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

2016-08-11 114 8 2016-06-20 2016-06-24 Securities Act of 1933 33 10102 10103 Securities Exchange Act of 1934 34 78103 78155 Accounting and Auditing Enforcement Release AAER 3784 3785 Administrative Proceedings AP 3931 3944 Investment Advisers Act of 1940 IA 4433 4436 Investment Company Act of 1940 IC 32154 32161 Initial Decisions (ALJ) ID 1026 1029 Litigation Releases LR 23573 23583 33-10102 http://www.sec.gov/rules/other/2016/33-10102.pdf 34-78127 265-28 2016-06-22 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Notice Investor Advisory Committee Meeting http://www.federalregister.gov/citation/81-FR-41628 81-FR-41628 33-10103 http://www.sec.gov/litigation/admin/2016/33-10103.pdf 3-17314 2016-06-23 Order Instituting Cease and Desist Proceedings, Making Findings, and Imposing a Cease and Desist Order AP Settled Merrill Lynch, Pierce, Fenner & Smith, Inc. N/A 34-78103 http://www.sec.gov/rules/sro/nasdaq/2016/34-78103.pdf SR-NASDAQ-2016-089 2016-06-20 Notice / Immediate Effectiveness to Options Pricing at Chapter XV, Section 2 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-41359 81-FR-41359 34-78104 http://www.sec.gov/rules/sro/bats/2016/34-78104.pdf SR-BATS-2016-16 2016-06-20 Order / Approving to List and Trade Shares of the Pointbreak Diversified Commodity Strategy Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-41355 81-FR-41355 34-78105 2016-06-20 INTENTIONALLY OMITTED 34-78106 http://www.sec.gov/rules/sro/nysemkt/2016/34-78106.pdf SR-NYSEMKT-2016-59 2016-06-20 Notice / Immediate Effectiveness Adopting New NYSE MKT Rules 2090 - Equities (Know Your Customer) and 2111 - Equities (Suitability) that are Substantially Similar to FINRA Rules 2090 (Know Your Customer) and 2111(Suitability), Deleting Current NYSE MKT Ru SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-41364 81-FR-41364 34-78107 http://www.sec.gov/rules/sro/bx/2016/34-78107.pdf SR-BX-2016-036 2016-06-21 Notice / Immediate Effectiveness to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Options Quoting and Trading Activity SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-41619 81-FR-41619 34-78108 http://www.sec.gov/rules/sro/nyse/2016/34-78108.pdf SR-NYSE-2016-42 2016-06-21 Notice / Immediate Effectiveness to Amend its Price List to Adopt a Fee Waiver and a Fee Cap Related to the Liquidity Provider Incentive Program on the NYSE BondsSM System SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-41636 81-FR-41636 34-78109 http://www.sec.gov/rules/sro/chx/2016/34-78109.pdf SR-CHX-2016-08 2016-06-21 Notice / Immediate Effectiveness Regarding Fingerprinting SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-41641 81-FR-41641 34-78110 http://www.sec.gov/rules/sro/cboe/2016/34-78110.pdf SR-CBOE-2016-050 2016-06-21 Notice / Immediate Effectiveness Related to Order Marking SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-41626 81-FR-41626 34-78111 http://www.sec.gov/rules/sro/batsbzx/2016/34-78111.pdf SR-BATSBZX-2016-24 2016-06-21 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-41638 81-FR-41638 34-78112 http://www.sec.gov/rules/sro/batsedgx/2016/34-78112.pdf SR-BATSEDGX-2016-23 2016-06-21 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-41617 81-FR-41617 34-78113 http://www.sec.gov/litigation/admin/2016/34-78113.pdf AAER-3784 3-17305 2016-06-21 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Analogic Corporation Frost, Lars N/A 34-78114 http://www.sec.gov/litigation/admin/2016/34-78114.pdf 3-17306 2016-06-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Feltl & Company, Inc. N/A 34-78115 