Notice of Meeting.

2016-08-02 114 9 2016-06-27 2016-07-01 Securities Act of 1933 33 10105 10108 Securities Exchange Act of 1934 34 78157 78224* Accounting and Auditing Enforcement Release AAER 3786 3786 Administrative Proceedings AP 3945 3961 Investment Advisers Act of 1940 IA 4438 4442 Investment Company Act of 1940 IC 32163 32167 Initial Decisions (ALJ) ID 1030 1031 Litigation Releases LR 23584 23589 34-78215 33-10105 http://www.sec.gov/rules/other/2016/33-10105.pdf 34-78158 265-27 2016-06-27 Notice of Meeting. Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-42777 81-FR-42777 33-10106 http://www.sec.gov/litigation/admin/2016/33-10106.pdf 34-78166 3-17013 2016-06-27 Order Granting Extension to File Petition for Review Order Perres, Allen N/A 33-10107 http://www.sec.gov/rules/proposed/2016/33-10107.pdf 34-78168 S7-12-16 2016-06-27 Proposed Rule Proposed Rule Amendments to Smaller Reporting Company Definition http://www.federalregister.gov/citation/81-FR-43130 81-FR-43130 33-10108 http://www.sec.gov/litigation/admin/2016/33-10108.pdf 34-78185 IA-4440 IC-32165 3-17319 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Helen, Jan E. N/A 34-78157 http://www.sec.gov/rules/sro/nysearca/2016/34-78157.pdf SR-NYSEARCA-2016-62 2016-06-27 Notice / Designation of a Longer Period for Commission Action 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-43327 81-FR-43327 34-78158 http://www.sec.gov/rules/other/2016/33-10105.pdf 33-10105 265-27 2016-06-27 Notice of Meeting. Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-42777 81-FR-42777 34-78159 http://www.sec.gov/litigation/admin/2016/34-78159.pdf 3-17316 2016-06-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Longwei Petroleum Investment Holding Limited N/A 34-78160 http://www.sec.gov/litigation/admin/2016/34-78160.pdf 3-17317 2016-06-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Catipay, James Anthony N/A 34-78161 http://www.sec.gov/rules/other/2016/34-78161.pdf NO FILE NUMBER 2016-06-27 Order Accelerating / Effectiveness of Notice Regarding Change of Method for Computing Deductions for Market and Credit Risk Order Barclays Capital Inc. N/A 34-78162 http://www.sec.gov/rules/sro/batsedga/2016/34-78162.pdf SR-BATSEDGA-2016-14 2016-06-27 Notice / Immediate Effectiveness to Rule 13.8(b) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43315 81-FR-43315 34-78163 http://www.sec.gov/rules/sro/batsedgx/2016/34-78163.pdf SR-BATSEDGX-2016-25 2016-06-27 Notice / Immediate Effectiveness to Rule 13.8(b) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43318 81-FR-43318 34-78164 http://www.sec.gov/rules/sro/batsbzx/2016/34-78164.pdf SR-BATSBZX-2016-27 2016-06-27 Notice / Immediate Effectiveness to Rule 11.22(j) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43295 81-FR-43295 34-78165 http://www.sec.gov/rules/sro/batsbyx/2016/34-78165.pdf SR-BATSBYX-2016-14 2016-06-27 Notice / Immediate Effectiveness to Rule 11.22(i) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43330 81-FR-43330 34-78166 http://www.sec.gov/litigation/admin/2016/33-10106.pdf 33-10106 3-17013 2016-06-27 Order Granting Extension to File Petition for Review Order Perres, Allen N/A 34-78167 http://www.sec.gov/rules/final/2016/34-78167.pdf S7-25-15 2016-06-27 Final rule. Final Rule Disclosure of Payments by Resource Extraction Issuers 34-78168 http://www.sec.gov/rules/proposed/2016/33-10107.pdf 33-10107 S7-12-16 2016-06-27 Proposed Rule Proposed Rule Amendments to Smaller Reporting Company Definition http://www.federalregister.gov/citation/81-FR-43130 81-FR-43130 34-78169 http://www.sec.gov/rules/other/2016/34-78169.pdf NO FILE NUMBER 2016-06-27 Order Order Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, Canada and the U.S. Extractive Industries Transparency Initiative as Substantially Similar