Proposed Rule

2016-08-15 114 11 2016-07-11 2016-07-15 Securities Act of 1933 33 10110 10111 Securities Exchange Act of 1934 34 78273 78351 Accounting and Auditing Enforcement Release AAER 3788 3789 Administrative Proceedings AP 3976 3995 Investment Advisers Act of 1940 IA 4447 4454 Investment Company Act of 1940 IC 32175 32177 Initial Decisions (ALJ) ID 1033 1036 Litigation Releases LR 23595 23596 33-10110 http://www.sec.gov/rules/proposed/2016/33-10110.pdf 34-78310 IC-32175 S7-15-16 2016-07-13 Proposed Rule Proposed Rule Disclosure Update and Simplification http://www.federalregister.gov/citation/81-FR-51608 81-FR-51608 33-10111 http://www.sec.gov/litigation/admin/2016/33-10111.pdf 34-78325 IA-4452 IC-32176 3-17342 2016-07-14 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Dersovitz, Roni RD Legal Capital, LLC N/A 34-78273 http://www.sec.gov/litigation/admin/2016/34-78273.pdf AAER-3788 IA-4447 3-17332 2016-07-11 Order Institutung Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Ackman, Blair D., CPA N/A 34-78274 http://www.sec.gov/litigation/admin/2016/34-78274.pdf IA-4448 3-17333 2016-07-11 Order Instituting Administrative Proceedings, Making Findings, and Imposng Remedial Sanctions AP Settled Diaz, Alicia M., Esq. N/A 34-78275 http://www.sec.gov/litigation/admin/2016/34-78275.pdf IA-4450 3-17083 2016-07-11 Order Making Findings and Imposing Remedial Sanctions AP Settled Beckman, Jason Bo-Alan N/A 34-78276 http://www.sec.gov/rules/sro/cboe/2016/34-78276.pdf SR-CBOE-2016-041 2016-07-11 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46125 81-FR-46125 34-78277 http://www.sec.gov/rules/sro/occ/2016/34-78277.pdf SR-OCC-2016-007 2016-07-11 Order / Related to The Options Clearing Corporation's Membership Approval Process SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-46140 81-FR-46140 34-78278 http://www.sec.gov/rules/sro/bx/2016/34-78278.pdf SR-BX-2016-041 2016-07-11 Notice / Immediate Effectiveness to Amend Fees under Rule 7018 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-46126 81-FR-46126 34-78279 http://www.sec.gov/rules/sro/finra/2016/34-78279.pdf SR-FINRA-2016-022 2016-07-11 Notice / to Amend Rule 12403 (Cases with Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-46139 81-FR-46139 34-78280 http://www.sec.gov/rules/sro/nysearca/2016/34-78280.pdf SR-NYSEARCA-2016-91 2016-07-11 Notice / Immediate Effectiveness Amending NYSE Arca Rule 3.3 to Delete an Outdated Reference SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-46129 81-FR-46129 34-78281 http://www.sec.gov/rules/sro/finra/2016/34-78281.pdf SR-FINRA-2016-025 2016-07-11 Notice / Immediate Effectiveness Relating to the Fee for the Regulatory Element of Continuing Education SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-46133 81-FR-46133 34-78282 http://www.sec.gov/litigation/admin/2016/34-78282.pdf 3-17335 2016-07-11 Order Instituting Cease-and-Desist Proceedings, Making Findings AP Settled Bitcoin Investment Trust SecondMarket, Inc. N/A 34-78283 http://www.sec.gov/rules/sro/nysemkt/2016/34-78283.pdf SR-NYSEMKT-2016-42 2016-07-11 Notice / Order Accelerating and Amendment No. 1 to Amend Rule 952NY with Respect to Opening Trading in an Options Series SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-46144 81-FR-46144 34-78284 http://www.sec.gov/rules/sro/nysearca/2016/34-78284.pdf SR-NYSEARCA-2016-49 2016-07-11 Notice / Order Accelerating and Amendment No. 1 to Amend Rule 6.64 with Respect to Opening Trading in an Options Series SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-46131 81-FR-46131 34-78285 http://www.sec.gov/rules/sro/nasdaq/2016/34-78285.pdf SR-NASDAQ-2016-087 2016-07-11 Notice / Immediate Effectiveness Relating to Automated Removal of Orders and Quotes SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-46147 81-FR-46147 34-78286 http://www.sec.gov/rules/sro/bx/2016/34-78286.pdf SR-BX-2016-032 2016-07-11 Notice / Immediate Effectiveness Relating to the Automated Removal of Quotes SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-46135 81-FR-46135 34-78287 http://www.sec.gov/litigation/admin/2016/34-78287.pdf 3-17337 2016-07-11 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Johnson Controls, Inc. N/A 34-78288 http://www.sec.gov/litigation/admin/2016/34-78288.pdf 3-17336 2016-07-11 Order Instituting Administrative Proceedings and Notice of Hearing AP Settled Breitling Energy Corporation N/A 34-78289 http://www.sec.gov/rules/pcaob/2016/34-78289.pdf PCAOB-2007-04 2016-07-11 Order / Relating to Inspections Order Public Company Accounting Oversight Board http://www.federalregister.gov/citation/81-FR-46143 81-FR-46143 34-78290 http://www.sec.gov/rules/sro/nasdaq/2016/34-78290.pdf SR-NASDAQ-2016-071 2016-07-12 Notice / Designation of a Longer Period for Commission Action to List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-46724 81-FR-46724 34-78291 http://www.sec.gov/litigation/admin/2016/34-78291.pdf 3-17338 2016-07-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings AP Settled Citigroup Global Markets, Inc. N/A 34-78292 http://www.sec.gov/rules/sro/cboe/2016/34-78292.pdf SR-CBOE-2016-054 2016-07-12 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46721 81-FR-46721 34-78293 http://www.sec.gov/rules/sro/cboe/2016/34-78293.pdf SR-CBOE-2016-047 2016-07-12 Order / Relating to Senior Management Authority SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46723 81-FR-46723 34-78294 http://www.sec.gov/rules/sro/c2/2016/34-78294.pdf SR-C2-2016-005 2016-07-12 Order / Relating to Senior Management Authority SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46746 81-FR-46746 34-78295 http://www.sec.gov/rules/sro/ise/2016/34-78295.pdf SR-ISE-2016-16 2016-07-12 Notice / Immediate Effectiveness to Extend the SPY Pilot Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-46728 81-FR-46728 34-78296 http://www.sec.gov/litigation/admin/2016/34-78296.pdf 3-15601R 2016-07-12 Extension Order Order Fillet, Mitchell H. N/A 34-78297 http://www.sec.gov/rules/sro/nysemkt/2016/34-78297.pdf SR-NYSEMKT-2016-67 2016-07-12 Notice / Immediate Effectiveness to Modify the NYSE Amex Options Fee Schedule effective July 1, 2016 SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-46749 81-FR-46749 34-78298 http://www.sec.gov/rules/sro/bx/2016/34-78298.pdf SR-BX-2016-040 2016-07-12 Notice / Immediate Effectiveness Relating to Detection of Loss of Connection SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-46739 81-FR-46739 34-78299 http://www.sec.gov/rules/sro/miax/2016/34-78299.pdf SR-MIAX-2016-20 2016-07-12 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-46734 81-FR-46734 34-78300 http://www.sec.gov/rules/other/2016/34-78300.pdf 4-701 2016-07-12 Notice / Proposed Minor Rule Violation Plan Notice Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-46730 81-FR-46730 34-78301 http://www.sec.gov/rules/sro/phlx/2016/34-78301.pdf SR-PHLX-2016-75 2016-07-12 Notice / Immediate Effectiveness to Extend Pilot Program Through January 18, 2017 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-46731 81-FR-46731 34-78302 http://www.sec.gov/rules/sro/batsbyx/2016/34-78302.pdf SR-BATSBYX-2016-18 2016-07-12 Notice / Immediate Effectiveness Change to BYX Rule 11.26(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46745 81-FR-46745 34-78303 http://www.sec.gov/rules/sro/batsbzx/2016/34-78303.pdf