http://www.sec.gov/litigation/admin/2016/34-78115.pdf 3-17307 2016-06-21 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Galileo Petroleum Ltd. Hyperion Acquisition Corp. Satori Beverages International, Ltd. N/A 34-78116 http://www.sec.gov/rules/sro/phlx/2016/34-78116.pdf SR-PHLX-2016-69 2016-06-21 Notice / Immediate Effectiveness to Amend Exchange's Pricing Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-41629 81-FR-41629 34-78117 http://www.sec.gov/rules/sro/nysemkt/2016/34-78117.pdf SR-NYSEMKT-2016-60 2016-06-21 Notice / Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-41634 81-FR-41634 34-78118 http://www.sec.gov/litigation/admin/2016/34-78118.pdf 3-16836 2016-06-21 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Alternative Securities Markets Group Corp. Blue Coast Securities Corp., dba GlobalCrowdTV, Inc. and Blue Coast Banc Muehler, Steven J. N/A 34-78119 http://www.sec.gov/rules/sro/ise/2016/34-78119.pdf SR-ISE-2016-11 SR-ISE GEMINI-2016-05 SR-ISE MERCURY-2016-10 2016-06-21 Notice / Amendment No. 1 / Order Accelerating Relating to a Corporate Transaction in Which Nasdaq, Inc. Will Become the Indirect Parent of ISE, ISE Gemini, and ISE Mercury SRO Filing International Securities Exchange, LLC ISE Gemini, LLC ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-41611 81-FR-41611 34-78120 http://www.sec.gov/rules/sro/miax/2016/34-78120.pdf SR-MIAX-2016-17 2016-06-22 Notice / Immediate Effectiveness to Amend Exchange Rules 307 and 309 to Extend the SPY Pilot Program SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-42032 81-FR-42032 34-78121 http://www.sec.gov/rules/sro/batsedga/2016/34-78121.pdf SR-BATSEDGA-2016-12 2016-06-22 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-42027 81-FR-42027 34-78122 http://www.sec.gov/rules/sro/batsbyx/2016/34-78122.pdf SR-BATSBYX-2016-12 2016-06-22 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-42013 81-FR-42013 34-78123 http://www.sec.gov/rules/sro/nasdaq/2016/34-78123.pdf SR-NASDAQ-2016-084 2016-06-22 Notice / Immediate Effectiveness to Elimination of SPY Position Limits SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-42030 81-FR-42030 34-78124 http://www.sec.gov/rules/sro/phlx/2016/34-78124.pdf SR-PHLX-2016-68 2016-06-22 Notice / Immediate Effectiveness Relating to SPY Position Limits SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-42008 81-FR-42008 34-78125 http://www.sec.gov/rules/sro/bx/2016/34-78125.pdf SR-BX-2016-030 2016-06-22 Notice / Immediate Effectiveness to Elimination of SPY Position Limits SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-42009 81-FR-42009 34-78126 http://www.sec.gov/rules/sro/chx/2016/34-78126.pdf SR-CHX-2016-10 2016-06-22 Notice / Immediate Effectiveness to Amend the Institutional Broker Fee Cap and Credit SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-42022 81-FR-42022 34-78127 http://www.sec.gov/rules/other/2016/33-10102.pdf 33-10102 265-28 2016-06-22 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Notice Investor Advisory Committee Meeting http://www.federalregister.gov/citation/81-FR-41628 81-FR-41628 34-78128 http://www.sec.gov/litigation/admin/2016/34-78128.pdf IA-4433 IC-32158 3-17308 2016-06-22 Order Instituting Administrative and Cease-and-Desist Procedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders AP Settled Simpson Hughes Financial, LLC Simpson, Mark C. N/A 34-78129 http://www.sec.gov/rules/sro/phlx/2016/34-78129.pdf SR-PHLX-2016-67 2016-06-22 Notice / Immediate Effectiveness Relating to the Risk Monitor Mechanism SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-42024 81-FR-42024 34-78130 http://www.sec.gov/rules/sro/finra/2016/34-78130.pdf