Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order

2016-08-11 114 7 2016-06-13 2016-06-17 Securities Act of 1933 33 10094 10101 Securities Exchange Act of 1934 34 78041 78102 Administrative Proceedings AP 3913 3930 Trust Indenture Act of 1939 39 2510 2510 Investment Advisers Act of 1940 IA 4420 4432 Investment Company Act of 1940 IC 32144 32153 Initial Decisions (ALJ) ID 1025 1025 Litigation Releases LR 23566 23572 SIPA SIPA 177 177 33-10094 http://www.sec.gov/litigation/admin/2016/33-10094.pdf 34-78043 IC-32144 3-16978 2016-06-13 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Afshar, Behruz Afshar, Shahryar Finelilne Trading Group LLC Kenny, Richard F., IV Makino Capital LLC N/A 33-10095 http://www.sec.gov/rules/final/2016/33-10095.pdf 34-78044 39-2510 IC-32145 NO FILE NUMBER 2016-06-13 Final Rule Final Rule Adoption of EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-43047 81-FR-43047 33-10096 http://www.sec.gov/litigation/admin/2016/33-10096.pdf 34-78082 IA-4424 IC-32149 3-15737 2016-06-15 Order Scheduling Oral Argument Order Gonnella, Thomas C. N/A 33-10097 http://www.sec.gov/litigation/admin/2016/33-10097.pdf IA-4427 IC-32150 3-15574 2016-06-15 Order Rescheduling Oral Argument Order Chau, Wing F. Harding Advisory LLC N/A 33-10098 http://www.sec.gov/rules/proposed/2016/33-10098.pdf 34-78086 S7-10-16 2016-06-16 Proposed rule Proposed Rule Modernization of Property Disclosures for Mining Registrants http://www.federalregister.gov/citation/81-FR-41652 81-FR-41652 33-10099 http://www.sec.gov/rules/final/2016/33-10099.pdf 34-78088 S7-08-10 2016-06-16 Technical Amendment Final Rule Asset-Backed Securities Disclosure and Registration http://www.federalregister.gov/citation/81-FR-40511 81-FR-40511 33-10100 http://www.sec.gov/litigation/opinions/2016/33-10100.pdf 34-78098 IA-4431 IC-32152 3-15446 2016-06-17 Opinion Opinion J.S. Oliver Capital Management, L.P. Mausner, Ian O. N/A 33-10101 http://www.sec.gov/litigation/admin/2016/33-10101.pdf 34-78099 IA-4432 IC-32153 3-15617 2016-06-17 Order Scheduling Oral Argument Order Grossman, Larry C. N/A 34-78041 http://www.sec.gov/rules/exorders/2016/34-78041.pdf NO FILE NUMBER 2016-06-13 Order Order Order Granting Limited and Conditional Exemption Under Section 36(a) of the Securities Exchange Act of 1934 from Compliance with Interactive Data File Exhibit Requirement in Forms 6-K, 8-K, 10-Q, 10-K, 20-F and 40-F to Facilitate Inline Filing of Tagged F http://www.federalregister.gov/citation/81-FR-39741 81-FR-39741 34-78042 http://www.sec.gov/litigation/admin/2016/34-78042.pdf 3-17285 2016-06-13 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled American Life, Inc. Liebman, Henry G. N/A 34-78043 http://www.sec.gov/litigation/admin/2016/33-10094.pdf 33-10094 IC-32144 3-16978 2016-06-13 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Afshar, Behruz Afshar, Shahryar Finelilne Trading Group LLC Kenny, Richard F., IV Makino Capital LLC N/A 34-78044 http://www.sec.gov/rules/final/2016/33-10095.pdf 33-10095 39-2510 IC-32145 NO FILE NUMBER 2016-06-13 Final Rule Final Rule Adoption of EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-43047 81-FR-43047 34-78045 http://www.sec.gov/rules/sro/iceeu/2016/34-78045.pdf SR-ICEEU-2016-008 2016-06-13 Notice / Immediate Effectiveness Relating to Clearance of Containerised White Sugar Futures Contracts SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-39729 81-FR-39729 34-78046 2016-06-13 INTENTIONALLY