Order Granting Motion to Modify

2016-08-18 114 12 2016-07-18 2016-07-22 Securities Act of 1933 33 10112 10114 Securities Exchange Act of 1934 34 78352 78400 Accounting and Auditing Enforcement Release AAER 3790 3791 Administrative Proceedings AP 3996 4018 Investment Advisers Act of 1940 IA 4455 4462 Investment Company Act of 1940 IC 32178 32189 Initial Decisions (ALJ) ID 1037 1039 Litigation Releases LR 23597 23599 33-10112 http://www.sec.gov/litigation/opinions/2016/33-10112.pdf 34-78364 IA-4458 IC-32178 3-12116 2016-07-19 Order Granting Motion to Modify Order Millennium International Management, L.L.C. Millennium Management, L.L.C., et al. Millennium Partners, L.P. N/A 33-10113 http://www.sec.gov/litigation/admin/2016/33-10113.pdf IA-4459 3-17354 2016-07-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Concert Global Group Limited Concert Wealth Management, Inc. Luna, Felipe N/A 33-10114 http://www.sec.gov/litigation/admin/2016/33-10114.pdf IA-4460 3-17355 2016-07-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist AP Settled Navarra, Dennis N/A 34-78352 http://www.sec.gov/litigation/opinions/2016/34-78352.pdf 3-17076 2016-07-18 Order Denying Stay Order Akindemowo, Kenny A. 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Capital and Services, Inc. NP Energy Corporation N/A 34-78363 http://www.sec.gov/litigation/admin/2016/34-78363.pdf 3-17351 2016-07-19 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Great Basin Gold Limited N/A 34-78364 http://www.sec.gov/litigation/opinions/2016/33-10112.pdf 33-10112 IA-4458 IC-32178 3-12116 2016-07-19 Order Granting Motion to Modify Order Millennium International Management, L.L.C. Millennium Management, L.L.C., et al. Millennium Partners, L.P. N/A 34-78365 http://www.sec.gov/litigation/suspensions/2016/34-78365.pdf 500-1 2016-07-20 Trading Suspension Trading Suspension Digital Development Group Corp. (The) Scanner Technologies Corp. Seville Ventures Corp. StarInvest Group, Inc. http://www.federalregister.gov/citation/81-FR-47844 81-FR-47844 34-78366 http://www.sec.gov/litigation/admin/2016/34-78366.pdf 3-17353 2016-07-20 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Digital Development Group Corp. Scanner Technologies Corp. Seville Ventures Corp. StarInvest Group, Inc. 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Conseco Equity Sales, Inc. Conseco Services, LLC N/A 34-78371 http://www.sec.gov/rules/sro/nyse/2016/34-78371.pdf SR-NYSE-2016-43 2016-07-20 Notice / Immediate Effectiveness for a New Rule 346 Prohibiting Association by Member Organizations, Principal Executives, Approved Persons, and Persons Associated with a Member Organization or Control Persons of Member Organizations with Persons Subject SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-48879 81-FR-48879 34-78372 http://www.sec.gov/rules/sro/nyse/2016/34-78372.pdf SR-NYSE-2016-50 2016-07-20 Notice / Immediate Effectiveness Amending Its Rules Regarding Payment of Compensation and Rebates, and Research Analyst Attestation Requirements, Harmonizing with Certain Financial Industry Regulatory Authority, Inc. Rules and Making other Conforming SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-48861 81-FR-48861 34-78373 http://www.sec.gov/rules/sro/nysearca/2016/34-78373.pdf SR-NYSEARCA-2016-97 2016-07-20 Notice / Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-48869 81-FR-48869 34-78374 http://www.sec.gov/rules/sro/nysearca/2016/34-78374.pdf SR-NYSEARCA-2016-98 2016-07-20 Notice / Immediate Effectiveness Amending NYSE Arca Equities Rules 1.1(s) and 7.35P(a)(10)(A) to Extend the Period for the Current Trading Halt Auction Collar Price Collar Thresholds SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-48876 81-FR-48876 34-78375 http://www.sec.gov/rules/sro/bx/2016/34-78375.pdf SR-BX-2016-034 2016-07-20 Notice / Immediate Effectiveness Relating to Affiliated Entities SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-48864 81-FR-48864 34-78376 http://www.sec.gov/rules/sro/nysemkt/2016/34-78376.pdf SR-NYSEMKT-2016-70 2016-07-21 Notice / Immediate Effectiveness Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-49311 81-FR-49311 34-78377 http://www.sec.gov/rules/sro/nysearca/2016/34-78377.pdf SR-NYSEARCA-2016-99 2016-07-21 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49327 81-FR-49327 34-78378 http://www.sec.gov/rules/sro/nyse/2016/34-78378.pdf SR-NYSE-2016-49 2016-07-21 Notice / Immediate Effectiveness Amending the Exchange's Price List SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-49315 81-FR-49315 34-78379 http://www.sec.gov/rules/sro/dtc/2016/34-78379.pdf SR-DTC-2016-003 2016-07-21 Notice / Designation of a Longer Period for Commission Action to Which DTC Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/81-FR-49309 81-FR-49309 34-78380 http://www.sec.gov/rules/sro/nasdaq/2016/34-78380.pdf SR-NASDAQ-2016-090 2016-07-21 Notice / Immediate Effectiveness Related to Affiliated Entities SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-49288 81-FR-49288 34-78381 http://www.sec.gov/rules/sro/nysearca/2016/34-78381.pdf SR-NYSEARCA-2016-103 2016-07-21 Notice / Amending Rules 2.17(c) and 2.23(i) to Harmonize the Requirement of When OTP Holders and OTP Firms Must File A Uniform Termination Notice for Securities Industry Registration with the Rules of Other Exchanges and FINRA SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49286 81-FR-49286 34-78382 http://www.sec.gov/rules/sro/phlx/2016/34-78382.pdf SR-PHLX-2016-62 2016-07-21 Notice / Immediate Effectiveness Related to Affiliated Entities SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-49293 81-FR-49293 34-78383 http://www.sec.gov/rules/sro/nysearca/2016/34-78383.pdf SR-NYSEARCA-2016-104 2016-07-21 Notice / Amending NYSE Arca Equities Rules 2.16(c) and 2.21(i) to Harmonize the Requirement of When An ETP Holder Must File A Uniform Termination Notice for Securities Industry Registration with the Rules of Other Exchanges and FINRA SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49309 81-FR-49309 34-78384 http://www.sec.gov/rules/sro/nasdaq/2016/34-78384.pdf SR-NASDAQ-2016-002 2016-07-21 Notice / Designation of a Longer Period for Commission Action to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-49286 81-FR-49286 34-78385 http://www.sec.gov/rules/sro/nasdaq/2016/34-78385.pdf SR-NASDAQ-2016-103 2016-07-21 Notice / to List and Trade Exchange-Traded Managed Funds SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-49341 81-FR-49341 34-78386 http://www.sec.gov/rules/sro/nysearca/2016/34-78386.pdf SR-NYSEARCA-2016-79 2016-07-21 Notice / Designation of a Longer Period for Commission Action Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49299 81-FR-49299 34-78387 http://www.sec.gov/rules/sro/nyse/2016/34-78387.pdf SR-NYSE-2016-11 2016-07-21 Notice / Amendment No. 2 / Order Instituting Proceedings to Determine Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE Price List to Reflect the Changes SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-49300 81-FR-49300 34-78388 http://www.sec.gov/rules/sro/nysearca/2016/34-78388.pdf SR-NYSEARCA-2016-19 2016-07-21 Notice / Amendment No. 2 / Order Instituting to Determine Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the NYSE Arca SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49332 81-FR-49332 34-78389 http://www.sec.gov/rules/sro/nysemkt/2016/34-78389.pdf SR-NYSEMKT-2016-15 2016-07-21 Notice Amendment No. 2 / Order Instituting Proceedings to Determine Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-49304 81-FR-49304 34-78390 http://www.sec.gov/rules/sro/box/2016/34-78390.pdf SR-BOX-2016-33 2016-07-21 