to the Requirements of Rule 13q-1 under the Securities Exchange 34-78170 http://www.sec.gov/litigation/admin/2016/34-78170.pdf IA-4438 3-17318 2016-06-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mackaronis, Patrick G. N/A 34-78171 http://www.sec.gov/rules/sro/box/2016/34-78171.pdf SR-BOX-2016-25 2016-06-28 Notice / Immediate Effectiveness to Amend Rule 7150 (Price Improvement Period ("PIP")) to Establish the Quality Market Maker Allocation in a PIP Order SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-43322 81-FR-43322 34-78172 http://www.sec.gov/rules/sro/box/2016/34-78172.pdf SR-BOX-2016-24 2016-06-28 Notice / Immediate Effectiveness to Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2016 SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-43325 81-FR-43325 34-78173 http://www.sec.gov/litigation/admin/2016/34-78173.pdf 3-15429 2016-06-28 Order Directing Disbursement of Fair Fund Order North East Capital, LLC Vicidomine, Anthony T. N/A 34-78174 http://www.sec.gov/rules/sro/nysearca/2016/34-78174.pdf SR-NYSEARCA-2016-88 2016-06-28 Notice / Immediate Effectiveness Amending Commentary .02 to Exchange Rule 6.72 in Order to Extend the Penny Pilot through December 31, 2016 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-43332 81-FR-43332 34-78175 http://www.sec.gov/rules/sro/nasdaq/2016/34-78175.pdf SR-NASDAQ-2016-088 2016-06-28 Notice / Immediate Effectiveness to Reduce the Fees for Certain Real Estate Investment Trusts Listed on Nasdaq SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-43328 81-FR-43328 34-78176 http://www.sec.gov/rules/sro/nysemkt/2016/34-78176.pdf SR-NYSEMKT-2016-61 2016-06-28 Notice / Immediate Effectiveness Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order to Extend the Penny Pilot through December 31, 2016 SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-43320 81-FR-43320 34-78177 http://www.sec.gov/rules/sro/cboe/2016/34-78177.pdf SR-CBOE-2016-049 2016-06-28 Notice / Options that Overlie the FTSE Developed Europe Index and the FTSE Emerging Index, to Raise the Comprehensive Surveillance Agreement Percentage Applicable to Certain Index Options, and to Amend the Maintenance Listing Criteria Applicable to SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-43308 81-FR-43308 34-78178 http://www.sec.gov/rules/sro/byx/2016/34-78178.pdf SR-BYX-2012-019 2016-06-28 Order / Approval Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program SRO Filing BATS BYX-Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43689 81-FR-43689 34-78179 http://www.sec.gov/rules/sro/17d-2/2016/34-78179.pdf 4-700 2016-06-28 Notice / for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Investors' Exchange LLC Notice Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 http://www.federalregister.gov/citation/81-FR-43673 81-FR-43673 34-78180 http://www.sec.gov/rules/sro/batsbyx/2016/34-78180.pdf SR-BATSBYX-2016-15 2016-06-28 Notice / Immediate Effectiveness to Rule 11.24, Retail Price Improvement Program, to Extend the Pilot Period SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43306 81-FR-43306 34-78181 http://www.sec.gov/rules/sro/nysearca/2016/34-78181.pdf SR-NYSEARCA-2016-44 2016-06-28 Notice / Amendment No. 1 / Order Accelerating to Add a New Discretionary Pegged Order SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-43297 81-FR-43297 34-78182 http://www.sec.gov/rules/sro/finra/2016/34-78182.pdf SR-FINRA-2016-020 2016-06-28 Notice / Immediate Effectiveness SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-43690 81-FR-43690 34-78183 http://www.sec.gov/litigation/opinions/2016/34-78183.pdf 3-17254 2016-06-28 Order Scheduling Briefs Order Meyers Associates, L.P. Meyers, Bruce N/A 34-78184 http://www.sec.gov/litigation/opinions/2016/34-78184.pdf 3-17262 2016-06-28 