OMITTED 34-78047 http://www.sec.gov/rules/sro/nasdaq/2016/34-78047.pdf SR-NASDAQ-2016-077 2016-06-13 Notice / Immediate Effectiveness to Eliminate Certain Fees Charged to Securities Listed on Nasdaq Under the Rule 5700 Series SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-39736 81-FR-39736 34-78048 http://www.sec.gov/rules/sro/nsx/2016/34-78048.pdf SR-NSX-2016-03 2016-06-13 Notice / Immediate Effectiveness to Amend its Fee and Rebate Schedule to Adopt a Market Data Revenue Sharing Program SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39727 81-FR-39727 34-78049 http://www.sec.gov/litigation/opinions/2016/34-78049.pdf IA-4420 IC-32146 3-15141 2016-06-13 Opinion Opinion Riad, Mohammed Swanson, Kevin Timothy N/A 34-78050 http://www.sec.gov/rules/sro/nasdaq/2016/34-78050.pdf SR-NASDAQ-2016-081 2016-06-13 Notice / Immediate Effectiveness to Eliminate the Limited WebLink ACT or Nasdaq Workstation Post Trade Fee Tier under Rule 7015(e) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-39724 81-FR-39724 34-78051 http://www.sec.gov/rules/sro/nasdaq/2016/34-78051.pdf SR-NASDAQ-2016-078 2016-06-13 Notice / Immediate Effectiveness to Amend Fees Assessed Under Rule 7015(h) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-39739 81-FR-39739 34-78052 http://www.sec.gov/rules/sro/batsedgx/2016/34-78052.pdf SR-BATSEDGX-2016-22 2016-06-13 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/81-FR-39731 81-FR-39731 34-78053 http://www.sec.gov/litigation/admin/2016/34-78053.pdf 3-17287 2016-06-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hsieh, Anthony Keygent LLC Wang, Chet N/A 34-78054 http://www.sec.gov/litigation/admin/2016/34-78054.pdf IC-32147 3-17288 2016-06-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Bradley, Terrance School Business Consulting, Inc. N/A 34-78055 http://www.sec.gov/rules/sro/icc/2016/34-78055.pdf SR-ICC-2016-008 2016-06-13 Notice / Order Accelerating to Revise the ICC Clearing Rules SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-39743 81-FR-39743 34-78056 http://www.sec.gov/rules/sro/occ/2016/34-78056.pdf SR-OCC-2016-004 2016-06-13 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove Related to the Adoption of an Options Exchange Risk Control Standards Policy SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-39732 81-FR-39732 34-78057 http://www.sec.gov/rules/sro/nyse/2016/34-78057.pdf SR-NYSE-2016-31 2016-06-13 Notice / Amending NYSE Rule 6A to Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-39722 81-FR-39722 34-78058 http://www.sec.gov/litigation/opinions/2016/34-78058.pdf 3-16913R 2016-06-13 Order Scheduling Briefs Order AutoChina International Limited, aka Fincera Inc. N/A 34-78059 http://www.sec.gov/litigation/suspensions/2016/34-78059.pdf 500-1 2016-06-14 Trading Suspension Trading Suspension Enterprise Energy, Inc. http://www.federalregister.gov/citation/81-FR-39298 81-FR-39298 34-78060 http://www.sec.gov/rules/sro/phlx/2016/34-78060.pdf SR-PHLX-2016-47 2016-06-14 Notice / Immediate Effectiveness Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-39979 81-FR-39979 34-78061 http://www.sec.gov/rules/sro/batsbzx/2016/34-78061.pdf SR-BATSBZX-2016-22 2016-06-14 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39972 81-FR-39972 34-78062 http://www.sec.gov/rules/sro/batsedgx/2016/34-78062.pdf SR-BATSEDGX-2016-21 2016-06-14 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equity Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39981 