SR-BATSBZX-2016-37 2016-07-12 Notice / Immediate Effectiveness to BZX Rule 11.26(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46747 81-FR-46747 34-78304 http://www.sec.gov/rules/sro/batsedgx/2016/34-78304.pdf SR-BATSEDGX-2016-27 2016-07-12 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-46719 81-FR-46719 34-78305 http://www.sec.gov/rules/sro/batsbzx/2016/34-78305.pdf SR-BATSBZX-2016-36 2016-07-12 Notice / Immediate Effectiveness Related to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc, http://www.federalregister.gov/citation/81-FR-46725 81-FR-46725 34-78306 http://www.sec.gov/rules/sro/batsbzx/2016/34-78306.pdf SR-BATSBZX-2016-33 2016-07-12 Notice / Immediate Effectiveness Related to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46738 81-FR-46738 34-78307 http://www.sec.gov/litigation/admin/2016/34-78307.pdf 3-17339 2016-07-13 Order Instituting Proceedings, Making findings, and Revoking Registration AP Settled HII Technologies, Inc. N/A 34-78308 http://www.sec.gov/rules/other/2016/34-78308.pdf 265-29 2016-07-13 Notice of Meeting Notice Equity Market Structure Advisory Committee http://www.federalregister.gov/citation/81-FR-46744 81-FR-46744 34-78309 http://www.sec.gov/rules/proposed/2016/34-78309.pdf S7-14-16 2016-07-13 Proposed Rule Proposed Rule Disclosure of Order Handling Information http://www.federalregister.gov/citation/81-FR-49432 81-FR-49432 34-78310 http://www.sec.gov/rules/proposed/2016/33-10110.pdf 33-10110 IC-32175 S7-15-16 2016-07-13 Proposed Rule Proposed Rule Disclosure Update and Simplification http://www.federalregister.gov/citation/81-FR-51608 81-FR-51608 34-78311 http://www.sec.gov/rules/exorders/2016/34-78311.pdf TP 16-9 2016-07-13 Order Granting Limited Exemption from Exchange Act Rule 10b-17 and Rule 101 and 102 of Regulation M to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Order PowerShares DWA Momentum & Low Volatility Rotation Portfolio http://www.federalregister.gov/citation/81-FR-46988 81-FR-46988 34-78312 http://www.sec.gov/rules/sro/box/2016/34-78312.pdf SR-BOX-2016-30 2016-07-13 Notice/ Immediate Effectiveness to Introduce New Risk Protections on the Exchange and Provide Enhancements to Current Risk Protections SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-46990 81-FR-46990 34-78313 http://www.sec.gov/rules/sro/batsedgx/2016/34-78313.pdf SR-BATSEDGX-2016-30 2016-07-13 Notice / Immediate Effectiveness to EDGX Rule 13.4(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46974 81-FR-46974 34-78314 http://www.sec.gov/rules/sro/batsedga/2016/34-78314.pdf SR-BATSEDGA-2016-16 2016-07-13 Notice / Immediate Effectiveness to EDGA Rule 13.4(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46984 81-FR-46984 34-78315 http://www.sec.gov/rules/sro/c2/2016/34-78315.pdf SR-C2-2016-012 2016-07-13 Notice / Immediate Effectiveness Related to the Automated Improvement Mechanism SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46986 81-FR-46986 34-78316 http://www.sec.gov/rules/sro/cboe/2016/34-78316.pdf SR-CBOE-2016-056 2016-07-13 Notice / Immediate Effectiveness Related to the Automated Improvement Mechanism SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46975 81-FR-46975 34-78317 http://www.sec.gov/rules/sro/phlx/2016/34-78317.pdf SR-PHLX-2016-73 2016-07-13 Notice / Immediate Effectiveness to Adopt Rules to Implement the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-46979 81-FR-46979 34-78318 http://www.sec.gov/litigation/admin/2016/34-78318.pdf 3-17340 2016-07-13 Order Instituting Adminstrative Proceedings, Making findings, and Imposing Remedial Sanctions AP Settled Gallagher, Jeffrey E. N/A 34-78319 