Order Scheduling Briefs Order MKM Partners LLC N/A 34-78185 http://www.sec.gov/litigation/admin/2016/33-10108.pdf 33-10108 IA-4440 IC-32165 3-17319 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Helen, Jan E. N/A 34-78186 http://www.sec.gov/rules/sro/msrb/2016/34-78186.pdf SR-MSRB-2016-08 2016-06-28 Notice / Immediate Effectiveness Relating to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50) SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-43687 81-FR-43687 34-78187 http://www.sec.gov/rules/sro/c2/2016/34-78187.pdf SR-C2-2016-009 2016-06-28 Notice / Immediate Effectiveness Relating to Professionals Order Counting SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-43671 81-FR-43671 34-78188 http://www.sec.gov/rules/sro/nasdaq/2016/34-78188.pdf SR-NASDAQ-2016-082 2016-06-28 Notice / Immediate Effectiveness Relating to the Listing and Trading of the Shares of the AdvisorShares Market Adaptive Unconstrained Income ETF of the AdvisorShares Trust SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-43678 81-FR-43678 34-78189 http://www.sec.gov/litigation/admin/2016/34-78189.pdf IA-4441 3-17320 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled WFG Advisors, L.P. N/A 34-78190 http://www.sec.gov/litigation/admin/2016/34-78190.pdf 3-17191 2016-06-29 Notice That Initial Decision Has Become Final Notice Clubhouse Videos, Inc. GLX.com, Inc. (f/k/a American Environmental, Inc., a/k/a GLX, Inc.) Mortgage Shakers, Inc. Newbridge Mortgage Corp. Newcourt Holdings, Inc. N/A 34-78191 http://www.sec.gov/rules/sro/nysearca/2016/34-78191.pdf SR-NYSEARCA-2016-87 2016-06-29 Notice / Relating to Listing and Trading of Shares of First Trust Horizon Managed Volatility Domestic ETF and First Trust Horizon Managed Volatility Developed International ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-44056 81-FR-44056 34-78192 http://www.sec.gov/rules/sro/phlx/2016/34-78192.pdf SR-PHLX-2016-72 2016-06-29 Notice / Immediate Effectiveness Relating to Detection of Loss of Connection SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-44079 81-FR-44079 34-78193 http://www.sec.gov/rules/sro/batsbzx/2016/34-78193.pdf SR-BATSBZX-2016-28 2016-06-29 Notice / Immediate Effectiveness to Remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-44076 81-FR-44076 34-78194 http://www.sec.gov/rules/sro/batsbyx/2016/34-78194.pdf SR-BATSBYX-2016-16 2016-06-29 Notice / Immediate Effectiveness to Remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-44073 81-FR-44073 34-78195 http://www.sec.gov/rules/exorders/2016/34-78195.pdf TP 15-18 2016-06-29 Order / Limited Exemption from Rules 101(a) and 102(a) of Regulation M Order Bank of Montreal, et al. N/A 34-78196 http://www.sec.gov/rules/sro/finra/2016/34-78196.pdf SR-FINRA-2016-023 2016-06-29 Notice / to Increase Transparency For CMO Transactions SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-44065 81-FR-44065 34-78197 http://www.sec.gov/litigation/admin/2016/34-78197.pdf IA-4442 3-17321 2016-06-29 Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Weiss, Lee D. N/A 34-78198 http://www.sec.gov/rules/sro/nysemkt/2016/34-78198.pdf SR-NYSEMKT-2016-52 2016-06-30 Notice / Amending Rules 340, 341, and 359 to Extend the Time Within Which a Member or Member Organization or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-44363 81-FR-44363 34-78199 http://www.sec.gov/rules/sro/bx/2016/34-78199.pdf SR-BX-2016-035 2016-06-30 Notice / Immediate Effectiveness to the Professional Designation SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-44373 81-FR-44373 34-78200 http://www.sec.gov/rules/sro/nasdaq/2016/34-78200.pdf SR-NASDAQ-2016-091 2016-06-30 Notice / Immediate Effectiveness Relating to Professionals Order Counting SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-44349 