81-FR-39981 34-78063 http://www.sec.gov/rules/sro/nasdaq/2016/34-78063.pdf SR-NASDAQ-2016-056 2016-06-14 Notice / Designation of a Longer Period for Commission Action Relating to the Listing and Trading of the Shares of the PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-39972 81-FR-39972 34-78064 http://www.sec.gov/rules/sro/bx/2016/34-78064.pdf SR-BX-2016-029 2016-06-14 Notice / Immediate Effectiveness to Amend Rule 7018(a) SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-39984 81-FR-39984 34-78065 http://www.sec.gov/rules/sro/nysearca/2016/34-78065.pdf SR-NYSEARCA-2016-85 2016-06-14 Notice / Immediate Effectiveness Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-39976 81-FR-39976 34-78066 http://www.sec.gov/litigation/opinions/2016/34-78066.pdf 3-15764 2016-06-14 Opinion Opinion McDuff, Gary L. N/A 34-78067 http://www.sec.gov/litigation/suspensions/2016/34-78067.pdf 500-1 2016-06-15 Trading Suspension Trading Suspension MIT Holding, Inc. http://www.federalregister.gov/citation/81-FR-39738 81-FR-39738 34-78068 http://www.sec.gov/litigation/admin/2016/34-78068.pdf 3-17291 2016-06-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated MIT Holding, Inc. N/A 34-78069 http://www.sec.gov/litigation/suspensions/2016/34-78069.pdf 500-1 2016-06-15 Trading Suspension Trading Suspension Cascade Technologies Corp. Echo Automotive, Inc. Vision Industries Corp. http://www.federalregister.gov/citation/81-FR-39726 81-FR-39726 34-78070 http://www.sec.gov/litigation/admin/2016/34-78070.pdf 3-17292 2016-06-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Cascade Technologies Corp. Echo Automotive, Inc. Vision Industries Corp. N/A 34-78071 http://www.sec.gov/litigation/admin/2016/34-78071.pdf 3-16876 2016-06-15 Notice That Initial Decision Has Become Final Notice Aksanov, Efim N/A 34-78072 http://www.sec.gov/litigation/admin/2016/34-78072.pdf 3-17175 2016-06-15 Notice That Initial Decision Has Become Final Notice Concertsbyu.com, Inc. Freedom Bancshares, Inc. Metamorphix Inc. N/A 34-78073 http://www.sec.gov/litigation/admin/2016/34-78073.pdf 3-17293 2016-06-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Advanced Life Sciences Holdings, Inc. Anoteros, Inc. Emperial Americas, Inc. Nord Resources Corporation UNR Holdings, Inc. N/A 34-78074 http://www.sec.gov/litigation/suspensions/2016/34-78074.pdf 500-1 2016-06-15 Trading Suspension Trading Suspension Advanced Life Sciences Holdings, Inc. Anoteros, Inc. Emperial Americas, Inc. Nord Resources Corporation UNR Holdings, Inc. http://www.federalregister.gov/citation/81-FR-39740 81-FR-39740 34-78075 http://www.sec.gov/rules/sro/nysearca/2016/34-78075.pdf SR-NYSEARCA-2016-84 2016-06-15 Notice / to List and Trade Shares of the Global Currency Gold Fund under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-40381 81-FR-40381 34-78076 http://www.sec.gov/rules/sro/nysearca/2016/34-78076.pdf SR-NYSEARCA-2016-86 2016-06-15 Notice / Immediate Effectiveness to Amend the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-40379 81-FR-40379 34-78077 http://www.sec.gov/litigation/admin/2016/34-78077.pdf 3-17290 2016-06-14 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled 2 West, Inc. Alton Partners, Inc. Bloomfield, Inc. Kakids, Inc. Katz Imports, Inc. Katz, Todd B. Mijust, Inc. Old Farm, Inc. N/A 34-78078 http://www.sec.gov/rules/sro/nasdaq/2016/34-78078.pdf SR-NASDAQ-2016-064 2016-06-15 Notice / Designation of a Longer Period for Commission