http://www.sec.gov/rules/final/2016/34-78319.pdf S7-18-15 2016-07-13 Final Rule Final Rule Amendments to the Commission's Rules of Practice http://www.federalregister.gov/citation/81-FR-50213 81-FR-50213 34-78320 http://www.sec.gov/litigation/admin/2016/34-78320.pdf 3-17292 2016-07-14 Order Making Findings and Revoking Registration AP Settled Cascade Technologies Corp. N/A 34-78321 http://www.sec.gov/rules/final/2016/34-78321.pdf S7-03-15 2016-07-14 Final rule Final Rule Regulation SBSR -- Reporting and Dissemination of Security-Based Swap Information 34-78322 http://www.sec.gov/litigation/admin/2016/34-78322.pdf IA-4451 3-17341 2016-07-14 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hamels, Gavin L. N/A 34-78323 http://www.sec.gov/rules/sro/msrb/2016/34-78323.pdf SR-MSRB-2016-09 2016-07-14 Notice / to Establish the MSRB Academic Historical Transaction Data Product SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-47211 81-FR-47211 34-78324 http://www.sec.gov/rules/sro/nysemkt/2016/34-78324.pdf SR-NYSEMKT-2016-69 2016-07-14 Notice / Immediate Effectiveness Extending the Pilot Period Applicable to the Customer Best Execution Auction Per Rule 971.1NY SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-47196 81-FR-47196 34-78325 http://www.sec.gov/litigation/admin/2016/33-10111.pdf 33-10111 IA-4452 IC-32176 3-17342 2016-07-14 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Dersovitz, Roni RD Legal Capital, LLC N/A 34-78326 http://www.sec.gov/rules/sro/nyse/2016/34-78326.pdf SR-NYSE-2016-37 2016-07-14 Order / Removing from Its Rules Certain Internal Procedures Regarding the Use of Fine Income SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-47184 81-FR-47184 34-78327 http://www.sec.gov/rules/sro/finra/2016/34-78327.pdf SR-FINRA-2016-026 2016-07-14 Notice / Immediate Effectiveness to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-47229 81-FR-47229 34-78328 http://www.sec.gov/rules/sro/nysearca/2016/34-78328.pdf SR-NYSEARCA-2016-63 2016-07-14 Notice / Designation of a Longer Period for Commission Action Relating to the Listing and Trading of Shares of BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-47222 81-FR-47222 34-78329 http://www.sec.gov/rules/sro/batsbzx/2016/34-78329.pdf SR-BATSBZX-2016-01 2016-07-14 Order / to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of VanEck Vectors ETF Trust: VanEck Vectors AMT-Free 6-8 Year Municipal Index ETF; VanEck Vectors AMT-Free 8-12 Year Municipal Index ETF; and VanEck Vectors AMT-Free 12-17 SRO Filing BatsBZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47217 81-FR-47217 34-78330 http://www.sec.gov/rules/sro/batsedga/2016/34-78330.pdf SR-BATSEDGA-2016-15 2016-07-14 Notice / to Adopt Paragraph (c) to Exchange Rule 11.21 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47223 81-FR-47223 34-78331 http://www.sec.gov/rules/sro/batsedgx/2016/34-78331.pdf SR-BATSEDGX-2016-26 2016-07-14 Notice / to Adopt Paragraph (c) to Exchange Rule 11.22 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47205 81-FR-47205 34-78332 http://www.sec.gov/rules/exorders/2016/34-78332.pdf TP 16-10 2016-07-14 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 anf Rules 101 and 102 of Regulation M to the Janus Velocity Tail Risk Hedged Large Cap ETF, and the Janus Velocity Volatility Hedged Large Cap ETF Order Detroit Street Trust http://www.federalregister.gov/citation/81-FR-47193 81-FR-47193 34-78333 http://www.sec.gov/rules/sro/batsbyx/2016/34-78333.pdf SR-BATSBYX-2016-17 2016-07-14 Notice / to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47198 81-FR-47198 34-78334 http://www.sec.gov/rules/sro/batsbzx/2016/34-78334.pdf SR-BATSBZX-2016-29 