76459 http://www.sec.gov/rules/sro/bats/2015/34-76459.pdf SR-BATS-2015-97 2015-11-17 Notice / Immediate Effectiveness to Amend Rule 11.13, Order Execution and Routing SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/80-FR-73024 80-FR-73024 34-76460 http://www.sec.gov/litigation/opinions/2015/34-76460.pdf 3-16913 2015-11-17 Order Scheduling Briefs Order Autochina International Limited, a/k/a Fincera, Inc. N/A 34-76461 http://www.sec.gov/litigation/opinions/2015/34-76461.pdf 3-16900 2015-11-17 Order Scheduling Briefs Order Ahmed, Fuad N/A 34-76462 http://www.sec.gov/rules/sro/nscc/2015/34-76462.pdf SR-NSCC-2015-004 2015-11-17 Order / to Require Real-Time Trade Submission and to Prohibit Pre-Netting Practices Through NSCC's Correspondent Clearing Service SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/80-FR-73029 80-FR-73029 34-76463 http://www.sec.gov/alj/aljdec/2015/34-76463.pdf IA-4270 3-16427 2015-11-17 Notice That Initial Decision Has Become Final Notice Lunn, Robert J. N/A 34-76464 http://www.sec.gov/litigation/admin/2015/34-76464.pdf IA-4271 3-16904 2015-11-17 Order Making Findings and Imposing Remedial Sanctions AP Settled Cicolani, Jeffy A., Jr. N/A 34-76465 http://www.sec.gov/litigation/admin/2015/34-76465.pdf IA-4272 3-16905 2015-11-17 Order Making Findings and Imposing Remedial Sanctions AP Settled Hood, Kelly C. N/A 34-76466 http://www.sec.gov/rules/sro/c2/2015/34-76466.pdf SR-C2-2015-031 2015-11-18 Notice / Immediate Effectiveness Relating to Delivery of the Regulatory Element of C2's Continuing Education Program SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-73245 80-FR-73245 34-76467 http://www.sec.gov/rules/sro/ise/2015/34-76467.pdf SR-ISE-2015-36 2015-11-18 Notice / of Withdrawal Relating to a Corporate Transaction Involving Its Indirect Parent SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/80-FR-73252 80-FR-73252 34-76468 http://www.sec.gov/rules/sro/isegemini/2015/34-76468.pdf SR-ISEGEMINI-2015-24 2015-11-18 Notice / of Withdrawal Relating to a Corporate Transaction Involving Its Indirect Parent SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/80-FR-73254 80-FR-73254 34-76469 http://www.sec.gov/rules/sro/cboe/2015/34-76469.pdf SR-CBOE-2015-077 2015-11-18 Order / Relating to Margin Requirements SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-73252 80-FR-73252 34-76470 http://www.sec.gov/rules/sro/bats/2015/34-76470.pdf SR-BATS-2015-101 2015-11-18 Notice / to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Disruptive Quoting and Trading Activity SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/80-FR-73247 80-FR-73247 34-76471 http://www.sec.gov/rules/sro/cboe/2015/34-76471.pdf SR-CBOE-2015-102 2015-11-18 Notice / Immediate Effectiveness Relating to Administration of Livevol X License Agreements SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-73256 80-FR-73256 34-76472 http://www.sec.gov/rules/sro/nysearca/2015/34-76472.pdf SR-NYSEARCA-2015-68 2015-11-18 Order/Instituting Proceedings to Determine Whether to Approve or Disapprove Relating to Implementation of a Fee on Securities Lending and Repurchase Transactions with Respect to Shares of the CurrencyShares® Euro Trust and the CurrencyShares® Japanese Yen SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/80-FR-73258 80-FR-73258 34-76473 http://www.sec.gov/litigation/admin/2015/33-9978.pdf 33-9978 3-15974 2015-11-18 Order Extending Briefing Schedule Order Cohen, James E. Corazzi, Joseph A. N/A 34-76474 http://www.sec.gov/rules/proposed/2015/34-76474.pdf