Action Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-40377 81-FR-40377 34-78079 http://www.sec.gov/rules/sro/batsbzx/2016/34-78079.pdf SR-BATSBZX-2016-09 2016-06-15 Notice / Designation of a Longer Period for Commission Action to Rule 14.11, Managed Fund Shares, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-40381 81-FR-40381 34-78080 http://www.sec.gov/rules/sro/miax/2016/34-78080.pdf SR-MIAX-2016-16 2016-06-15 Notice / Immediate Effectiveness to Amend Exchange Rule 510 to Extend the Penny Pilot Program until December 31, 2016 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-40377 81-FR-40377 34-78081 http://www.sec.gov/rules/sro/finra/2016/34-78081.pdf SR-FINRA-2015-036 2016-06-15 Notice / Amendment No. 3 / Order Accelerating to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1, 2, and 3 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-40364 81-FR-40364 34-78082 http://www.sec.gov/litigation/admin/2016/33-10096.pdf 33-10096 IA-4424 IC-32149 3-15737 2016-06-15 Order Scheduling Oral Argument Order Gonnella, Thomas C. N/A 34-78083 http://www.sec.gov/litigation/admin/2016/34-78083.pdf 3-17296 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Post, David L. N/A 34-78084 http://www.sec.gov/litigation/admin/2016/34-78084.pdf IA-4425 3-17297 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Rosenberg, Jonathan E. N/A 34-78085 http://www.sec.gov/litigation/admin/2016/34-78085.pdf IA-4426 3-17298 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Gardner, Clark S. N/A 34-78086 http://www.sec.gov/rules/proposed/2016/33-10098.pdf 33-10098 S7-10-16 2016-06-16 Proposed rule Proposed Rule Modernization of Property Disclosures for Mining Registrants http://www.federalregister.gov/citation/81-FR-41652 81-FR-41652 34-78087 http://www.sec.gov/litigation/admin/2016/34-78087.pdf IA-4430 3-17301 2016-06-16 Order Instituting Administrative Proceedings, Making findings, and Imposing Remedial Sanctions AP Settled Bansal, Rohit N/A 34-78088 http://www.sec.gov/rules/final/2016/33-10099.pdf 33-10099 S7-08-10 2016-06-16 Technical Amendment Final Rule Asset-Backed Securities Disclosure and Registration http://www.federalregister.gov/citation/81-FR-40511 81-FR-40511 34-78089 http://www.sec.gov/rules/sro/nasdaq/2016/34-78089.pdf SR-NASDAQ-2016-083 2016-06-16 Notice / Immediate Effectiveness to Amend Rules 7018(a) and 7014(h) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-40736 81-FR-40736 34-78090 http://www.sec.gov/rules/sro/c2/2016/34-78090.pdf SR-C2-2016-008 2016-06-16 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-40739 81-FR-40739 34-78091 http://www.sec.gov/rules/sro/phlx/2016/34-78091.pdf SR-PHLX-2016-41 2016-06-16 Notice / Immediate Effectiveness to Make Clarifying Amendments To and Remove Obsolete Language From Rules 1053 and 1056 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-40734 81-FR-40734 34-78092 http://www.sec.gov/litigation/admin/2016/34-78092.pdf 3-17302 2016-06-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Essential Telecommunications, Inc. Medisys Technologies, Inc. New Day Financial Management, Inc. Pivotal Group, Inc. N/A 34-78093 http://www.sec.gov/litigation/opinions/2016/34-78093.pdf 3-16285 2016-06-16 Opinion Opinion Cloyd, Harvey C., Jr. Electronic Transaction Clearing, Inc. Murphy, Kevin N/A 34-78094 http://www.sec.gov/rules/sro/finra/2016/34-78094.pdf SR-FINRA-2016-014 2016-06-17 Order / Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-40932 81-FR-40932 