2016-07-14 Notice / to Adopt Paragraph (c) to Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47187 81-FR-47187 34-78335 http://www.sec.gov/litigation/admin/2016/34-78335.pdf 3-17291 2016-07-15 Order Making Findings and Revoking Registration AP Settled MIT Holdings, Inc. N/A 34-78336 http://www.sec.gov/litigation/admin/2016/34-78336.pdf 3-17222 2016-07-15 Noatice That Initial Decision Has Become Final Notice Dot VN, Inc. Global Health Voyager, Inc. N/A 34-78337 http://www.sec.gov/litigation/admin/2016/34-78337.pdf 3-17209 2016-07-15 Notice That Initial Decision Has Become Final Notice Mondeo Investments, Inc. MPEG Super Site, Inc. Myriad International, Inc. N/A 34-78338 http://www.sec.gov/rules/sro/batsbzx/2016/34-78338.pdf SR-BATSBZX-2016-41 2016-07-15 Notice / Immediate Effectiveness Related to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47458 81-FR-47458 34-78339 http://www.sec.gov/rules/sro/batsedgx/2016/34-78339.pdf SR-BATSEDGX-2016-29 2016-07-15 Notice / Immediate Effectiveness Related to Functionality Offered by the Exchange's Options Platform to: (i) Modify Various Rules to Eliminate the Display-Price Sliding Option; (ii) Modify Various Rules to Eliminate Price Improving Orders; and (iii) Adopt SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47461 81-FR-47461 34-78340 http://www.sec.gov/litigation/opinions/2016/34-78340.pdf 3-17189 2016-07-15 Opinion and Order Dismissing Petition for Administrative Remedy Opinion Citadel Securities LLC Ronin Capital, LLC susquehanna Investment Group Susquehanna Securities N/A 34-78341 http://www.sec.gov/litigation/admin/2016/34-78341.pdf AAER-3789 3-17345 2016-07-15 Order Instituting Cease-and-Desist Proceedings, Making Findings AP Settled The Phoenix Companies, Inc. N/A 34-78342 http://www.sec.gov/rules/sro/isemercury/2016/34-78342.pdf SR-ISEMERCURY-2016-13 2016-07-15 Notice / Immediate Effectiveness to Extend the Price Improvement Mechanism Pilot Program SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-47481 81-FR-47481 34-78343 http://www.sec.gov/rules/sro/isegemini/2016/34-78343.pdf SR-ISEGEMINI-2016-07 2016-07-15 Notice / Immeidate Effectiveness to Extend the Price Improvement Mechanism Pilot Program SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-47483 81-FR-47483 34-78344 http://www.sec.gov/rules/sro/ise/2016/34-78344.pdf SR-ISE-2016-17 2016-07-15 Notice / Immediate Effectiveness to Extend the Price Improvement Mechanism Pilot Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-47459 81-FR-47459 34-78345 http://www.sec.gov/rules/sro/nysearca/2016/34-78345.pdf SR-NYSEARCA-2016-96 2016-07-15 Notice / to Amend NYSE Arca Equities Rule 8.700 and to List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700. SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-47447 81-FR-47447 34-78346 http://www.sec.gov/rules/sro/batsbzx/2016/34-78346.pdf SR-BATSBZX-2016-34 2016-07-15 Notice / to BZX Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF, a Series of ProShares SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47475 81-FR-47475 34-78347 http://www.sec.gov/rules/sro/ficc/2016/34-78347.pdf SR-FICC-2016-003 2016-07-15 Notice / to Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-47466 81-FR-47466 34-78348 http://www.sec.gov/rules/sro/nysemkt/2016/34-78348.pdf SR-NYSEMKT-2016-48 2016-07-15 Notice / to Amend Certain Rules Related to Flexible Exchange Options SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-47469 81-FR-47469 34-78349 http://www.sec.gov/litigation/admin/2016/34-78349.pdf 3-17346 2016-07-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Franklin Bank Corporation N/A 34-78350 