S7-23-15 2015-11-18 Proposed Rule Proposed Rule Regulation of NMS Stock on Alternative Trading Systems http://www.federalregister.gov/citation/80-FR-80998 80-FR-80998 34-76475 http://www.sec.gov/litigation/suspensions/2015/34-76475.pdf 500-1 2015-11-19 Trading Suspension Trading Suspension African Copper Corp. Genmed Holding Corp. Yanglin Soybean, Inc. http://www.federalregister.gov/citation/80-FR-73031 80-FR-73031 34-76476 http://www.sec.gov/litigation/admin/2015/34-76476.pdf 3-16965 2015-11-19 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated African Copper Corp. Genmed Holding Corp. Yanglin Soybean, Inc. N/A 34-76477 http://www.sec.gov/litigation/admin/2015/34-76477.pdf 3-16966 2015-11-19 Order Instituting Public Adminstrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Kelly, Christopher R., Esq. N/A 34-76478 http://www.sec.gov/rules/sro/bats/2015/34-76478.pdf SR-BATS-2015-100 2015-11-19 Notice / to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/80-FR-73841 80-FR-73841 34-76479 http://www.sec.gov/rules/sro/icc/2015/34-76479.pdf SR-ICC-2015-015 2015-11-19 Order / Related to the ICC Rule Enforcement Process for Missed Submissions SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/80-FR-73852 80-FR-73852 34-76480 http://www.sec.gov/rules/exorders/2015/34-76480.pdf S7-08-14 2015-11-19 Order / Granting a Conditional Exemption Under the Securities Exchange Act of 1934 from the Confirmation Requirements of Exchange Act Rule 10b-10(a) for Certain Transactions in Money Market Funds Order Order Granting a Conditional Exemption From the Confirmation Requirements for Certain Transactions in Money Market Funds http://www.federalregister.gov/citation/80-FR-73849 80-FR-73849 34-76481 http://www.sec.gov/litigation/opinions/2015/34-76481.pdf 3-16900 2015-11-19 Corrected Order Scheduling Briefs Order Ahmed, Fuad Success Trade Securities, Inc. N/A 34-76482 http://www.sec.gov/rules/sro/cboe/2015/34-76482.pdf SR-CBOE-2015-104 2015-11-19 Notice / to Trade Expiring MSCI EAFE Index Options Until 3:00 p.m. SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-73839 80-FR-73839 34-76483 http://www.sec.gov/rules/sro/finra/2015/34-76483.pdf SR-FINRA-2015-047 2015-11-19 Notice / to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/80-FR-73853 80-FR-73853 34-76484 http://www.sec.gov/rules/sro/finra/2015/34-76484.pdf SR-FINRA-2015-048 2015-11-19 Notice / to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/80-FR-73858 80-FR-73858 34-76485 http://www.sec.gov/rules/sro/nyse/2015/34-76485.pdf SR-NYSE-2015-57 2015-11-20 Notice / Immediate Effectiveness Establishing Fees for the NYSE Integrated Feed SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/80-FR-74158 80-FR-74158 34-76486 http://www.sec.gov/rules/sro/nysearca/2015/34-76486.pdf SR-NYSEARCA-2015-110 2015-11-20 Notice / Immediate Effectiveness Amending NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/80-FR-74169 80-FR-74169 34-76487 http://www.sec.gov/rules/sro/bx/2015/34-76487.pdf SR-BX-2015-068 2015-11-20 Notice / Immediate Effectiveness Relating to BX PRISM SRO Filing NASDAQ OMX BX, Inc http://www.federalregister.gov/citation/80-FR-74184 80-FR-74184 34-76488 http://www.sec.gov/rules/sro/c2/2015/34-76488.pdf SR-C2-2015-032 2015-11-20 Notice / Immediate Effectiveness Relating to the Technical Disconnect Mechanism SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-74186 80-FR-74186 34-76489 http://www.sec.gov/rules/sro/cboe/2015/34-76489.pdf SR-CBOE-2015-103 2015-11-20 