Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars

2016-08-11 114 5 2016-05-30 2016-06-03 Securities Act of 1933 33 10084 10088 Securities Exchange Act of 1934 34 77947 77994 Accounting and Auditing Enforcement Release AAER 3776 3776 Administrative Proceedings AP 3881 3893 Investment Advisers Act of 1940 IA 4406 4413 Investment Company Act of 1940 IC 32132 32138 Initial Decisions (ALJ) ID 1015 1019 Litigation Releases LR 23549 23558 33-10084 http://www.sec.gov/litigation/opinions/2016/33-10084.pdf 34-77964 IA-4412 IC-32137 3-14404 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Deru, Terry M. N/A 33-10085 http://www.sec.gov/litigation/admin/2016/33-10085.pdf 34-77967 AAER-3776 3-17268 2016-06-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Starrett, Jane E., CPA N/A 33-10086 http://www.sec.gov/litigation/admin/2016/33-10086.pdf 3-17272 2016-06-02 Order Instituting Administrative Proceedings, Making Findings, and Issuing Stop Order AP Settled NuGold Resources, Inc. N/A 33-10087 http://www.sec.gov/litigation/admin/2016/33-10087.pdf 34-77979 3-17273 2016-06-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Stoecklein, Donald J., Esq. N/A 33-10088 http://www.sec.gov/litigation/admin/2016/33-10088.pdf 3-17274 2016-06-02 Order Instituting Administrative Proceedings, Making Findings, and Issuing Stop Order AP Settled ZRHO Beverages, Inc. N/A 34-77947 http://www.sec.gov/rules/sro/nysearca/2016/34-77947.pdf SR-NYSEARCA-2016-76 2016-05-31 Notice / Immediate Effectiveness Implementing the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-36361 81-FR-36361 34-77948 http://www.sec.gov/rules/other/2016/34-77948.pdf 2016-12 2016-05-31 Order Determining Whistleblower Award Claim Order Redacted N/A 34-77949 http://www.sec.gov/rules/sro/nysemkt/2016/34-77949.pdf SR-NYSEMKT-2016-56 2016-05-31 Notice / Immediate Effectiveness Implementing the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-36367 81-FR-36367 34-77950 http://www.sec.gov/rules/sro/nyse/2016/34-77950.pdf SR-NYSE-2016-30 2016-05-31 Notice / Designation of Longer Period for Commission Action Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-36357 81-FR-36357 34-77951 http://www.sec.gov/rules/sro/nysemkt/2016/34-77951.pdf SR-NYSEMKT-2016-49 2016-05-31 Notice / Designation of a Longer Period for Commission Action Amending the Definition of "Block" for Purposes of Rule 72(d) - Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-36367 81-FR-36367 34-77952 http://www.sec.gov/rules/sro/nysearca/2016/34-77952.pdf SR-NYSEARCA-2016-83 2016-05-31 Notice / Immediate Effectiveness to Reflect a Change to the Benchmark Index Applicable to the WisdomTree Managed Futures Strategy Fund SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-36357 81-FR-36357 34-77953 http://www.sec.gov/litigation/admin/2016/34-77953.pdf 3-17266 2016-05-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated China VantagePoint Acquisition Co. Citizens Community Bancorp, Inc. Solis Pharma US, Inc. N/A 34-77954 http://www.sec.gov/litigation/opinions/2016/34-77954.pdf IA-4407 3-14951 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Daifotis, Kimon P. N/A 34-77955 http://www.sec.gov/litigation/opinions/2016/34-77955.pdf IA-4408 3-14963 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Madoff, Peter B. N/A 34-77956 http://www.sec.gov/rules/sro/cfe/2016/34-77956.pdf SR-CFE-2016-001 2016-06-01 Notice / Regarding the Reporting Time for Exchange of Contract for Related Position Transactions and Block Trades that Involve Trade at Settlement Transactions SRO Filing CBOE Futures Exchange, LLC http://www.federalregister.gov/citation/81-FR-36637 81-FR-36637 34-77957 http://www.sec.gov/rules/sro/miax/2016/34-77957.pdf SR-MIAX-2016-12 2016-06-01 Notice / Immediate Effectiveness to Amend Exchange Rule 506 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-36635 81-FR-36635 34-77958 http://www.sec.gov/rules/sro/batsbzx/2016/34-77958.pdf SR-BATSBZX-2016-01 2016-06-01 Notice / Designation of a Longer Period for Commission Action to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ET SRO Filing BatsBZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-36627 81-FR-36627 34-77959 http://www.sec.gov/litigation/admin/2016/34-77959.pdf IA-4411 3-17267 