81-FR-44349 34-78201 http://www.sec.gov/rules/sro/isegemini/2016/34-78201.pdf SR-ISEGEMINI-2016-06 2016-06-30 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-44393 81-FR-44393 34-78202 http://www.sec.gov/rules/sro/isemercury/2016/34-78202.pdf SR-ISEMERCURY-2016-12 2016-06-30 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-44377 81-FR-44377 34-78203 http://www.sec.gov/rules/sro/ise/2016/34-78203.pdf SR-ISE-2016-15 2016-06-30 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-44404 81-FR-44404 34-78204 http://www.sec.gov/rules/sro/nysearca/2016/34-78204.pdf SR-NYSEARCA-2016-67 2016-06-30 Notice / Designation of a Longer Period for Commission Action to List and Trade 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-44393 81-FR-44393 34-78205 http://www.sec.gov/rules/sro/icc/2016/34-78205.pdf SR-ICC-2016-009 2016-06-30 Notice / to Revise the ICC Treasury Operations Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-44357 81-FR-44357 34-78206 http://www.sec.gov/rules/sro/ficc/2016/34-78206.pdf SR-FICC-2016-002 2016-06-30 Order / to Suspend the Interbank Service of the GCF Repo® Service SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-44388 81-FR-44388 34-78207 http://www.sec.gov/rules/sro/nysearca/2016/34-78207.pdf SR-NYSEARCA-2016-70 2016-06-30 Notice / Designation of a Longer Period for Commission Action Regarding Use of Rule 144A Securities By the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-44338 81-FR-44338 34-78208 http://www.sec.gov/rules/sro/nasdaq/2016/34-78208.pdf SR-NASDAQ-2016-092 2016-06-30 Notice / Immediate Effectiveness to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-44366 81-FR-44366 34-78209 http://www.sec.gov/litigation/opinions/2016/34-78209.pdf 3-16795 2016-06-30 Order Granting Petition for Review and Scheduling Briefs Order Fox, Joseph J. N/A 34-78210 http://www.sec.gov/litigation/admin/2016/34-78210.pdf 3-17322 2016-06-30 Order Instituting Administrative Proceedings, Making Findings and Imposing Remedial Sanctions AP Settled Ican Investment Group, LLC N/A 34-78211 http://www.sec.gov/litigation/admin/2016/34-78211.pdf 3-17323 2016-06-30 Order Instituting Administrative Proceedings, Making Findings and Imposing Remedial Sanctions AP Settled NFS Group, LLC d/b/a Novers Financial a/k/a Safe Retirement Experts N/A 34-78212 http://www.sec.gov/litigation/admin/2016/34-78212.pdf 3-17324 2016-06-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Speers Financial Group, LLC N/A 34-78213 http://www.sec.gov/litigation/admin/2016/34-78213.pdf 3-17325 2016-06-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Novinger, Christopher A. N/A 34-78214 http://www.sec.gov/litigation/admin/2016/34-78214.pdf 3-17326 2016-06-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Speers, Brady J. N/A 34-78215A http://www.sec.gov/rules/exorders/2016/34-78215a.pdf NO FILE NUMBER 2016-06-30 Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 http://www.federalregister.gov/citation/81-FR-44337 81-FR-44337 34-78216 http://www.sec.gov/rules/other/2016/34-78216.pdf SBSDR-2016-02 2016-06-30 Notice Notice Security-Based Swap Data Repositores; DTCC Data Repository (US) LLC http://www.federalregister.gov/citation/81-FR-44379 81-FR-44379 34-78217 http://www.sec.gov/litigation/admin/2016/34-78217.pdf 3-17282 2016-07-01 Order Making Findings and Revoking Registration of Securities AP Settled Eric B. Global Ventures, Inc. Parallax Diagnostics, Inc. Secure Digital, Inc. N/A 34-78218 http://www.sec.gov/rules/sro/nysearca/2016/34-78218.pdf SR-NYSEARCA-2016-82 2016-07-01 Notice / to List and Trade Shares of the JPMorgan Diversified Event Driven ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-44339 81-FR-44339 34-78219 http://www.sec.gov/rules/sro/finra/2016/34-78219.pdf SR-FINRA-2016-024 2016-07-01 