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-49336 81-FR-49336 34-78391 http://www.sec.gov/rules/sro/nsx/2016/34-78391.pdf SR-NSX-2016-05 2016-07-21 Notice / Immediate Effectiveness to Amend Exchange Rule 11.26 to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-49348 81-FR-49348 34-78392 http://www.sec.gov/rules/sro/nasdaq/2016/34-78392.pdf SR-NASDAQ-2016-098 2016-07-22 Notice / to Modify the Complimentary Services Offered to Certain New Listings SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-49705 81-FR-49705 34-78393 http://www.sec.gov/litigation/admin/2016/34-78393.pdf AAER-3790 3-17356 2016-07-22 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Makings, Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bottini, Nicholas, CPA EFP Rotenberg, LLP N/A 34-78394 http://www.sec.gov/rules/sro/phlx/2016/34-78394.pdf SR-PHLX-2016-77 2016-07-22 Notice / Immediate Effectiveness to Amend Price Improvement XL Pricing SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-49709 81-FR-49709 34-78395 http://www.sec.gov/litigation/admin/2016/34-78395.pdf AAER-3791 3-14171 2016-07-22 Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation of Review of Financial Statements Required to be Filed with the Commission Order Schneider, James, CPA N/A 34-78396 http://www.sec.gov/rules/sro/bats/2016/34-78396.pdf SR-BATS-2015-100 2016-07-22 Order / to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-49698 81-FR-49698 34-78397 http://www.sec.gov/rules/sro/nysearca/2016/34-78397.pdf SR-NYSEARCA-2015-110 2016-07-22 Order / Amending NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49320 81-FR-49320 34-78398 http://www.sec.gov/litigation/admin/2016/34-78398.pdf IA-4462 3-17251 2016-07-22 Order Making Findings and Imposing Remedial Sanctions AP Settled Blount, John Steven N/A 34-78400 http://www.sec.gov/litigation/admin/2016/34-78400.pdf 3-17237 2016-07-22 Notice That Initial Decision Has Become Final Notice Coyote Resources, Inc. Harbor Island Development Corp. Medical Makeover Corp. of America Shades Holding, Inc. N/A AAER-3790 http://www.sec.gov/litigation/admin/2016/34-78393.pdf 34-78393 3-17356 2016-07-22 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Makings, Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bottini, Nicholas, CPA EFP Rotenberg, LLP N/A AAER-3791 http://www.sec.gov/litigation/admin/2016/34-78395.pdf 34-78395 3-14171 2016-07-22 Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation of Review of Financial Statements Required to be Filed with the Commission Order Schneider, James, CPA N/A AP-3996 http://www.sec.gov/alj/aljorders/2016/ap-3996.pdf 3-16509 2016-07-18 Motion to the Commission for Extension Order Agostini, Luigi Daspin, Edward M., a/k/a Edward (Ed) Michael Lux, Lawrence R. N/A AP-3997 http://www.sec.gov/alj/aljorders/2016/ap-3997.pdf 3-16462 2016-07-18 Order Order Patriarch Partners XIV, LLC Patriarch Partners XV, LLC Patriarch Partners, LLC Patriarch Partners, VIII, LLC Tilton N/A AP-3998 http://www.sec.gov/alj/aljorders/2016/ap-3998.pdf 3-17313 2016-07-19 Order Rescheduling Prehearing Conference Order Tirrell, William N/A AP-3999 http://www.sec.gov/alj/aljorders/2016/ap-3999.pdf 3-17316 2016-07-19 Order Postponing Hearing Order Longwei Petroleum Investment Holding Limited N/A AP-4000 http://www.sec.gov/alj/aljorders/2016/ap-4000.pdf 3-17327 2016-07-19 Order Postponing Hearing and Scheduling Prehearing Conference Order Easy Health Technologies Ltd. Neptune Acquisition Corp. Segway IV Corp. N/A AP-4001 http://www.sec.gov/alj/aljorders/2016/ap-4001.pdf 3-16463 2016-07-19 Order Regarding Transcript Corrections Order Aegis Capital, LLC Cirlce One Wealth Managment, LLC Lamm, Diane W. NeitOsunkwo, David I. Strategic Consulting Advisors, LLC N/A AP-4002 http://www.sec.gov/alj/aljorders/2016/ap-4002.pdf 3-17253 2016-07-20 Order