2016-06-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Blackstreet Capital Management, LLC Gunty, Murry N. N/A 34-77960 http://www.sec.gov/rules/sro/batsbzx/2016/34-77960.pdf SR-BATSBZX-2016-20 2016-06-01 Notice / Immediate Effectiveness to Amend Rule 14.13, Company Listing Fees SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-36632 81-FR-36632 34-77961 http://www.sec.gov/rules/sro/c2/2016/34-77961.pdf SR-C2-2016-005 2016-06-01 Notice / Relating to Senior Management Authority SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-36639 81-FR-36639 34-77962 http://www.sec.gov/rules/sro/cboe/2016/34-77962.pdf SR-CBOE-2016-047 2016-06-01 Notice / Relating to Senior Management Authority SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-36641 81-FR-36641 34-77963 http://www.sec.gov/rules/sro/finra/2016/34-77963.pdf SR-FINRA-2016-017 2016-06-01 Notice / Immediate Effectiveness to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-36628 81-FR-36628 34-77964 http://www.sec.gov/litigation/opinions/2016/33-10084.pdf 33-10084 IA-4412 IC-32137 3-14404 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Deru, Terry M. N/A 34-77965 http://www.sec.gov/litigation/opinions/2016/34-77965.pdf 3-14698 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Hall, Charles Mark N/A 34-77966 http://www.sec.gov/litigation/opinions/2016/34-77966.pdf 3-14069 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisors Bars Order Bellia, Robert A., Jr. N/A 34-77967 http://www.sec.gov/litigation/admin/2016/33-10085.pdf 33-10085 AAER-3776 3-17268 2016-06-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Starrett, Jane E., CPA N/A 34-77968 http://www.sec.gov/litigation/admin/2016/34-77968.pdf 3-17269 2016-06-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Medoff, Craig N/A 34-77969 http://www.sec.gov/rules/interim/2016/34-77969.pdf S7-09-16 2016-06-01 Interim final rule; request for comment Unknown Form 10-K Summary http://www.federalregister.gov/citation/81-FR-37132 81-FR-37132 34-77970 http://www.sec.gov/rules/sro/phlx/2016/34-77970.pdf SR-PHLX-2016-60 2016-06-01 Notice / Immediate Effectiveness to Amend Rule 1000A(b)(8) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-36646 81-FR-36646 34-77971 http://www.sec.gov/litigation/admin/2016/34-77971.pdf 3-17270 2016-06-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Albert Fried & Company, LLC N/A 34-77972 http://www.sec.gov/litigation/admin/2016/34-77972.pdf 3-17271 2016-06-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Halperin, Jack H. N/A 34-77973 http://www.sec.gov/rules/sro/nysemkt/2016/34-77973.pdf SR-NYSEMKT-2016-57 2016-06-02 Notice / Immediate Effectiveness Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-36975 81-FR-36975 34-77974 http://www.sec.gov/rules/sro/nysearca/2016/34-77974.pdf SR-NYSEARCA-2016-77 2016-06-02 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-36981 81-FR-36981 34-77975 http://www.sec.gov/rules/sro/nyse/2016/34-77975.pdf SR-NYSE-2016-39 2016-06-02 Notice / Immediate Effectiveness Amending the Exchange's Price List to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-36973 81-FR-36973 34-77976 http://www.sec.gov/rules/sro/nyse/2016/34-77976.pdf SR-NYSE-2016-11 2016-06-02 Notice / Designation of a Longer Period for Commission Action, to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Price List to Reflect the Changes SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-36981 81-FR-36981 34-77977 http://www.sec.gov/rules/sro/nysearca/2016/34-77977.pdf SR-NYSEARCA-2016-19 2016-06-02 Notice / Designation of a Longer Period for Commission Action to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Fee Schedule to Reflect the Changes SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-36967 81-FR-36967 34-77978 http://www.sec.gov/rules/sro/nysemkt/2016/34-77978.pdf SR-NYSEMKT-2016-15 2016-06-02 Notice / Designation of a Longer Period for Commission Action to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Fee Schedule to Reflect the Changes SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-36966 81-FR-36966 34-77979 http://www.sec.gov/litigation/admin/2016/33-10087.pdf 33-10087 3-17273 2016-06-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Stoecklein, Donald J., Esq. N/A 34-77980 http://www.sec.gov/litigation/admin/2016/34-77980.pdf 