34-78095 http://www.sec.gov/litigation/admin/2016/34-78095.pdf 3-17226 2016-06-17 Extension Order Order Wanger, Eric David N/A 34-78096 http://www.sec.gov/litigation/admin/2016/34-78096.pdf 3-17303 2016-06-17 Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension AP Litigated Jones, Gregory G. N/A 34-78097 http://www.sec.gov/litigation/admin/2016/34-78097.pdf 3-17304 2016-06-17 Order of Forthwith Suspension Order Jones, Gregory G. N/A 34-78098 http://www.sec.gov/litigation/opinions/2016/33-10100.pdf 33-10100 IA-4431 IC-32152 3-15446 2016-06-17 Opinion Opinion J.S. Oliver Capital Management, L.P. Mausner, Ian O. N/A 34-78099 http://www.sec.gov/litigation/admin/2016/33-10101.pdf 33-10101 IA-4432 IC-32153 3-15617 2016-06-17 Order Scheduling Oral Argument Order Grossman, Larry C. N/A 34-78100 http://www.sec.gov/litigation/admin/2016/34-78100.pdf 3-15429 2016-06-17 Order Approving Amended Plan of Distribution Order North East Capital, LLC Vicidomine, Anthony T. N/A 34-78101 http://www.sec.gov/rules/other/2016/34-78101.pdf 10-222 2016-06-17 Findings, Opinion, and Order of the Commission Final Rule Investors' Exchange, LLC http://www.federalregister.gov/citation/81-FR-41142 81-FR-41142 34-78102 http://www.sec.gov/rules/interp/2016/34-78102.pdf S7-03-16 2016-06-17 Final Rule Final Rule Commission Interpretation Regarding Automated Quotations Under Regulation NMS http://www.federalregister.gov/citation/81-FR-40785 81-FR-40785 39-2510 http://www.sec.gov/rules/final/2016/33-10095.pdf 33-10095 34-78044 IC-32145 NO FILE NUMBER 2016-06-13 Final Rule Final Rule Adoption of EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-43047 81-FR-43047 AP-3913 http://www.sec.gov/alj/aljorders/2016/ap-3913.pdf 3-17256 2016-06-13 Order Following Prehearing Conference and to Show Cause Order Dragon Bright Mintai Botanical Technology Cayman Ltd. Jinzanghuang Tibet Pharmaceuticals, Inc. Macau Resources Group Ltd, N/A AP-3914 http://www.sec.gov/alj/aljorders/2016/ap-3914.pdf 3-17266 2016-06-13 Order Postponing Hearing and Scheduling Prehearing Conference Order China Vantagepoint Acquisition Co. Citizens Community Bancorp, Inc. Solis Pharma US, Inc. N/A AP-3915 http://www.sec.gov/alj/aljorders/2016/ap-3915.pdf 3-16227 3-16229 2016-06-14 Scheduling and Consolidation Order Order Middlebury Securities, LLC Osborn, Gregory N/A AP-3916 http://www.sec.gov/alj/aljorders/2016/ap-3916.pdf 3-16228 2016-06-14 Scheduling Order Order Navagate, Inc. Rorke, Gregory N/A AP-3917 http://www.sec.gov/alj/aljorders/2016/ap-3917.pdf 3-17104 2016-06-14 Order Modifying Briefing Schedule Order Bedwell, Robert P., CPA Bioelectronics Corp. Ibex, LLC St. John's, LLC Whelan, Andrew J. Whelan, Kelly A., CPA N/A AP-3918 http://www.sec.gov/alj/aljorders/2016/ap-3918.pdf 3-17157 2016-06-15 Order Rescheduling Prehearing Conference Order EquityStar Capital Management, LLC Zoernack, Steven N/A AP-3919 http://www.sec.gov/alj/aljorders/2016/ap-3919.pdf 3-17289 2016-06-15 Order Scheduling Hearing and Designating Presiding Judge Order Gold, Alan H. N/A AP-3920 http://www.sec.gov/alj/aljorders/2016/ap-3920.pdf 3-17180 2016-06-15 Order Granting Extension Order Berman & Company, P.A. Berman, Elliot R., CPA N/A AP-3921 http://www.sec.gov/alj/aljorders/2016/ap-3921.pdf 3-17172 2016-06-15 Stay Order Order Clare, Barry B. N/A AP-3922 http://www.sec.gov/alj/aljorders/2016/ap-3922.pdf 3-16594 2016-06-15 Order Order Equity Trust Company N/A AP-3923 http://www.sec.gov/alj/aljorders/2016/ap-3923.pdf 