SR-FINRA-2016-019 2016-06-22 Notice / Immediate Effectiveness to Adopt NASD Rule 2830 as FINRA rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-42016 81-FR-42016 34-78131 http://www.sec.gov/rules/sro/cboe/2016/34-78131.pdf SR-CBOE-2016-052 2016-06-22 Notice / Immediate Effectiveness to Extend a Pilot Program that Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust ("SPY") Options SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-42011 81-FR-42011 34-78132 http://www.sec.gov/rules/sro/cboe/2016/34-78132.pdf SR-CBOE-2016-046 2016-06-22 Notice / to Expand the Nonstandard Expirations Pilot Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-42018 81-FR-42018 34-78133 http://www.sec.gov/litigation/admin/2016/34-78133.pdf 3-16575 2016-06-22 Order Appointing Fund Plan Administrator and Setting Bond Amount Order Banks, Wayne Computer Sciences Corporation Laphen, Michael Mancuso, Michael Wakefield, Paul Zilmer, Claus N/A 34-78134 http://www.sec.gov/litigation/opinions/2016/34-78134.pdf 3-17211 2016-06-22 Order Dismissing Application for Review Order Guevara, Rogelio N/A 34-78135 http://www.sec.gov/litigation/suspensions/2016/34-78135.pdf 500-1 2016-06-23 Trading Suspension Trading Suspension Coastal Pacific Mining Corp. Petaquilla Minerals Ltd. http://www.federalregister.gov/citation/81-FR-41641 81-FR-41641 34-78136 http://www.sec.gov/litigation/admin/2016/34-78136.pdf 3-17309 2016-06-23 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Coastal Pacific Mining Corp. Petaquilla Minerals Ltd. N/A 34-78137 http://www.sec.gov/litigation/suspensions/2016/34-78137.pdf 500-1 2016-06-23 Trading Suspension Trading Suspension Caspian International Oil Corporation Elevate, Inc. Frawley Corporation Groen Brothers Aviation, Inc. Logic Devices, Incorporated http://www.federalregister.gov/citation/81-FR-41625 81-FR-41625 34-78138 http://www.sec.gov/litigation/admin/2016/34-78138.pdf 3-17310 2016-06-23 Order Instituting Administrative Proceedings and Notice of Hearing AP Settled Caspian International Oil Corporation Elevate, Inc. Frawley Corporation Groen Brothers Aviation, Inc. Logic Devices, Incorporated N/A 34-78139 http://www.sec.gov/litigation/suspensions/2016/34-78139.pdf 500-1 2016-06-23 Trading Suspension Trading Suspension Rebornne (USA) Inc. http://www.federalregister.gov/citation/81-FR-41629 81-FR-41629 34-78140 http://www.sec.gov/litigation/admin/2016/34-78140.pdf 3-17311 2016-06-23 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Rebornne (USA) Inc. N/A 34-78141 http://www.sec.gov/litigation/admin/2016/34-78141.pdf 3-17312 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Merrill Lynch Professional Clearing Corp. Merrill Lynch, Pierce, Fenner & Smith, Inc. N/A 34-78142 http://www.sec.gov/litigation/admin/2016/34-78142.pdf IA-4434 IC-32159 3-17313 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Tirrell, William N/A 34-78143 http://www.sec.gov/rules/sro/cfe/2016/34-78143.pdf SR-CFE-2016-002 2016-06-23 Notice / to Make Clarifying Updates to Prohibited Disruptive Trading Practices SRO Filing CBOE Futures Exchange, LLC http://www.federalregister.gov/citation/81-FR-42386 81-FR-42386 34-78144 http://www.sec.gov/rules/sro/icc/2016/34-78144.pdf SR-ICC-2016-007 2016-06-23 Notice / Designation of a Longer Period for Commission Action to Revise the ICC End-of-Day Price Discovery Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-42018 81-FR-42018 34-78145 http://www.sec.gov/litigation/admin/2016/34-78145.pdf AAER-3785 3-17134 2016-06-23 Order Making Findings and Imposing Remedial Sanctions AP Settled Quintanilla, Timothy, CPA N/A 34-78146 