http://www.sec.gov/litigation/admin/2016/34-78350.pdf 3-17347 2016-07-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Catipay, James Anthony, Esq. N/A 34-78351 http://www.sec.gov/litigation/admin/2016/34-78351.pdf 3-15832 2016-07-15 Amended Order Instituting Cease-and-Desist Proceedings, Making Findings AP Settled Hewlett-Packard Company N/A AAER-3788 http://www.sec.gov/litigation/admin/2016/34-78273.pdf 34-78273 IA-4447 3-17332 2016-07-11 Order Institutung Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Unknown Ackman, Blair D., CPA N/A AAER-3789 http://www.sec.gov/litigation/admin/2016/34-78341.pdf 34-78341 3-17345 2016-07-15 Order Instituting Cease-and-Desist Proceedings, Making Findings AP Settled The Phoenix Companies, Inc. N/A AP-3976 http://www.sec.gov/alj/aljorders/2016/ap-3976.pdf 3-17293 2016-07-11 Order Rescheduling Prehearing Conference Order Advanced Life Sciences Holdings, Inc. Anoteros, Inc. Nord Resources Corporation UNR Holdings, Inc. N/A AP-3977 http://www.sec.gov/alj/aljorders/2016/ap-3977.pdf 3-17253 2016-07-11 Scheduling Order Order Blue Ocean Portfolios, LLC Winkelmann, James A., Sr. N/A AP-3978 http://www.sec.gov/alj/aljorders/2016/ap-3978.pdf 3-17319 2016-07-11 Order Postponing Hearing and Scheduling Prehearing Conference Order Helen, Jan E. N/A AP-3979 http://www.sec.gov/alj/aljorders/2016/ap-3979.pdf 3-17311 2016-07-11 Order Postponing Hearing Order Rebornne (USA) Inc. N/A AP-3980 http://www.sec.gov/alj/aljorders/2016/ap-3980.pdf 3-16509 2016-07-12 Order Scheduling Prehearing Conference Order Agostini, Luigi Daspin, Edward M. a/k/a "Edward (ED) Michael" Lux, Lawrence R. N/A AP-3981 http://www.sec.gov/alj/aljorders/2016/ap-3981.pdf 3-16463 2016-07-12 Stay Order as to Diane W. Lamm Order Aegis Capital, LLC Circle One Wealth Management, LLC Lamm, Diane W. Osunkwo, David I. Strategic Consulting Advisors, LLC N/A AP-3982 http://www.sec.gov/alj/aljorders/2016/ap-3982.pdf 3-17311 2016-07-13 Order Scheduling Prehearing Conference Order Rebornne (USA) Inc. N/A AP-3983 http://www.sec.gov/alj/aljorders/2016/ap-3983.pdf 3-17309 2016-07-13 Order to Show Cause Order Coastal Pacific Mininng Corp. Petaquilla Minerals Ltd. N/A AP-3984 http://www.sec.gov/alj/aljorders/2016/ap-3984.pdf 3-17265 2016-07-13 Order to Show Cause Order Cope, Jay C. Markusen, Steven R. N/A AP-3985 http://www.sec.gov/alj/aljorders/2016/ap-3985.pdf 3-17311 2016-07-13 Order Rescheduling Prehearing Conference Order Rebornne (USA) Inc. N/A AP-3986 http://www.sec.gov/alj/aljorders/2016/ap-3986.pdf 3-17336 2016-07-14 Order Scheduling Hearing and Designating Presiding Judge Order Breitling Energy Corporation N/A AP-3987 http://www.sec.gov/alj/aljorders/2016/ap-3987.pdf 3-17013 2016-07-14 Order Order Perres, Allen M. St. Germain, Willard R. N/A AP-3988 http://www.sec.gov/alj/aljorders/2016/ap-3988.pdf 3-17342 2016-07-15 Order Scheduling Hearing and Designating Presiding Judge Order Dersovitz, Roni RD Legal Capital, LLC N/A AP-3989 http://www.sec.gov/alj/aljorders/2016/ap-3989.pdf 3-17307 2016-07-15 Order Postponing Hearing and Scheduling Prehearing Conference Order Galileo Petroleum Ltd. Hyperion Acquisition Corp. Savtori Beverages International, Ltd. N/A AP-3990 http://www.sec.gov/alj/aljorders/2016/ap-3990.pdf 3-16462 2016-07-15 Order Order Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners, LLC Tilton, Lynn N/A AP-3991 http://www.sec.gov/alj/aljorders/2016/ap-3991.pdf 3-16463 2016-07-15 Order Order Aegis Capital, LLC Circle One Wealth Management, LLC Lamm, Diane W. Osunkwo, David I. Strategic Consulting Advisors, LLC N/A AP-3992 http://www.sec.gov/alj/aljorders/2016/ap-3992.pdf 3-17252 2016-07-15 Order to Show Cause Order Von