Notice / to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-44359 81-FR-44359 34-78220 http://www.sec.gov/rules/sro/finra/2016/34-78220.pdf SR-FINRA-2015-054 2016-07-01 Notice / Amendment No. 2 to Adopt FINRA Capital Acquisition Broker Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-44372 81-FR-44372 34-78221 http://www.sec.gov/rules/sro/batsedgx/2016/34-78221.pdf SR-BATSEDGX-2016-28 2016-07-01 Notice / Immediate Effectiveness to add Interpretation and Policy .01 to Rule 16.1 to Specify the Calculation Methodology for Counting Professional Orders SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-44353 81-FR-44353 34-78222 http://www.sec.gov/rules/sro/miax/2016/34-78222.pdf SR-MIAX-2016-18 2016-07-01 Notice / Immediate Effectiveness to Amend the MIAX Options Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-44390 81-FR-44390 34-78223 http://www.sec.gov/rules/sro/nasdaq/2016/34-78223.pdf SR-NASDAQ-2016-013 2016-07-01 Notice / Amendment No. 2 / Order Accelerating 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-44400 81-FR-44400 34-78224 http://www.sec.gov/litigation/admin/2016/34-78224.pdf 3-14909 2016-07-01 Order Approving Application of Fund Administrator for Payment of Fees and Expenses Order Oppenheimerfunds Distributor, Inc. Oppenheimerfunds, Inc N/A AAER-3786 http://www.sec.gov/litigation/litreleases/2016/lr23585.htm LR-23585 15 MISC.0221 2016-06-28 Enforcement Case Rivard, David N/A AP-3945 http://www.sec.gov/alj/aljorders/2016/ap-3945.pdf 3-17309 2016-06-27 Order Scheduling Hearing and Designating Presiding Judge Order Coastal Pacific Mining Corp. Petaquilla Minerals Ltd. N/A AP-3946 http://www.sec.gov/alj/aljorders/2016/ap-3946.pdf 3-17313 2016-06-27 Order Scheduling Hearing and Designating Presiding Judge Order Tirrell, William N/A AP-3947 http://www.sec.gov/alj/aljorders/2016/ap-3947.pdf 3-16463 2016-06-27 Order Scheduling Prehearing Conference Order Aegis Capital, LLC Circle One Wealth Management, LLC Lamm, Diane W. Osunkwo, David I. Strategic Consulting Advisors, LLC N/A AP-3948 http://www.sec.gov/alj/aljorders/2016/ap-3948.pdf 3-17265 2016-06-27 Order Following Prehearing Conference Order Cope, Jay C. Markusen, Steven R. N/A AP-3949 http://www.sec.gov/alj/aljorders/2016/ap-3949.pdf 3-17316 2016-06-28 Order Scheduling Hearing and Designating Presiding Judge Order Longwei Petroleum Investment Holding Limited N/A AP-3950 http://www.sec.gov/alj/aljorders/2016/ap-3950.pdf 3-17123 2016-06-28 Order Postponing Prehearing Conference Order Ceyoniq AG (n/k/a Ceyoniq, Inc.) Market Data Consultants, Inc. Mentergy Ltd. (a/k/a Gilat Communicatios Ltd.) Mid-Am Systems, Inc. Nu Energy Inc. N/A AP-3951 http://www.sec.gov/alj/aljorders/2016/ap-3951.pdf 3-15350 2016-06-28 Order on Motions for Redactions and Manifest Errors of Fact Order Securities Industry and Financial Markets Association N/A AP-3952 http://www.sec.gov/alj/aljorders/2016/ap-3952.pdf 3-17251 2016-06-28 Order Order Blount, John Steven N/A AP-3953 http://www.sec.gov/alj/aljorders/2016/ap-3953.pdf 3-15619 2016-06-28 Order Scheduling Prehearing Conference Order Doxey, Joseph P. N/A AP-3954 http://www.sec.gov/alj/aljorders/2016/ap-3954.pdf 3-17218 2016-06-29 Order to Show Cause Order Powell, Daniel Christian Stanley N/A AP-3955 http://www.sec.gov/alj/aljorders/2016/ap-3955.pdf 3-17289 2016-06-29 Order Postponing Hearing and Scheduling Prehearing Conference Order Gold, Alan H. N/A AP-3956 http://www.sec.gov/alj/aljorders/2016/ap-3956.pdf 3-17252 2016-06-29 Prehearing Order Order Von Hase, Stephan N/A AP-3957 http://www.sec.gov/alj/aljorders/2016/ap-3957.pdf 3-17256 2016-06-29 Stay Order Order Dragon Bright Mintai Botanical Technology Cayman Ltd. Jinzanghuang Tibet Pharmaceuticals, Inc. Macau Resources Group Ltd. N/A AP-3958 http://www.sec.gov/alj/aljorders/2016/ap-3958.pdf 