Notice of Telephonic Meeting of Securities and Exchange Commission-Dodd-Frank Investor Advisory Committee

2016-06-30 114 3 2016-05-16 2016-05-20 Securities Act of 1933 33 10079 10080 Securities Exchange Act of 1934 34 77834 77882* Accounting and Auditing Enforcement Release AAER 3774 3774 Administrative Proceedings AP 3843 3860 Investment Advisers Act of 1940 IA 4388 4393 Investment Company Act of 1940 IC 32115 32119 Initial Decisions (ALJ) ID 1012 1013 Litigation Releases LR 23541 23543 34-77617 http://www.sec.gov/rules/final/2016/34-77617.pdf 33-10079 http://www.sec.gov/rules/other/2016/33-10079.pdf 34-77857 265-28 2016-05-19 Notice of Telephonic Meeting of Securities and Exchange Commission-Dodd-Frank Investor Advisory Committee Notice Investory Advisory Committee Meeting http://www.federalregister.gov/citation/81-FR-33571 81-FR-33571 33-10080 http://www.sec.gov/litigation/admin/2016/33-10080.pdf 34-77862 IA-4389 IC-32118 3-17253 2016-05-19 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Blue Ocean Portfolios, LLC Winkelmann, James A., Sr. N/A 34-77617A http://www.sec.gov/rules/final/2016/34-77617a.pdf S7-25-11 2016-05-19 Final Rule; Correction Final Rule Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; Correction http://www.federalregister.gov/citation/81-FR-32643 81-FR-32643 34-77834 http://www.sec.gov/litigation/admin/2016/34-77834.pdf 3-17122 2016-05-16 Notice That Initial Decision Has Become Final Notice Digiblue Media, Inc. Morgain Minerals Inc. New World Batteries, Inc. North Pacific GeoPower Corp. Northern Canadian Uranium Inc. (f/k/a Northern Canadian Minerals Inc.) N/A 34-77835 http://www.sec.gov/rules/sro/nysearca/2016/34-77835.pdf SR-NYSEARCA-2016-61 2016-05-16 Notice / Immediate Effectiveness to Amend the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-31984 81-FR-31984 34-77836 http://www.sec.gov/rules/sro/nysemkt/2016/34-77836.pdf SR-NYSEMKT-2016-53 2016-05-16 Notice / Immediate Effectiveness to Amend the Definition of Professional Customer in Rule 900.2NY(18A) SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-31994 81-FR-31994 34-77837 http://www.sec.gov/rules/sro/nysearca/2016/34-77837.pdf SR-NYSEARCA-2016-65 2016-05-16 Notice / Immediate Effectiveness to Amend the Definition of Professional Customer in Rule 6.1A(a)(4A) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-31981 81-FR-31981 34-77838 http://www.sec.gov/rules/sro/nyse/2016/34-77838.pdf SR-NYSE-2016-33 2016-05-16 Notice / Immediate Effectiveness Adopting New NYSE Rules 2090 (Know Your Customer) and 2111 (Suitability) that are Substantially Similar to FINRA Rules 2090 and 2111 & Deleting Current Rule 405 & the Related NYSE Rule Interpretation to Harmonize its Rules SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-31974 81-FR-31974 34-77839 http://www.sec.gov/rules/sro/nasdaq/2016/34-77839.pdf SR-NASDAQ-2016-066 2016-05-16 Notice / Immediate Effectiveness to Amend Nasdaq Rule 4703 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-31979 81-FR-31979 34-77840 http://www.sec.gov/rules/sro/ficc/2016/34-77840.pdf SR-FICC-2016-002 2016-05-16 Notice / to Suspend the Interbank Service of the GCF Repo® Service SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-31996 81-FR-31996 34-77841 http://www.sec.gov/rules/sro/isemercury/2016/34-77841.pdf SR-ISEMERCURY-2016-11 2016-05-16 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-31986 81-FR-31986 34-77842 http://www.sec.gov/litigation/admin/2016/34-77842.pdf 3-17226 2016-05-16 Extension Order Order Wanger, Eric David N/A 34-77843 http://www.sec.gov/rules/other/2016/34-77843.pdf 2016-10 2016-05-17 Order Determininng Whistleblower Award Claim Order Redacted N/A 34-77844 http://www.sec.gov/rules/sro/finra/2016/34-77844.pdf SR-FINRA-2016-015 2016-05-17 Notice / Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-32359 81-FR-32359 34-77845 http://www.sec.gov/rules/sro/nysearca/2016/34-77845.pdf SR-NYSEARCA-2016-08 2016-05-17 Order / Instituting Proceedings to determine Whether to Approve or Disapprove to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and to Permit Listing and Trading of Shares of SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-32376 81-FR-32376 34-77846 http://www.sec.gov/rules/sro/batsbzx/2016/34-77846.pdf SR-BATSBZX-2016-18 2016-05-17 Notice / Immediate Effectiveness to Rules 15.1(a) and (c) in Order to Implement a Tape B Quoting Tier SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-32356 81-FR-32356 34-77847 http://www.sec.gov/rules/sro/nysearca/2016/34-77847.pdf SR-NYSEARCA-2016-64 