Notice / Immediate Effectiveness Relating to the Technical Disconnect Mechanism SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-74149 80-FR-74149 34-76490 http://www.sec.gov/rules/sro/bx/2015/34-76490.pdf SR-BX-2015-073 2015-11-20 Notice / Immediate Effectiveness to Extend the Pilot Period for the Retail Price Improvement Program Until December 1, 2016 SRO Filing NASDAQ OMX BX, Inc http://www.federalregister.gov/citation/80-FR-74165 80-FR-74165 34-76491 http://www.sec.gov/rules/sro/miax/2015/34-76491.pdf SR-MIAX-2015-64 2015-11-20 Notice / Immediate Effectiveness to Amend Exchange Rule 519 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/80-FR-74167 80-FR-74167 34-76492 http://www.sec.gov/rules/sro/nysearca/2015/34-76492.pdf SR-NYSEARCA-2015-92 2015-11-20 Notice / Immediate Effectiveness Relating to Fingerprint-Based Background Checks of Directors, Officers, Employees, and Others SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/80-FR-74153 80-FR-74153 34-76493 http://www.sec.gov/rules/sro/nysearca/2015/34-76493.pdf SR-NYSEARCA-2015-86 2015-11-20 Notice / Designation of Longer Period for Commission Action to Adopt New Equity Trading Rules Relating to Auctions for Pillar, the Exchange's New Trading Technology Platform SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/80-FR-74163 80-FR-74163 34-76494 http://www.sec.gov/rules/exorders/2015/34-76494.pdf TP 16-3 2015-11-20 Order / Granting Limited Exemptions from Rule 10b-17 and Rules 101 and 102 of Regulation M Order FlexShares Real Assets Allocation Index Fund FlexShares Trust N/A 34-76495 http://www.sec.gov/rules/exorders/2015/34-76495.pdf SR-BX-2014-048 2015-11-20 Order / Granting Extension to Limited Exemption from Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program Until December 1, 2016 SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/80-FR-74185 80-FR-74185 34-76496 http://www.sec.gov/rules/sro/occ/2015/34-76496.pdf SR-OCC-2015-016 2015-11-20 Notice / Designation of Longer Period to Modify The Options Clearing Corporation's Margin Methodology by Incorporating Variations in Implied Volatility SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/80-FR-74179 80-FR-74179 34-76497 http://www.sec.gov/rules/sro/nsx/2015/34-76497.pdf SR-NSX-2015-06 2015-11-20 Notice / Immediate Effectiveness to Adopt Rule 2.13, Mandatory Participation in Testing of Backup Systems SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/80-FR-74155 80-FR-74155 34-76498 http://www.sec.gov/rules/sro/cboe/2015/34-76498.pdf SR-CBOE-2015-105 2015-11-20 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/80-FR-74151 80-FR-74151 34-76499 http://www.sec.gov/rules/sro/nasdaq/2015/34-76499.pdf SR-NASDAQ-2015-142 2015-11-20 Notice / Immediate Effectiveness Relating to Market Order Spread Protection SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/80-FR-74175 80-FR-74175 34-76500 http://www.sec.gov/rules/sro/isegemini/2015/34-76500.pdf SR-ISEGEMINI-2015-26 2015-11-20 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/80-FR-74179 80-FR-74179 34-76501 http://www.sec.gov/rules/sro/ise/2015/34-76501.pdf SR-ISE-2015-40 2015-11-20 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/80-FR-74181 80-FR-74181 34-76502 http://www.sec.gov/litigation/opinions/2015/33-9979.pdf 33-9979 IA-4275 IC-31908 3-15842 2015-11-20 Order Directing the Filing of Briefs Order Cooper, Jacob Keith N/A AP-3316 http://www.sec.gov/alj/aljorders/2015/ap-3316.pdf 3-16943 2015-11-16 Order Scheduling Hearing and Designating