3-17319 2016-06-29 Order Scheduling Hearing and Designating Presiding Judge Order Helen, Jan E. N/A AP-3959 http://www.sec.gov/alj/aljorders/2016/ap-3959.pdf 3-17313 2016-06-29 Order Postponing Hearing and Scheduling Prehearing Conference Order Tirrell, William N/A AP-3960 http://www.sec.gov/alj/aljorders/2016/ap-3960.pdf 3-15619 2016-06-30 Order Following Prehearing Conference and Granting Protective Order Order Doxey, Joseph P. N/A AP-3961 http://www.sec.gov/alj/aljorders/2016/ap-3961.pdf 3-16463 2016-07-01 Order Denying Continuance Order Aegis Capital, LLC Circle One Wealth Management, LLC Lamm, Diane W. Osunkwo, David I. Strategic Consulting Advisors, LLC N/A IA-4438 http://www.sec.gov/litigation/admin/2016/34-78170.pdf 34-78170 3-17318 2016-06-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mackaronis, Patrick G. N/A IA-4439 http://www.sec.gov/rules/proposed/2016/ia-4439.pdf S7-13-16 2016-06-28 Proposed rule Proposed Rule Adviser Business Continuity and Transition Plans http://www.federalregister.gov/citation/81-FR-43530 81-FR-43530 IA-4440 http://www.sec.gov/litigation/admin/2016/33-10108.pdf 33-10108 34-78185 IC-32165 3-17319 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Helen, Jan E. N/A IA-4441 http://www.sec.gov/litigation/admin/2016/34-78189.pdf 34-78189 3-17320 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled WFG Advisors, L.P. N/A IA-4442 http://www.sec.gov/litigation/admin/2016/34-78197.pdf 34-78197 3-17321 2016-06-29 Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Weiss, Lee D. N/A IC-32163 http://www.sec.gov/rules/ic/2016/ic-32163.pdf 812-14523 2016-06-27 Notice Notice MainStay Funds Trust, et al. http://www.federalregister.gov/citation/81-FR-43301 81-FR-43301 IC-32164 http://www.sec.gov/rules/ic/2016/ic-32164.pdf 812-14426 2016-06-28 Order Order Guggenheim Partners Investment Management, LLC N/A IC-32165 http://www.sec.gov/litigation/admin/2016/33-10108.pdf 33-10108 34-78185 IA-4440 3-17319 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Helen, Jan E. N/A IC-32166 http://www.sec.gov/rules/ic/2016/ic-32166.pdf 812-14651 2016-06-29 Notice Notice Fidelity Commonwealth Trust et al. http://www.federalregister.gov/citation/81-FR-44063 81-FR-44063 IC-32167 http://www.sec.gov/rules/ic/2016/ic-32167.pdf 812-14502 2016-06-29 Notice Notice Lord Abbett Family of Funds Lord, Abet & Co., LLC http://www.federalregister.gov/citation/81-FR-44395 81-FR-44395 ID-1030 http://www.sec.gov/alj/aljdec/2016/id1030cff.pdf 3-16594 2016-06-27 Initial Decision Initial Decision Equity Trust Company N/A ID-1031 http://www.sec.gov/alj/aljdec/2016/id1031jsp.pdf 3-17266 2016-06-28 Initial Decision Initial Decision China VantagePoint Acquisition Co. Citizens Community Bancorp, Inc. Solis Pharma US, Inc. N/A LR-23584 http://www.sec.gov/litigation/litreleases/2016/lr23584.htm 8:16-CV-1798T27AEP 2016-06-27 Enforcement Case Longwei Petroleum Investment Holding Limited Toups, Michael N/A LR-23585 http://www.sec.gov/litigation/litreleases/2016/lr23585.htm AAER-3786 15 MISC.0221 2016-06-28 Enforcement Case Rivard, David N/A LR-23586 http://www.sec.gov/litigation/litreleases/2016/lr23586.htm 3:16-CV-03650 2016-06-29 Enforcement Case Kerr, Andrew F. N/A LR-23587 http://www.sec.gov/litigation/litreleases/2016/lr23587.htm 1:15-CV-13460 2016-06-29 Enforcement Case Family Endowment Partners LP MIP Global Inc. Mosaic Enterprises Inc. Mosaic Investment Partners Inc. Weiss Capital Real Estate Group LLC Weiss, Lee D. N/A LR-23588 http://www.sec.gov/litigation/litreleases/2016/lr23588.htm 14-CV-3533 2016-06-30 Enforcement Case Chapman, Brent Howard Lance Investments S.A. N/A LR-23589 http://www.sec.gov/litigation/litreleases/2016/lr23589.htm 16-MC00136-LTB 2016-07-01 Enforcement Case Sexton, Timothy F., Jr. N/A