2016-05-17 Notice / Relating to the Listing and Trading of Shares of the AdvisorShares KIM Korea Equity ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-32364 81-FR-32364 34-77848 http://www.sec.gov/rules/sro/cboe/2016/34-77848.pdf SR-CBOE-2016-024 2016-05-17 Order / Relating to AIM Retained Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-31978 81-FR-31978 34-77849 http://www.sec.gov/rules/sro/nysearca/2016/34-77849.pdf SR-NYSEARCA-2016-62 2016-05-17 Notice / Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-32381 81-FR-32381 34-77850 http://www.sec.gov/rules/sro/nyse/2016/34-77850.pdf SR-NYSE-2016-22 2016-05-17 Notice / Amendment No. 5 Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-32360 81-FR-32360 34-77851 http://www.sec.gov/litigation/admin/2016/34-77851.pdf 3-17131 2016-05-18 Order Making Findings and Imposing Remedial Sanctions AP Settled Lopez, Mark A. N/A 34-77852 http://www.sec.gov/litigation/admin/2016/34-77852.pdf 3-17068 2016-05-18 Order Making Findings and Imposing Remedial Sanctions AP Settled Renaldi, Salvatore N/A 34-77853 http://www.sec.gov/rules/sro/miax/2016/34-77853.pdf SR-MIAX-2016-11 2016-05-19 Notice / Immediate Effectiveness to Amend Exchange Rule 100 Concerning Professional Customers SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-33301 81-FR-33301 34-77854 http://www.sec.gov/rules/sro/nasdaq/2016/34-77854.pdf SR-NASDAQ-2016-061 2016-05-19 Notice / Relating to Listing and Trading of Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-33307 81-FR-33307 34-77855 http://www.sec.gov/rules/sro/nasdaq/2016/34-77855.pdf SR-NASDAQ-2016-057 2016-05-19 Notice / Immediate Effectiveness to Amend and Clarify Closed-End Funds Annual Fees SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-33275 81-FR-33275 34-77856 http://www.sec.gov/rules/sro/msrb/2016/34-77856.pdf SR-MSRB-2016-06 2016-05-19 Notice / Immediate Effectiveness Consisting of Amendments to the MSRB's Amended and Restated Articles of Incorporation SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-33285 81-FR-33285 34-77857 http://www.sec.gov/rules/other/2016/33-10079.pdf 33-10079 265-28 2016-05-19 Notice of Telephonic Meeting of Securities and Exchange Commission-Dodd-Frank Investor Advisory Committee Notice Investory Advisory Committee Meeting http://www.federalregister.gov/citation/81-FR-33571 81-FR-33571 34-77858 http://www.sec.gov/rules/sro/nysearca/2016/34-77858.pdf SR-NYSEARCA-2016-66 2016-05-19 Notice / Immediate Effectiveness Reflecting a Change to the Means of Achieving the Investment Objective with Respect to the AdvisorShares EquityPro ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-33299 81-FR-33299 34-77859 http://www.sec.gov/rules/sro/nysemkt/2016/34-77859.pdf SR-NYSEMKT-2016-54 2016-05-19 Notice / Immediate Effectiveness Amending Rule 13 - Equities and Related Rules Regarding Market Orders SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-33286 81-FR-33286 34-77860 http://www.sec.gov/rules/sro/nyse/2016/34-77860.pdf SR-NYSE-2016-35 2016-05-19 Notice / Immediate Effectiveness Amending NYSE Rule 13 and Related Rules Regarding Market Orders SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-33278 81-FR-33278 34-77861 http://www.sec.gov/rules/sro/nysearca/2016/34-77861.pdf SR-NYSEARCA-2016-67 2016-05-19 Notice / Relating to the Listing and Trading of Shares of the Natixis Seeyond International Minimum Volatility ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-33291 81-FR-33291 34-77862 http://www.sec.gov/litigation/admin/2016/33-10080.pdf 33-10080 IA-4389 IC-32118 3-17253 2016-05-19 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Blue Ocean Portfolios, LLC Winkelmann, James A., Sr. N/A 34-77863 http://www.sec.gov/litigation/admin/2016/34-77863.pdf IA-4390 3-16824 2016-05-19 Notice That Initial Decision Has Become Final Notice Paez, Daniel N/A 34-77864 http://www.sec.gov/litigation/admin/2016/34-77864.pdf 3-17136 2016-05-20 Notice That Initial Decision Has Become Final Notice Chardan China Acquisition Corp. Garden Bay International, Ltd. N/A 34-77865 http://www.sec.gov/litigation/admin/2016/34-77865.pdf 3-17116 2016-05-20 Notice That Initial Decision Has Become Final Notice China Rongxin Chemical Holding Group, Inc. Ves Ventures & Holdings, Inc. (A/K/A Helios Energia, Inc. A/K/A Accelerated Acquistions XXI, Inc.) N/A 34-77866 http://www.sec.gov/litigation/admin/2016/34-77866.pdf 3-17255 2016-05-20 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Bodisen Biotech, Inc. China Global Media, Inc. China Heli