Order Blue Ocean Portfolios, LLC Winkelmann, James. A., Sr. N/A AP-4003 http://www.sec.gov/alj/aljorders/2016/ap-4003.pdf 3-16949 2016-07-20 Order Order Shah, Sandip N/A AP-4004 http://www.sec.gov/alj/aljorders/2016/ap-4004.pdf 3-16462 2016-07-20 Order Order Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC Patriarch Partners, LLC Tilton, Lunn N/A AP-4005 http://www.sec.gov/alj/aljorders/2016/ap-4005.pdf 3-16509 2016-07-20 Order Following Prehearing Conference Order Agostini, Luigi Daspin, Edward M., a/k/a "Edward 9ED) Michael Lux, Lawrence R. N/A AP-4006 http://www.sec.gov/alj/aljorders/2016/ap-4006.pdf 3-17336 2016-07-20 Order Postponing Hearing Order Breitling Energy Corporation N/A AP-4007 http://www.sec.gov/alj/aljorders/2016/ap-4007.pdf 3-16463 2016-07-20 Stay Order Order Aegis Capital, LLC Circle One Wealth Management, LLC Lamm, Diane W. Osunkwo, David I. Strategic Consulting Advisors LLC N/A AP-4008 http://www.sec.gov/alj/aljorders/2016/ap-4008.pdf 3-17293 2016-07-20 Order Following Prehearing Conference Order Advanced Life Sciences Holdings, Inc. Anoteros, Inc. Emperial Americas, Inc. Nord Resources Corporation UNR Holdings, Inc. N/A AP-4009 http://www.sec.gov/alj/aljorders/2016/ap-4009.pdf 3-17350 2016-07-22 Order Scheduling Hearing and Designating Presiding Judge Order Algorex Corporation Canadian Piper Air Corp. Capital and Services, Inc. NP Energy Corporation N/A AP-4010 http://www.sec.gov/alj/aljorders/2016/ap-4010.pdf 3-17351 2016-07-22 Order Scheduling Hearing and Designating Presiding Judge Order Great Basin Gold Limited N/A AP-4011 http://www.sec.gov/alj/aljorders/2016/ap-4011.pdf 3-17353 2016-07-22 Order Scheduling Hearing and Designating Presiding Judge Order Scanner Technologies Corp. Seville Ventures Corp. Strainvest Group, Inc. The Digital Development Group Corp. N/A AP-4012 http://www.sec.gov/alj/aljorders/2016/ap-4012.pdf 3-17352 2016-07-22 Order Scheduling Hearing and Designating Presiding Judge Order Saving2retire, LLC Young, Marian P. N/A AP-4013 http://www.sec.gov/alj/aljorders/2016/ap-4013.pdf 3-17070 2016-07-22 Order on Motion for Summary Disposition Order 3C Advisors & Associates, Inc. Jones, Stephen Prolman, David N/A AP-4014 http://www.sec.gov/alj/aljorders/2016/ap-4014.pdf 3-17070 2016-07-22 Order as to Hearing Time and Location Order 3C Advisors & Associates, Inc. Jones, Stephen Prolman, David N/A AP-4015 http://www.sec.gov/alj/aljorders/2016/ap-4015.pdf 3-17307 2016-07-22 Order to Show Cause Order Galileo Petroleum Ltd Hyperion Acqusition Corp. Satori Beverages International, Ltd N/A AP-4016 http://www.sec.gov/alj/aljorders/2016/ap-4016.pdf 3-16463 2016-07-22 Order Order Aegis Capital, LLC Circle One Wealth Managment, LLC Lamm, Diane W. Osunkwo, David I. Strategic Consulting Advisors, LLC N/A AP-4017 http://www.sec.gov/alj/aljorders/2016/ap-4017.pdf 3-17180 2016-07-22 Order Denying Motion for Summary Disposition Unknown Berman & Company, P.A. Berman, Elliot R., CPA N/A AP-4018 http://www.sec.gov/alj/aljorders/2016/ap-4018.pdf 3-17180 2016-07-22 Order as to the Time and Location of the Final Prehearing Conference and Hearing Order Berman & Company, P.A. Berman, Elliot R., CPA N/A IA-4455 http://www.sec.gov/litigation/admin/2016/ia-4455.pdf 3-17348 2016-07-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing Remedial Sanctions and Cease-and-Desist AP Settled Advantage Investment Management, LLC N/A IA-4456 http://www.sec.gov/litigation/admin/2016/ia-4456.pdf 3-17349 2016-07-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Washington Wealth Management, LLC N/A IA-4457 http://www.sec.gov/litigation/admin/2016/ia-4457.pdf 3-17352 2016-07-19 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated Saving2Retire, LLC Young, Marian P. N/A IA-4458 http://www.sec.gov/litigation/opinions/2016/33-10112.pdf 33-10112 34-78364 