http://www.sec.gov/rules/sro/chx/2016/34-78146.pdf SR-CHX-2016-09 2016-06-23 Notice / Immediate Effectiveness to Adopt Rules to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Chicago Stock Exchange, Inc http://www.federalregister.gov/citation/81-FR-42380 81-FR-42380 34-78147 http://www.sec.gov/litigation/admin/2016/34-78147.pdf IA-4435 IC-32160 3-17315 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ross, Sinclaire & Associates, LLC Sinclaire, Murray, Jr. N/A 34-78148 http://www.sec.gov/litigation/suspensions/2016/34-78148.pdf 500-1 2016-06-24 Trading Suspension Trading Suspension Breitling Energy Company http://www.federalregister.gov/citation/81-FR-42022 81-FR-42022 34-78149 http://www.sec.gov/rules/sro/nasdaq/2016/34-78149.pdf SR-NASDAQ-2016-085 2016-06-24 Notice / Immediate Effectiveness to Allow Listed Companies Not Currently Subject to Nasdaq's All-Inclusive Annual Listing Fee To Opt In to That Fee Program For 2017 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-42388 81-FR-42388 34-78150 http://www.sec.gov/rules/sro/nasdaq/2016/34-78150.pdf SR-NASDAQ-2016-086 2016-06-24 Notice / to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-42768 81-FR-42768 34-78151 http://www.sec.gov/rules/sro/occ/2016/34-78151.pdf SR-OCC-2016-003 2016-06-24 Notice / Immediate Effectiveness Related to the Acceptance of Pass-Through Letters of Credit as a Form of Margin Asset SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-42777 81-FR-42777 34-78152 http://www.sec.gov/rules/sro/nysearca/2016/34-78152.pdf SR-NYSEARCA-2016-90 2016-06-24 Notice / Immediate Effectiveness to Temporarily Widen Price Collar Thresholds for the Core Open Auction and Trading Halt Auctions SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-42781 81-FR-42781 34-78153 http://www.sec.gov/rules/sro/nyse/2016/34-78153.pdf SR-NYSE-2016-22 2016-06-24 Order / Approval to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopt Listing Fees Specific to Equity Investment Tracking Stocks SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-42762 81-FR-42762 34-78154 http://www.sec.gov/rules/sro/nyse/2016/34-78154.pdf SR-NYSE-2016-46 2016-06-24 Notice / Immediate Effectiveness for A Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 that Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Servi SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-42766 81-FR-42766 34-78155 http://www.sec.gov/rules/sro/nysemkt/2016/34-78155.pdf SR-NYSEMKT-2016-64 2016-06-24 Notice / Immediate Effectiveness for A Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities that Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-42779 81-FR-42779 AAER-3784 http://www.sec.gov/litigation/admin/2016/34-78113.pdf 34-78113 3-17305 2016-06-21 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Analogic Corporation Frost, Lars N/A AAER-3785 http://www.sec.gov/litigation/admin/2016/34-78145.pdf 34-78145 3-17134 2016-06-23 Order Making Findings and Imposing Remedial Sanctions AP Settled Quintanilla, Timothy, CPA N/A AP-3931 http://www.sec.gov/alj/aljorders/2016/ap-3931.pdf 3-17253 2016-06-20 Prehearing Order Order Blue Ocean Portfolios, LLC Winkelmann, Sr., James A. N/A AP-3932 http://www.sec.gov/alj/aljorders/2016/ap-3932.pdf 3-17228 2016-06-21 Scheduling and General Prehearing Order Order Cisneros, Susan A. Cochran, Michelle L. Helterbran, CPA David S. Hall, P.C. d/b/a The Hall Group CPAs Hall, David S., CPA N/A AP-3933 http://www.sec.gov/alj/aljorders/2016/ap-3933.pdf 3-17302 2016-06-22 Order Scheduling Hearing and Designating Presiding Judge Order Essential Telecommunications, Inc. Medisys Technologies, Inc. New Day Financial Management, Inc. Pivotal