Resource Renewable, Inc. GFR Pharmaceuticals, Inc. N/A 34-77867 http://www.sec.gov/litigation/suspensions/2016/34-77867.pdf 500-1 2016-05-20 Trading Suspension Trading Suspension Bodisen Biotech, Inc. China Global Media, Inc. China Heli Resource Renewable, Inc. GFR Pharmaceuticals, Inc. http://www.federalregister.gov/citation/81-FR-32820 81-FR-32820 34-77868 http://www.sec.gov/litigation/admin/2016/34-77868.pdf 3-17256 2016-05-20 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Dragon Bright Mintai Botanical Technology Cayman Ltd. JinZangHuang Tibet Pharmaceuticals, Inc. Macau Resources Group Ltd. N/A 34-77869 http://www.sec.gov/litigation/suspensions/2016/34-77869.pdf 500-1 2016-05-20 Trading Suspension Trading Suspension Dragon Bright Mintai Botanical Technology Cayman Ltd. JinZangHuang Tibet Pharmaceuticals, Inc. Macau Resources Group Ltd. http://www.federalregister.gov/citation/81-FR-32819 81-FR-32819 34-77870 http://www.sec.gov/litigation/suspensions/2016/34-77870.pdf 500-1 2016-05-20 Trading Suspension Trading Suspension NuTech Energy Resources, Inc. http://www.federalregister.gov/citation/81-FR-32820 81-FR-32820 34-77871 http://www.sec.gov/rules/sro/bats/2016/34-77871.pdf SR-BATS-2015-100 2016-05-20 Notice / Designation of Longer Period for Commission Action 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/81-FR-33567 81-FR-33567 34-77872 http://www.sec.gov/rules/sro/nysearca/2016/34-77872.pdf SR-NYSEARCA-2015-110 2016-05-20 Notice / Designation of Longer Period for Commission Action 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/81-FR-33570 81-FR-33570 34-77873 http://www.sec.gov/rules/other/2016/34-77873.pdf 2016-11 2016-05-20 Order Determining Whistleblower Award Claim Order Redacted N/A 34-77874 http://www.sec.gov/rules/final/2016/34-77874.pdf S7-30-11 2016-05-20 Notice of Expiration of 17 CFR 15b12-1 Notice Retail Foreign Exchange Transactions http://www.federalregister.gov/citation/81-FR-33374 81-FR-33374 34-77875 http://www.sec.gov/rules/sro/ise/2016/34-77875.pdf SR-ISE-2016-08 2016-05-20 Order / Related to Market Wide Risk Protection SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-33561 81-FR-33561 34-77876 http://www.sec.gov/rules/sro/miax/2016/34-77876.pdf SR-MIAX-2016-08 2016-05-20 Order / to Amend the Exchange's Amended and Restated By-Laws Relating to the Removal of a Board Restriction SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-33283 81-FR-33283 34-77877 http://www.sec.gov/rules/sro/box/2016/34-77877.pdf SR-BOX-2016-22 2016-05-20 Notice / Immediate Effectiveness to amend BOX Rule 12140 (Imposition of Fines for Minor Rule Violations) to amend the sanctions for Quotation Parameters and permit the aggregation of violations for the purpose of determining what is an occurrence SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-33568 81-FR-33568 34-77878 http://www.sec.gov/rules/sro/nasdaq/2016/34-77878.pdf SR-NASDAQ-2016-070 2016-05-20 Notice / Immediate Effectiveness to Amend Options Pricing at Chapter XV, Section 2 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-33572 81-FR-33572 34-77879 http://www.sec.gov/rules/sro/nasdaq/2016/34-77879.pdf SR-NASDAQ-2016-013 2016-05-20 Notice / Designation of Longer Period for Commission Action to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-33571 81-FR-33571 34-77880 http://www.sec.gov/rules/sro/nyse/2016/34-77880.pdf SR-NYSE-2016-17 2016-05-20 Order / to Add Additional Order Types to the NYSE BondsSM Platform, Codify Functionality of Order Types Currently Available on NYSE Bonds, and Provide Greater Detail as to How an Indicative Match Price is Established with Respect to Bond Auctions SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-33563 81-FR-33563 34-77881 http://www.sec.gov/rules/sro/isegemini/2016/34-77881.pdf SR-ISEGEMINI-2016-03 2016-05-20 Order / Related to Market Wide Risk Protection SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-33565 81-FR-33565 34-77882 http://www.sec.gov/litigation/admin/2016/34-77882.pdf AAER-3774 3-15168 2016-05-20 Order Scheduling Oral Argument Order Aesoph, John J., CPA Bennett, Darren M., CPA N/A AAER-3774 http://www.sec.gov/litigation/admin/2016/34-77882.pdf 34-77882 3-15168 2016-05-20 Order Scheduling Oral Argument Order Aesoph, John J., CPA Bennett, Darren M., CPA N/A AP-3843 http://www.sec.gov/alj/aljorders/2016/ap-3843.pdf 3-17236 2016-05-16 Ordering Postponing Hearing, to Show Cause, and Scheduling Prehearing Conference Order Pioneer Exploration, Inc. 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