3-17265 2016-06-16 Order Postponing Hearing and Scheduling Prehearing Conference Order Cope, Jay C. Markusen, Steven R. N/A AP-3924 http://www.sec.gov/alj/aljorders/2016/ap-3924.pdf 3-17251 2016-06-16 Order Order Blount, John Steven N/A AP-3925 http://www.sec.gov/alj/aljorders/2016/ap-3925.pdf 3-17228 2016-06-17 Second Order to Show Cause Order Cisneros, Susan A. N/A AP-3926 http://www.sec.gov/alj/aljorders/2016/ap-3926.pdf 3-17292 2016-06-17 Order Scheduling Hearing and Designating Presiding Judge Order Cascade Technologies Corp. Echo Automotive, Inc. Vision Industries Corp. N/A AP-3927 http://www.sec.gov/alj/aljorders/2016/ap-3927.pdf 3-17291 2016-06-17 Order Scheduling Hearing and Designating Presiding Judge Order MIT Holding, Inc. N/A AP-3928 http://www.sec.gov/alj/aljorders/2016/ap-3928.pdf 3-17293 2016-06-17 Order Scheduling Hearing and Designating Presiding Judge Order Advanced Life Sciences Holdings, Inc. Anoteros, Inc. Emperial Americas, Inc. Nord Resources Corporation UNR Holdings, Inc. N/A AP-3929 http://www.sec.gov/alj/aljorders/2016/ap-3929.pdf 3-17282 2016-06-17 Order Postponing Hearing and Scheduling Prehearing Conference Order Eric B. Global Ventures, Inc. Parallax Diagnostics, Inc. Secure Digital, Inc. N/A AP-3930 http://www.sec.gov/alj/aljorders/2016/ap-3930.pdf 3-17266 2016-06-17 Order to Show Cause Order China VantagePoint Acquisition Co. Citizens Community Bancorp, Inc. Solis Pharma US, Inc. N/A IA-4420 http://www.sec.gov/litigation/opinions/2016/34-78049.pdf 34-78049 IC-32146 3-15141 2016-06-13 Opinion Opinion Riad, Mohammed Swanson, Kevin Timothy N/A IA-4421 http://www.sec.gov/rules/other/2016/ia-4421.pdf NO FILE NUMBER 2016-06-14 Order Order Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940 http://www.federalregister.gov/citation/81-FR-39985 81-FR-39985 IA-4422 http://www.sec.gov/litigation/admin/2016/ia-4422.pdf 3-17289 2016-06-14 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Gold, Alan H. N/A IA-4423 http://www.sec.gov/litigation/admin/2016/ia-4423.pdf 3-17295 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Davis, Richard W., Jr. N/A IA-4424 http://www.sec.gov/litigation/admin/2016/33-10096.pdf 33-10096 34-78082 IC-32149 3-15737 2016-06-15 Order Scheduling Oral Argument Order Gonnella, Thomas C. N/A IA-4425 http://www.sec.gov/litigation/admin/2016/34-78084.pdf 34-78084 3-17297 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Rosenberg, Jonathan E. N/A IA-4426 http://www.sec.gov/litigation/admin/2016/34-78085.pdf 34-78085 3-17298 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Gardner, Clark S. N/A IA-4427 http://www.sec.gov/litigation/admin/2016/33-10097.pdf 33-10097 IC-32150 3-15574 2016-06-15 Order Rescheduling Oral Argument Order Chau, Wing F. Harding Advisory LLC N/A IA-4428 http://www.sec.gov/litigation/admin/2016/ia-4428.pdf 3-17299 2016-06-16 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing a Cease-and-Desist Order AP Settled Apex Fund Services (US), Inc. (Clearpath) N/A IA-4429 http://www.sec.gov/litigation/admin/2016/ia-4429.pdf 3-17300 2016-06-16 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Apex Fund Services (US), Inc. (EquityStar) N/A IA-4430 http://www.sec.gov/litigation/admin/2016/34-78087.pdf 34-78087 3-17301 2016-06-16 Order Instituting Administrative Proceedings, Making findings, and Imposing Remedial Sanctions AP Settled Bansal, Rohit N/A IA-4431 http://www.sec.gov/litigation/opinions/2016/33-10100.pdf 33-10100 