Hase, Stephan N/A AP-3993 http://www.sec.gov/alj/aljorders/2016/ap-3993.pdf 3-17032 2016-07-15 Order to Show Cause Order Buncombe, Inc. Cotton Bay Holdings, Inc. Middlesex Inc. PerlmanReon Holdings, Inc. N/A AP-3994 http://www.sec.gov/alj/aljorders/2016/ap-3994.pdf 3-15764 2016-07-15 Extension Order Order McDuff, Gary L. N/A AP-3995 http://www.sec.gov/alj/aljorders/2016/ap-3995.pdf 3-17346 2016-07-15 Order Scheduling Hearing and Designating Presiding Judge Order Franklin Bank Corporation N/A IA-4447 http://www.sec.gov/litigation/admin/2016/34-78273.pdf 34-78273 AAER-3788 3-17332 2016-07-11 Order Institutung Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Ackman, Blair D., CPA N/A IA-4448 http://www.sec.gov/litigation/admin/2016/34-78274.pdf 34-78274 3-17333 2016-07-11 Order Instituting Administrative Proceedings, Making Findings, and Imposng Remedial Sanctions AP Settled Diaz, Alicia M., Esq. N/A IA-4449 http://www.sec.gov/litigation/admin/2016/ia-4449.pdf 3-17334 2016-07-11 Order Instituting Adminstrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Matthews, William Emery N/A IA-4450 http://www.sec.gov/litigation/admin/2016/34-78275.pdf 34-78275 3-17083 2016-07-11 Order Making Findings and Imposing Remedial Sanctions AP Settled Beckman, Jason Bo-Alan N/A IA-4451 http://www.sec.gov/litigation/admin/2016/34-78322.pdf 34-78322 3-17341 2016-07-14 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hamels, Gavin L. N/A IA-4452 http://www.sec.gov/litigation/admin/2016/33-10111.pdf 33-10111 34-78325 IC-32176 3-17342 2016-07-14 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Dersovitz, Roni RD Legal Capital, LLC N/A IA-4453 http://www.sec.gov/litigation/admin/2016/ia-4453.pdf 3-17343 2016-07-14 Order Imstituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled RiverFront Investment Group, LLC N/A IA-4454 http://www.sec.gov/litigation/opinions/2016/ia-4454.pdf IC-32177 3-16037 2016-07-14 Order Denying Motion for Reconsideration Order Page, Edgar R. PageOne Financial, Inc. N/A IC-32175 http://www.sec.gov/rules/proposed/2016/33-10110.pdf 33-10110 34-78310 S7-15-16 2016-07-13 Proposed Rule Proposed Rule Disclosure Update and Simplification http://www.federalregister.gov/citation/81-FR-51608 81-FR-51608 IC-32176 http://www.sec.gov/litigation/admin/2016/33-10111.pdf 33-10111 34-78325 IA-4452 3-17342 2016-07-14 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Dersovitz, Roni RD Legal Capital, LLC N/A IC-32177 http://www.sec.gov/litigation/opinions/2016/ia-4454.pdf IA-4454 3-16037 2016-07-14 Order Denying Motion for Reconsideration Order Page, Edgar R. PageOne Financial, Inc. N/A ID-1033 http://www.sec.gov/alj/aljdec/2016/id1033jeg.pdf 3-16801 2016-07-11 Initial Decision Initial Decision Bennett Group Financial Services, LLC Bennett, Dawn J. N/A ID-1034 http://www.sec.gov/alj/aljdec/2016/id1034bpm.pdf 3-17256 2016-07-11 Initial Decision Initial Decision Dragon Bright Mintai Botanical Technology Cayman Ltd. Jinaznguang Tibet Pharmaceuticals, Inc. Macau Resources Group Ltd. N/A ID-1035 http://www.sec.gov/alj/aljdec/2016/id1035bpm.pdf 3-17255 2016-07-11 Initial Decision Initial Decision Bodisen Biotech, Inc. China Global Media, Inc. China Heli Resource Renewable, Inc. GFR Pharmaceuticals, Inc. N/A ID-1036 http://www.sec.gov/alj/aljdec/2016/id1036ce.pdf 3-17004 2016-07-14 Initial Decision Initial Decision Barrera, Roland Sellers, Deven N/A LR-23595 http://www.sec.gov/litigation/litreleases/2016/lr23595.htm 2:16-CV-01664 2016-07-15 Enforcement Case Roberts, Zachary Brooke N/A LR-23596 http://www.sec.gov/litigation/litreleases/2016/lr23596.htm 14 CV 3247 (RMB) 2016-07-15 Enforcement Case Kalucha, Vineet N/A