IC-32178 3-12116 2016-07-19 Order Granting Motion to Modify Order Millennium International Management, L.L.C. Millennium Management, L.L.C., et al. Millennium Partners, L.P. N/A IA-4459 http://www.sec.gov/litigation/admin/2016/33-10113.pdf 33-10113 3-17354 2016-07-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Concert Global Group Limited Concert Wealth Management, Inc. Luna, Felipe N/A IA-4460 http://www.sec.gov/litigation/admin/2016/33-10114.pdf 33-10114 3-17355 2016-07-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist AP Settled Navarra, Dennis N/A IA-4461 http://www.sec.gov/litigation/opinions/2016/ia-4461.pdf 3-16946 2016-07-21 Order Granting Petition for Review and Scheduling Briefs Order Price, George Charles Cody N/A IA-4462 http://www.sec.gov/litigation/admin/2016/34-78398.pdf 34-78398 3-17251 2016-07-22 Order Making Findings and Imposing Remedial Sanctions AP Settled Blount, John Steven N/A IC-32178 http://www.sec.gov/litigation/opinions/2016/33-10112.pdf 33-10112 34-78364 IA-4458 3-12116 2016-07-19 Order Granting Motion to Modify Order Millennium International Management, L.L.C. Millennium Management, L.L.C., et al. Millennium Partners, L.P. N/A IC-32179 http://www.sec.gov/rules/icdereg/2016/ic-32179.pdf 811-22783 2016-07-20 Order Order Oppenheimer Steelpath Master MLP, Fund, LLC N/A IC-32180 http://www.sec.gov/rules/icdereg/2016/ic-32180.pdf 811-22646 2016-07-20 Order Order Private Advisors Alternative Strategies Master Fund N/A IC-32181 http://www.sec.gov/rules/icdereg/2016/ic-32181.pdf 811-22647 2016-07-20 Order Order Private Advisors Alternative Strategies Fund N/A IC-32182 http://www.sec.gov/rules/icdereg/2016/ic-32182.pdf 811-05076 2016-07-20 Order Order Tax-Exempt California Money Market Fund N/A IC-32183 http://www.sec.gov/rules/icdereg/2016/ic-32183.pdf 811-01932 2016-07-20 Order Order Valley Forge Fund, Inc. N/A IC-32184 http://www.sec.gov/rules/icdereg/2016/ic-32184.pdf 811-04588 2016-07-20 Order Order Charter National Variable Account N/A IC-32185 http://www.sec.gov/rules/icdereg/2016/ic-32185.pdf 811-07275 2016-07-20 Order Order Oppenheimer Growth & Income Fund N/A IC-32186 http://www.sec.gov/rules/icdereg/2016/ic-32186.pdf 811-02273 2016-07-20 Order Order Transamerica Income Shares, Inc. N/A IC-32187 http://www.sec.gov/rules/icdereg/2016/ic-32187.pdf 811-23123 2016-07-20 Order Order Direct Lending Income Fund N/A IC-32188 http://www.sec.gov/rules/icdereg/2016/ic-32188.pdf 811-22357 2016-07-20 Order Order BOFA Funds Series Trust N/A IC-32189 http://www.sec.gov/rules/ic/2016/ic-32189.pdf 812-14597 2016-07-20 Notice Notice Mutual Fund Series Trust, et al. http://www.federalregister.gov/citation/81-FR-48875 81-FR-48875 ID-1037 http://www.sec.gov/alj/aljdec/2016/id1037jsp.pdf 3-17302 2016-07-19 Initial Decision of Default Initial Decision Medisys Technologies, Inc. New Day Financial Management, Inc. Pivotal Group, Inc. N/A ID-1038 http://www.sec.gov/alj/aljdec/2016/id1038jeg.pdf 3-17282 2016-07-19 Initial Decision of Default Initial Decision Eric B. Global Ventures, Inc. Parallax Diagnostics, Inc. Secure Digital, Inc. N/A ID-1039 http://www.sec.gov/alj/aljdec/2016/id1039jeg.pdf 3-17292 2016-07-20 Initial Decision Initial Decision Cascade Technologies Corp. Echo Automotive, Inc. Vision Industries Corp. N/A LR-23597 http://www.sec.gov/litigation/litreleases/2016/lr23597.htm 1:16-CV-02572-LMM 2016-07-18 Enforcement Case Conrad, Stuart P. Conrad, Thomas D., Jr. Financial Management Corporation ("FMC") Financial Management Corporation, S.R.L. ("FMC Uruguay") N/A LR-23598 http://www.sec.gov/litigation/litreleases/2016/lr23598.htm 2:14CV00510 2016-07-20 Enforcement Case Parrish, Stanley D. Williams, Tyson D. N/A LR-23599 http://www.sec.gov/litigation/litreleases/2016/lr23599.htm 13-CV-1489 2016-07-22 Enforcement Case Wilson, Jeffrey N/A