Presiding Judge Order Bernath, Lonny S. N/A AP-3317 http://www.sec.gov/alj/aljorders/2015/ap-3317.pdf 3-16949 2015-11-16 Order Scheduling Hearing and Designating Presiding Judge Order Shah, Sandip N/A AP-3318 http://www.sec.gov/alj/aljorders/2015/ap-3318.pdf 3-16953 2015-11-16 Order Scheduling Hearing and Designating Presiding Judge Order Echelon Acquisition Corp. FirstChina Capital, Inc. N/A AP-3319 http://www.sec.gov/alj/aljorders/2015/ap-3319.pdf 3-16954 2015-11-16 Order Scheduling Hearing and Designating Presiding Judge Order Riverdale Mining Inc. Tresoro Mining Corp. N/A AP-3320 http://www.sec.gov/alj/aljorders/2015/ap-3320.pdf 3-16920 2015-11-16 Order to Show Cause and Postponement Order Order Oriental Nonferrous Metals Technology Co., Ltd. Pantheon China Acquisition Corp. Queen 1, Inc. Queen 2, Inc. Stand International Holdings, Ltd. N/A AP-3321 http://www.sec.gov/alj/aljorders/2015/ap-3321.pdf 3-16498 2015-11-16 Order Scheduling Prehearing Conference Order Schalk, Russell C., Jr. N/A AP-3322 http://www.sec.gov/alj/aljorders/2015/ap-3322.pdf 3-16155 2015-11-16 Order on Document Subpoenas Order Rowe, Nicholas N/A AP-3323 http://www.sec.gov/alj/aljorders/2015/ap-3323.pdf 3-16937 2015-11-17 Order Postponing Hearing and Scheduling Prehearing Conference Order Murray, James Michael N/A AP-3324 http://www.sec.gov/alj/aljorders/2015/ap-3324.pdf 3-16411 2015-11-17 Order to Show Cause Order China Printing & Packaging, Inc. Silvan Industries, Inc. N/A AP-3325 http://www.sec.gov/alj/aljorders/2015/ap-3325.pdf 3-16795 2015-11-18 Protective Order Order Fox, Joseph J. N/A AP-3326 http://www.sec.gov/alj/aljorders/2015/ap-3326.pdf 3-16962 2015-11-18 Order Scheduling Hearing and Designating Presiding Judge Order Equity Ventures Group, Inc. Games on Demand International, Inc. (a/k/a Firmware Technologies Inc.) 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N/A AP-3332 http://www.sec.gov/alj/aljorders/2015/ap-3332.pdf 3-16498 2015-11-19 Order Rescheduling Prehearing Conference Order Schalk, Russell C., Jr. N/A AP-3333 http://www.sec.gov/alj/aljorders/2015/ap-3333.pdf 3-16928 2015-11-20 Order Postponing Hearing and Scheduling Prehearing Conference Order Pan Asia Mining Corp. Petro Horizon Energy Corp. Powerhouse Energy Corp. N/A AP-3334 http://www.sec.gov/alj/aljorders/2015/ap-3334.pdf 3-16942 2015-11-20 Order to Show Cause and Postponement Order Order Friendly Energy Exploration Public Media Works, Inc. VRDT Corp. Zoro Mining Corp. N/A AP-3335 http://www.sec.gov/alj/aljorders/2015/ap-3335.pdf 3-16729 2015-11-20 Order Order Boyd, Paul W., CPA Hall, David M. Miller Energy Resources, Inc. Vogt, Carlton W., CPA N/A AP-3336 http://www.sec.gov/alj/aljorders/2015/ap-3336.pdf 3-16936 2015-11-20 Order Postponing Hearing and Scheduling a Prehearing Conference Order Brooks, Jonathan Warren N/A IA-4266 http://www.sec.gov/litigation/admin/2015/ia-4266.pdf IC-31901 3-16959 2015-11-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Virtus Investment Advisers, Inc. N/A IA-4267 http://www.sec.gov/litigation/admin/2015/ia-4267.pdf 3-16961 2015-11-16 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Yoo, Chris N/A IA-4268 http://www.sec.gov/litigation/admin/2015/ia-4268.pdf 3-16963 2015-11-17 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled FCG Advisors, LLC N/A IA-4269 http://www.sec.gov/litigation/admin/2015/ia-4269.pdf IC-31903 3-16964 2015-11-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Kolbe, Thomas A. N/A IA-4270 http://www.sec.gov/alj/aljdec/2015/34-76463.pdf 