34-78098 IC-32152 3-15446 2016-06-17 Opinion Opinion J.S. Oliver Capital Management, L.P. Mausner, Ian O. N/A IA-4432 http://www.sec.gov/litigation/admin/2016/33-10101.pdf 33-10101 34-78099 IC-32153 3-15617 2016-06-17 Order Scheduling Oral Argument Order Grossman, Larry C. N/A IC-32144 http://www.sec.gov/litigation/admin/2016/33-10094.pdf 33-10094 34-78043 3-16978 2016-06-13 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Afshar, Behruz Afshar, Shahryar Finelilne Trading Group LLC Kenny, Richard F., IV Makino Capital LLC N/A IC-32145 http://www.sec.gov/rules/final/2016/33-10095.pdf 33-10095 34-78044 39-2510 NO FILE NUMBER 2016-06-13 Final Rule Final Rule Adoption of EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-43047 81-FR-43047 IC-32146 http://www.sec.gov/litigation/opinions/2016/34-78049.pdf 34-78049 IA-4420 3-15141 2016-06-13 Opinion Opinion Riad, Mohammed Swanson, Kevin Timothy N/A IC-32147 http://www.sec.gov/litigation/admin/2016/34-78054.pdf 34-78054 3-17288 2016-06-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Bradley, Terrance School Business Consulting, Inc. N/A IC-32148 http://www.sec.gov/rules/ic/2016/ic-32148.pdf 812-14573 2016-06-13 Order Order Nationwide Fund Advisors Nationwide Mutual Funds Nationwide Variable Insurance Trust N/A IC-32149 http://www.sec.gov/litigation/admin/2016/33-10096.pdf 33-10096 34-78082 IA-4424 3-15737 2016-06-15 Order Scheduling Oral Argument Order Gonnella, Thomas C. N/A IC-32150 http://www.sec.gov/litigation/admin/2016/33-10097.pdf 33-10097 IA-4427 3-15574 2016-06-15 Order Rescheduling Oral Argument Order Chau, Wing F. Harding Advisory LLC N/A IC-32151 http://www.sec.gov/litigation/admin/2016/ic-32151.pdf 3-17286 2016-06-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Bank of New York Mellon N/A IC-32152 http://www.sec.gov/litigation/opinions/2016/33-10100.pdf 33-10100 34-78098 IA-4431 3-15446 2016-06-17 Opinion Opinion J.S. Oliver Capital Management, L.P. Mausner, Ian O. N/A IC-32153 http://www.sec.gov/litigation/admin/2016/33-10101.pdf 33-10101 34-78099 IA-4432 3-15617 2016-06-17 Order Scheduling Oral Argument Order Grossman, Larry C. N/A ID-1025 http://www.sec.gov/alj/aljdec/2016/id1025jeg.pdf 3-17037 2016-06-13 Initial Decision of Default Initial Decision Palmer, Wayne L. N/A LR-23566 2016-06-13 INTENTIONALLY OMITTED LR-23567 http://www.sec.gov/litigation/litreleases/2016/lr23567.htm 0:16-CV-1877 WMW-FLN 2016-06-13 Enforcement Case Churchfield, Jeffory Jarrell, Jack Providence Financial Investments, Inc. Providence Fixed Income Fund N/A LR-23568 http://www.sec.gov/litigation/litreleases/2016/lr23568.htm 16-CV-00437 2016-06-14 Enforcement Case Atlas JG, LLC Proctor, Andrew K. N/A LR-23569 2016-06-14 INTENTIONALLY OMITTED LR-23570 http://www.sec.gov/litigation/litreleases/2016/lr23570.htm 07-6423 (MMC) 2016-06-15 Enforcement Case Olins, Robert A. N/A LR-23571 http://www.sec.gov/litigation/litreleases/2016/lr23571.htm 2:16-CV-00231 2016-06-16 Enforcement Case Biehl, Barrett Miller, Douglas Miller, Edward Salis, Christopher N/A LR-23572 http://www.sec.gov/litigation/litreleases/2016/lr23572.htm 15-1538/15-1695 2016-06-17 Enforcement Case Shearer, Roger D. StratoComm Corporation N/A SIPA-177 http://www.sec.gov/rules/other/2016/sipa-177.pdf SIPC-2016-02 2016-06-15 Notice / Proposed Bylaw Amendments Relating to Assessment of SIPC Members Notice Securities Investor Protection Corporation http://www.federalregister.gov/citation/81-FR-39986 81-FR-39986