3-16398 2016-06-02 Second Extension Order Order Dyche, Sandra N/A 34-77981 http://www.sec.gov/litigation/admin/2016/34-77981.pdf 3-17275 2016-06-02 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Koifman, Steve N/A 34-77982 http://www.sec.gov/rules/sro/icc/2016/34-77982.pdf SR-ICC-2016-005 2016-06-02 Notice / Amendment No. 1 / Order to Update and Formalize the ICC Stress Testing Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-36979 81-FR-36979 34-77983 http://www.sec.gov/rules/sro/miax/2016/34-77983.pdf SR-MIAX-2016-15 2016-06-02 Notice / Immediate Effectiveness to Amend Exchange Rule 1015, Disciplinary Functions SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-36965 81-FR-36965 34-77984 http://www.sec.gov/litigation/opinions/2016/34-77984.pdf 3-16912 2016-06-02 Opinion Opinion Butler, Joseph R. N/A 34-77985 http://www.sec.gov/litigation/admin/2016/34-77985.pdf 3-16575 2016-06-02 Second Extension Order Order Banks, Wayne Computer Sciences Corporation Laphen, Michael Mancuso, Michael Wakefield, Paul Zilmer, Claus N/A 34-77986 http://www.sec.gov/litigation/admin/2016/34-77986.pdf 3-17123 2016-06-03 Notice That Initial Decision Has Become Final Notice Market Data Consultants, Inc. Mentergy Ltd. (a/k/a Gilat Communications Ltd.) Mid-Am Systems, Inc. Nu Energy Inc. N/A 34-77987 http://www.sec.gov/litigation/admin/2016/34-77987.pdf 3-17151 2016-06-03 Notice That Initial Decision Has Become Final Notice Reid, Joseph Denard (a/k/a Reid Joseph Denard) Shared 1, Inc. Vanport Acquisition I, Corp. Westview Acquisition Corp. Wi-Net Communications Inc. Wisdom Holdings, Inc. Yang Holding Company Youngheart Production Holding Co, Inc. N/A 34-77988 http://www.sec.gov/rules/sro/ficc/2016/34-77988.pdf SR-FICC-2016-001 2016-06-03 Order / Relating to the GCF Repo® Service SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-37220 81-FR-37220 34-77989 http://www.sec.gov/rules/sro/miax/2016/34-77989.pdf SR-MIAX-2016-13 2016-06-03 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-37219 81-FR-37219 34-77990 http://www.sec.gov/rules/sro/nscc/2016/34-77990.pdf SR-NSCC-2016-001 2016-06-03 Order / to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-37229 81-FR-37229 34-77991 http://www.sec.gov/rules/sro/dtc/2016/34-77991.pdf SR-DTC-2016-003 2016-06-03 Notice / Pursuant to Which It Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-37232 81-FR-37232 34-77992 http://www.sec.gov/rules/sro/nysearca/2016/34-77992.pdf SR-NYSEARCA-2016-79 2016-06-03 Notice / Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-37222 81-FR-37222 34-77993 http://www.sec.gov/litigation/opinions/2016/34-77993.pdf 3-16050 2016-06-03 Order Vacating Bar Order Order Litvak, Jesse C. N/A 34-77994 http://www.sec.gov/litigation/opinions/2016/34-77994.pdf 3-17254 2016-06-03 Order Denying Stay Order Meyers Associates, L.P. Meyers, Bruce N/A AAER-3776 http://www.sec.gov/litigation/admin/2016/33-10085.pdf 33-10085 34-77967 3-17268 2016-06-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Starrett, Jane E., CPA N/A AP-3881 http://www.sec.gov/alj/aljorders/2016/ap-3881.pdf 3-17251 2016-05-31 Postponement Order Order Blount, John Steven N/A AP-3882 http://www.sec.gov/alj/aljorders/2016/ap-3882.pdf 3-17258 2016-05-31 Order Postponing Hearing and Scheduling Prehearing Conference Order China Unistone Acquisition Corp. Ideal Restaurant Group, Inc. N/A AP-3883 http://www.sec.gov/alj/aljorders/2016/ap-3883.pdf 3-17104 2016-05-31 Order Denying Respondent Bedwell's Motion for Summary Disposition Order Bedwell, Robert P., CPA Bioelectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan, Kelly A., CPA N/A AP-3884 http://www.sec.gov/alj/aljorders/2016/ap-3884.pdf 3-16949 2016-05-31 Prehearing Order Order Shah, Sandip N/A AP-3885 http://www.sec.gov/alj/aljorders/2016/ap-3885.pdf 3-17248 2016-06-01 Order to Show Cause Order Groveware Technologies Ltd. Luve Sports, Inc. Northcore Technologies, Inc. N/A AP-3886 http://www.sec.gov/alj/aljorders/2016/ap-3886.pdf 3-15350 2016-06-01 Order on Sealed Initial Decision Order Securities Industry and Financial Markets Association N/A AP-3887 http://www.sec.gov/alj/aljorders/2016/ap-3887.pdf 3-17256 2016-06-01 Order Regarding Service on Respondent Jinzanghuang Tibet Pharmaceuticals, Inc. Order