34-76463 3-16427 2015-11-17 Notice That Initial Decision Has Become Final Notice Lunn, Robert J. N/A IA-4271 http://www.sec.gov/litigation/admin/2015/34-76464.pdf 34-76464 3-16904 2015-11-17 Order Making Findings and Imposing Remedial Sanctions AP Settled Cicolani, Jeffy A., Jr. N/A IA-4272 http://www.sec.gov/litigation/admin/2015/34-76465.pdf 34-76465 3-16905 2015-11-17 Order Making Findings and Imposing Remedial Sanctions AP Settled Hood, Kelly C. N/A IA-4273 http://www.sec.gov/litigation/admin/2015/ia-4273.pdf 3-16223 2015-11-19 Order Making Findings and Imposing Penalties, Remedial Sanctions and a Cease-and-Desist Order AP Settled Sands Brothers Asset Management, LLC Sands, Martin Sands, Steven N/A IA-4274 http://www.sec.gov/litigation/admin/2015/ia-4274.pdf 3-16223 2015-11-19 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Kelly, Christopher N/A IA-4275 http://www.sec.gov/litigation/opinions/2015/33-9979.pdf 33-9979 34-76502 IC-31908 3-15842 2015-11-20 Order Directing the Filing of Briefs Order Cooper, Jacob Keith N/A IC-31901 http://www.sec.gov/litigation/admin/2015/ia-4266.pdf IA-4266 3-16959 2015-11-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Virtus Investment Advisers, Inc. N/A IC-31902 http://www.sec.gov/rules/ic/2015/ic-31902.pdf 812-14536 2015-11-16 Order Order AAM ETF Trust Advisors Asset Management, Inc. N/A IC-31903 http://www.sec.gov/litigation/admin/2015/ia-4269.pdf IA-4269 3-16964 2015-11-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Kolbe, Thomas A. N/A IC-31904 http://www.sec.gov/rules/ic/2015/ic-31904.pdf 812-14506 2015-11-17 Order Order Good Hill ETF Trust Good Hill Partners LP N/A IC-31905 http://www.sec.gov/rules/ic/2015/ic-31905.pdf 812-14451 2015-11-18 Notice Notice ETF Series Solutions U.S. Global Investors, Inc. http://www.federalregister.gov/citation/80-FR-73262 80-FR-73262 IC-31906 http://www.sec.gov/rules/ic/2015/ic-31906.pdf 812-14475 2015-11-19 Notice Notice AlphaClone, Inc. ETF Series Solutions http://www.federalregister.gov/citation/80-FR-74177 80-FR-74177 IC-31907 http://www.sec.gov/rules/icdereg/2015/ic-31907.pdf 811-07529 811-06501 811-22597 2015-11-20 Notice Notice Asian Small Companies Portfolio BlackRock MuniYield Michigan Quality Fund, II, Inc. Parametric Market Neutral Portfolio http://www.federalregister.gov/citation/80-FR-74164 80-FR-74164 IC-31908 http://www.sec.gov/litigation/opinions/2015/33-9979.pdf 33-9979 34-76502 IA-4275 3-15842 2015-11-20 Order Directing the Filing of Briefs Order Cooper, Jacob Keith N/A ID-916 http://www.sec.gov/alj/aljdec/2015/id916jsp.pdf 3-16885 2015-11-16 Initial Decision of Default Initial Decision OSK Capital I Corp. OSK Capital III Corp. PowerNomics Enterprise Corp. ReDirect, Inc. N/A ID-917 http://www.sec.gov/alj/aljdec/2015/id917ce.pdf 3-16907 2015-11-17 Initial Decision of Default Initial Decision New Leaf Brands, Inc. N/A LR-23408 http://www.sec.gov/litigation/litreleases/2015/lr23408.htm 1:15-CV-13868 2015-11-17 Enforcement Case Watson, Steven C. N/A LR-23409 http://www.sec.gov/litigation/litreleases/2015/lr23409.htm 0:15-CV-62323 2015-11-19 Enforcement Case EB5 Asset Manager LLC Zhong, Lin (a/k/a Lily Zhong) N/A LR-23410 http://www.sec.gov/litigation/litreleases/2015/lr23410.htm 2:14-CV-06865 2015-11-20 Enforcement Case Kent, Thomas Edward Lee, Justin Moongyu Lee, Rebecca Taewon N/A LR-23411 http://www.sec.gov/litigation/litreleases/2015/lr23411.htm 14-CV-09800 RJK (JPRX)(C.D. CAL.) 2015-11-20 Enforcement Case Argyropoulos, Efstratios "Elias" N/A