Group, Inc. N/A AP-3934 http://www.sec.gov/alj/aljorders/2016/ap-3934.pdf 3-15764 2016-06-22 Post-Hearing Order and Protective Order Order McDuff, Gary L. N/A AP-3935 http://www.sec.gov/alj/aljorders/2016/ap-3935.pdf 3-17228 2016-06-22 Order Discharging Order to Show Cause Order Cisneros, Susan A. Cochran, Michelle L. Helterbran, CPA David S. Hall, P.C. d/b/a The Hall Group CPAs Hall, David S., CPA N/A AP-3936 http://www.sec.gov/alj/aljorders/2016/ap-3936.pdf 3-17282 2016-06-22 Order Rescheduling Prehearing Conference Order Eric B. Global Ventures, Inc. Parallax Diagnostics, Inc. Secure Digital, Inc. N/A AP-3937 http://www.sec.gov/alj/aljorders/2016/ap-3937.pdf 3-17292 2016-06-22 Order Postponing Hearing and Scheduling Prehearing Conference Order Cascade Technologies Corp. Echo Automotive, Inc. Vision Industries Corp. N/A AP-3938 http://www.sec.gov/alj/aljorders/2016/ap-3938.pdf 3-17307 2016-06-23 Order Scheduling Hearing and Designating Presiding Judge Order Galileo Petroleum Ltd. Hyperion Acquisition Corp. Satori Beverages International, Ltd N/A AP-3939 http://www.sec.gov/alj/aljorders/2016/ap-3939.pdf 3-16554 2016-06-23 Notice Notice Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C., IV N/A AP-3940 http://www.sec.gov/alj/aljorders/2016/ap-3940.pdf 3-17255 2016-06-23 Order to Show Cause Order Bodisen Biotech, Inc. China Global Media, Inc. China Heli Resource Renewable, Inc. GFR Pharmaceuticals, Inc. N/A AP-3941 http://www.sec.gov/alj/aljorders/2016/ap-3941.pdf 3-17310 2016-06-24 Order Scheduling Hearing and Designating Presiding Judge Order Caspian International Oil Corporation Elevate, Inc. Frawley Corporation Groen Brothers Aviation, Inc. Logic Devices, Incorporated N/A AP-3942 http://www.sec.gov/alj/aljorders/2016/ap-3942.pdf 3-17311 2016-06-24 Order Scheduling Hearing and Designating Presiding Judge Order Rebornne (USA) Inc. N/A AP-3943 http://www.sec.gov/alj/aljorders/2016/ap-3943.pdf 3-17157 2016-06-24 Protective Order Order EquityStar Capital Management, LLC Zoernack, Steven N/A AP-3944 http://www.sec.gov/alj/aljorders/2016/ap-3944.pdf 3-17157 2016-06-24 Scheduling Order Order EquityStar Capital Management, LLC Zoernack, Steven N/A IA-4433 http://www.sec.gov/litigation/admin/2016/34-78128.pdf 34-78128 IC-32158 3-17308 2016-06-22 Order Instituting Administrative and Cease-and-Desist Procedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders AP Settled Simpson Hughes Financial, LLC Simpson, Mark C. N/A IA-4434 http://www.sec.gov/litigation/admin/2016/34-78142.pdf 34-78142 IC-32159 3-17313 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Tirrell, William N/A IA-4435 http://www.sec.gov/litigation/admin/2016/34-78147.pdf 34-78147 IC-32160 3-17315 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ross, Sinclaire & Associates, LLC Sinclaire, Murray, Jr. N/A IA-4436 http://www.sec.gov/alj/aljdec/2016/ia-4436.pdf 3-16893 2016-06-24 Notice That Initial Decision Has Become Final Notice Evans, James A., Jr. N/A IC-32154 http://www.sec.gov/rules/ic/2016/ic-32154.pdf 812-14399 2016-06-21 Order Order Ares Capital Corporation Ares Capital Management LLC Ares Venture Finance GP LLC Ares Venture Finance, LP N/A IC-32155 http://www.sec.gov/rules/icdereg/2016/ic-32155.pdf 811-21367 2016-06-22 Order Order John Hancock Diversified Income Fund N/A IC-32156 http://www.sec.gov/rules/icdereg/2016/ic-32156.pdf 811-05415 2016-06-22 Order Order Morgan Stanley Global Infrastructure Fund N/A IC-32157 http://www.sec.gov/rules/icdereg/2016/ic-32157.pdf 811-22937 2016-06-22 Order Order O'Connor Equus N/A IC-32158 http://www.sec.gov/litigation/admin/2016/34-78128.pdf 34-78128 IA-4433 