JinZangHuang Tibet Pharmaceuticals, Inc. N/A AP-3888 http://www.sec.gov/alj/aljorders/2016/ap-3888.pdf 3-17035 2016-06-01 Order Granting Extension of Time for Opposition Order Desai, Shreyans N/A AP-3889 http://www.sec.gov/alj/aljorders/2016/ap-3889.pdf 3-17265 2016-06-02 Order Scheduling Hearing and Designating Presiding Judge Order Cope, Jay C. Markusen, Steven R. N/A AP-3890 http://www.sec.gov/alj/aljorders/2016/ap-3890.pdf 3-17266 2016-06-02 Order Scheduling Hearing and Designating Presiding Judge Order China Vantagepoint Acquisition Co. Citizens Community Bancorp, Inc. Solis Pharma US, Inc. N/A AP-3891 http://www.sec.gov/alj/aljorders/2016/ap-3891.pdf 3-15619 2016-06-02 General Prehearing Order Order Doxey, Joseph P. N/A AP-3892 http://www.sec.gov/alj/aljorders/2016/ap-3892.pdf 3-17242 2016-06-02 Order to Show Cause Order Giant Resources, Inc. Rush Exploration, Inc. N/A AP-3893 http://www.sec.gov/alj/aljorders/2016/ap-3893.pdf 3-15764 2016-06-03 Order Order McDuff, Gary L. N/A IA-4406 http://www.sec.gov/litigation/admin/2016/ia-4406.pdf 3-17265 2016-05-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Cope, Jay C. Markusen, Steven R. N/A IA-4407 http://www.sec.gov/litigation/opinions/2016/34-77954.pdf 34-77954 3-14951 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Daifotis, Kimon P. N/A IA-4408 http://www.sec.gov/litigation/opinions/2016/34-77955.pdf 34-77955 3-14963 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Madoff, Peter B. N/A IA-4409 http://www.sec.gov/litigation/opinions/2016/ia-4409.pdf 3-15054 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Bars Order Zarefsky, Evan Andrew N/A IA-4410 http://www.sec.gov/litigation/opinions/2016/ia-4410.pdf 3-15055 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Rubin, David N/A IA-4411 http://www.sec.gov/litigation/admin/2016/34-77959.pdf 34-77959 3-17267 2016-06-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Blackstreet Capital Management, LLC Gunty, Murry N. N/A IA-4412 http://www.sec.gov/litigation/opinions/2016/33-10084.pdf 33-10084 34-77964 IC-32137 3-14404 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Deru, Terry M. N/A IA-4413 http://www.sec.gov/litigation/admin/2016/ia-4413.pdf 3-17276 2016-06-03 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled James Caird Asset Management LLP Leslie, Timothy G. N/A IC-32132 http://www.sec.gov/rules/ic/2016/ic-32132.pdf 812-14429 2016-05-31 Order Order Triloma EIG Global Energy Fund, et al. N/A IC-32133 http://www.sec.gov/rules/ic/2016/ic-32133.pdf 812-14566 2016-05-31 Order Order Franklin Advisers, Inc. Franklin Templeton Distributors, Inc. Franklin Templeton ETF Trust N/A IC-32134 http://www.sec.gov/rules/ic/2016/ic-32134.pdf 812-14552 2016-05-31 Order Order Columbia ETF Trust I Columbia Management Investment Advisers, LLC Columbia Management Investment Distributors, Inc. N/A IC-32135 http://www.sec.gov/rules/ic/2016/ic-32135.pdf 812-14492 2016-06-01 Order Order Bridge Builder Trust Olive Street Investment Advisers, LLC N/A IC-32136 http://www.sec.gov/rules/ic/2016/ic-32136.pdf 812-14544 2016-06-01 Order Order Capitala Finance Corp. Capitala Investment Advisors, LLC Capitala Private Credit Fund I, LP CapitalSouth Partners Fund II Limited Partnership CapitalSouth Partners SBIC Fund III, LP N/A IC-32137 http://www.sec.gov/litigation/opinions/2016/33-10084.pdf 33-10084 34-77964 IA-4412 3-14404 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Deru, Terry M. N/A IC-32138 http://www.sec.gov/rules/ic/2016/ic-32138.pdf 812-14426 2016-06-02 Notice Notice Carey Credit Income Fund, et al. http://www.federalregister.gov/citation/81-FR-36967 81-FR-36967 ID-1015 http://www.sec.gov/alj/aljdec/2016/id1015bpm.pdf 3-15350 2016-06-01 Initial Decision Initial Decision Securities Industry and Financial Markets Association N/A ID-1016 http://www.sec.gov/alj/aljdec/2016/id1016jsp.pdf 3-17236 2016-06-02 Initial Decision of Default Initial Decision Pioneer Exploration, Inc. Premier Brands, Inc. Private Media Group, Inc. N/A ID-1017 http://www.sec.gov/alj/aljdec/2016/id1017jeg.pdf 3-17223 2016-06-03 Initial Decision of Default Initial Decision Gold Hills Mining, Ltd. Massive Dynamics, Inc. MDU Communications International, Inc. 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