3-17308 2016-06-22 Order Instituting Administrative and Cease-and-Desist Procedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders AP Settled Simpson Hughes Financial, LLC Simpson, Mark C. N/A IC-32159 http://www.sec.gov/litigation/admin/2016/34-78142.pdf 34-78142 IA-4434 3-17313 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Tirrell, William N/A IC-32160 http://www.sec.gov/litigation/admin/2016/34-78147.pdf 34-78147 IA-4435 3-17315 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ross, Sinclaire & Associates, LLC Sinclaire, Murray, Jr. N/A IC-32161 http://www.sec.gov/rules/icdereg/2016/ic-32161.pdf 811-22357 811-04588 811-23123 811-07275 811-22783 811-22647 811-22646 811-05076 811-02273 811-01932 2016-06-24 Notice Notice BofA Funds Series Trust Charter National Variable Account Direct Lending Income Fund Oppenheimer Growth & Income Fund Oppenheimer SteelPath Master MLP Fund, LLC Private Advisors Alternative Strategies Fund Private Advisors Alternative Strategies Master Fund Tax-Exempt California Money Market Fund Transamerica Income Shares, Inc. Valley Forge Fund, Inc. http://www.federalregister.gov/citation/81-FR-42761 81-FR-42761 ID-1026 http://www.sec.gov/alj/aljdec/2016/id1026jsp.pdf 3-17242 2016-06-20 Initial Decision of Default Initial Decision Giant Resources, Inc. Rush Exploration, Inc. N/A ID-1027 http://www.sec.gov/alj/aljdec/2016/id1027jeg.pdf 3-17248 2016-06-20 Initial Decision of Default Initial Decision Groveware Technologies Ltd Luve Sports, Inc. Northcore Technologies, Inc. N/A ID-1028 http://www.sec.gov/alj/aljdec/2016/id1028jsp.pdf 3-17259 2016-06-21 Initial Decision of Default Initial Decision GreenPower International Group Ltd. Hauge Techonology, Inc. N/A ID-1029 http://www.sec.gov/alj/aljdec/2016/id1029jsp.pdf 3-17258 2016-06-22 Initial Decision of Default Initial Decision China Unistone Acquisition Corp. Ideal Restaurant Group, Inc. N/A LR-23573 http://www.sec.gov/litigation/litreleases/2016/lr23573.htm 15-CV-10050 2016-06-20 Enforcement Case Thibeault, Daniel N/A LR-23574 http://www.sec.gov/litigation/litreleases/2016/lr23574.htm 1:16-CV-11148 2016-06-20 Enforcement Case Hannon, James S. N/A LR-23575 http://www.sec.gov/litigation/litreleases/2016/lr23575.htm 2:16CV-1413 2016-06-21 Enforcement Case Epling, Barry Hemp, Inc. Perlowin, Bruce Perlowin, Jed N/A LR-23576 http://www.sec.gov/litigation/litreleases/2016/lr23576.htm 14-CV-12959 2016-06-21 Enforcement Case Brown, Mitchell H. N/A LR-23577 http://www.sec.gov/litigation/litreleases/2016/lr23577.htm 12-CV-8676 2016-06-21 Enforcement Case Conradt, Thomas C. N/A LR-23578 http://www.sec.gov/litigation/litreleases/2016/lr23578.htm 16-CV-06391 2016-06-21 Enforcement Case Rangel, Juan Rafael N/A LR-23579 http://www.sec.gov/litigation/litreleases/2016/lr23579.htm 16-CV-1417 2016-06-21 Enforcement Case Harmon, Richard M. Kaptrosky, John A. Narayan, Ash Ticket Reserve Inc. N/A LR-23580 http://www.sec.gov/litigation/litreleases/2016/lr23580.htm 16-CV-4805 2016-06-23 Enforcement Case Mustapha, Idris Dayo N/A LR-23581 http://www.sec.gov/litigation/litreleases/2016/lr23581.htm 13-CV-12520 2016-06-23 Enforcement Case Ackman, Blair Diaz, Alicia Mathews, W. Emery N/A LR-23582 http://www.sec.gov/litigation/litreleases/2016/lr23582.htm 3:16-CV-01735-D 2016-06-24 Enforcement Case Breitling Energy Corporation Breitling Oil and Gas Corporation Crude Energy LLC Faulkner, Chris Hallam, Parker Handkins, Beth Hoover, Rick Miller, Michael Patriot Energy Inc. Simo, Joseph Wagers, Jeremy N/A LR-23583 http://www.sec.gov/litigation/litreleases/2016/lr23583.htm 2:15-CR-287 2016-06-24 Enforcement Case Segal, Malcolm N/A