2016-09-09
114
13
2016-07-25
2016-07-29
Securities Act of 1933
33
10115
10117
Securities Exchange Act of 1934
34
78399
78448
Accounting and Auditing Enforcement Release
AAER
3792
3793
Administrative Proceedings
AP
4019
4030
Investment Advisers Act of 1940
IA
4463
4467
Investment Company Act of 1940
IC
32190
32200
Initial Decisions (ALJ)
ID
1040
1042
Litigation Releases
LR
23600
23609
33-10115
http://www.sec.gov/litigation/opinions/2016/33-10115.pdf
34-78429
IA-4463
IC-32194
3-15918
2016-07-27
Opinion
Opinion
Malouf, Dennis J.
N/A
33-10116
http://www.sec.gov/litigation/opinions/2016/33-10116.pdf
34-78440
IA-4466
IC-32199
3-15003
2016-07-29
Partial Stay Order
Order
Young, Bernerd E.
N/A
33-10117
http://www.sec.gov/litigation/admin/2016/33-10117.pdf
IA-4467
IC-32200
3-15574
2016-07-29
Corrected Order Denying Motion for Additional Time for Oral Argument
Orders
Chau, Wing F.
Harding Advisory LLc
N/A
34-78399
http://www.sec.gov/litigation/admin/2016/34-78399.pdf
3-17223
2016-07-25
Notice That Initial Decision Has Become Final
Notice
Gold Hills Mining, Ltd.
Massive Dynamics, Inc.
MDU Communications International, Inc.
Medisafe 1 Technologies Corp.
N/A
34-78401
http://www.sec.gov/litigation/admin/2016/34-78401.pdf
3-17236
2016-07-25
Notice that Initial Decision has Become Final
Notice
Pioneer Exploration, Inc.
Premier Brands, Inc.
Private Media Group, Inc.
N/A
34-78402
http://www.sec.gov/litigation/admin/2016/34-78402.pdf
AAER-3792
3-17357
2016-07-25
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-andd-Desist Order
AP Settled
LAN Airlines S.A.
N/A
34-78403
http://www.sec.gov/rules/sro/nsx/2016/34-78403.pdf
SR-NSX-2016-06
2016-07-25
Notice / to NSX Rule 11.25(a), Stating It Will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes
SRO Filing
National Stock Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-50028
81-FR-50028
34-78404
http://www.sec.gov/rules/sro/nasdaq/2016/34-78404.pdf
SR-NASDAQ-2016-099
2016-07-25
Notice / Immediate Effectiveness to Update Public Disclosure of Exchange Usage of Market Data
SRO Filing
The NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-50024
81-FR-50024
34-78405
http://www.sec.gov/rules/sro/bx/2016/34-78405.pdf
SR-BX-2016-044
2016-07-25
Notice / Immediate Effectiveness to Update Public Disclosure of Exchange Usage of Market Data
SRO Filing
NASDAQ BX, Inc.
http://www.federalregister.gov/citation/81-FR-50041
81-FR-50041
34-78406
http://www.sec.gov/rules/sro/nasdaq/2016/34-78406.pdf
SR-NASDAQ-2016-100
2016-07-25
Notice / Immediate Effectiveness to Modify NASDAQ Options Market LLC Pricing at Chapter XV
SRO Filing
The NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-50029
81-FR-50029
34-78407
http://www.sec.gov/rules/sro/cboe/2016/34-78407.pdf
SR-CBOE-2016-057
2016-07-25
Notice / Immediate Effectiveness Relating to Tied to Stock Orders
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-50036
81-FR-50036
34-78408
http://www.sec.gov/rules/sro/phlx/2016/34-78408.pdf
SR-PHLX-2016-76
2016-07-25
Notice / Immediate Effectivness Update Public Disclosure of Exchange Usage of Market Data
SRO Filing
NASDAQ PHLX LLC
http://www.federalregister.gov/citation/81-FR-50026
81-FR-50026
34-78409
http://www.sec.gov/litigation/admin/2016/34-78409.pdf
3-17358
2016-07-25
Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension
AP Settled
Braslau, Samuel
N/A
34-78410
http://www.sec.gov/litigation/admin/2016/34-78410.pdf
3-17359
2016-07-25
Order of Forthwith Suspension
AP Settled
Braslau, Samuel
N/A
34-78411
http://www.sec.gov/litigation/admin/2016/34-78411.pdf
3-17360
2016-07-25
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Nemeckay, Timothy A.
N/A
34-78412
http://www.sec.gov/litigation/suspensions/2016/34-78412.pdf
500-1
2016-07-26
Trading Suspension
Trading Suspension
American Transportation Holdings, Inc.
http://www.federalregister.gov/citation/81-FR-49712
81-FR-49712
34-78413
http://www.sec.gov/litigation/admin/2016/34-78413.pdf
AAER-3793
3-17361
2016-07-26
Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Chen, Yi, CPA
N/A
34-78414
http://www.sec.gov/rules/sro/nysearca/2016/34-78414.pdf
SR-NYSEARCA-2016-79
2016-07-26
Order / 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-50576
81-FR-50576
34-78415
http://www.sec.gov/rules/sro/batsbzx/2016/34-78415.pdf
SR-BATSBZX-2016-09
2016-07-26
Order / to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust under BZX Rule 14.11(i), Managed Fund Shares
SRO Filing
Bats BZX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-50588
81-FR-50588
34-78416
http://www.sec.gov/rules/sro/iex/2016/34-78416.pdf
SR-IEX-2016-01
2016-07-26
Notice / Immediate Effectiveness Relating to the Collection of Exchange Fees and Other Claims and Billing Policy
SRO Filing
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-50573
81-FR-50573
34-78417
http://www.sec.gov/rules/exorders/2016/34-78417.pdf
NO FILE NUMBER
2016-07-26
Order Granting Application of Investors' Exchange LLC a Limited Exemption from Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f)
SRO Filing
Investors' Exchange LLC
http://www.federalregister.gov/citation/81-FR-50035
81-FR-50035
34-78418
http://www.sec.gov/litigation/admin/2016/34-78418.pdf
3-17362
2016-07-26
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Schleifer, Nathan
N/A
34-78419
http://www.sec.gov/rules/sro/phlx/2016/34-78419.pdf
SR-PHLX-2016-78
2016-07-26
Notice / Immediate Effectiveness Amend Phlx Rule 754 (Employees' Discretion as to Customers' Accounts)
SRO Filing
NASDAQ PHLX LLC
http://www.federalregister.gov/citation/81-FR-50582
81-FR-50582
34-78420
http://www.sec.gov/rules/sro/iex/2016/34-78420.pdf
SR-IEX-2016-02
2016-07-26
Notice / to Amend Rule 11.230 to Rename the "Router Plus" Routing Option to "Router"
SRO Filing
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-50572
81-FR-50572
34-78421
http://www.sec.gov/rules/sro/c2/2016/34-78421.pdf
SR-C2-2016-013
2016-07-26
Notice / Immediate Effectiveness to Amend the Fees Schedule
SRO Filing
C2 Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-50580
81-FR-50580
34-78422
http://www.sec.gov/rules/sro/nysearca/2016/34-78422.pdf
SR-NYSEARCA-2016-102
2016-07-27
Notice / Immediate Effectiveness for a New NYSE Arca Rule 13.9 and a New NYSE Arca Equities Rule 11.9 and to Make Conforming Changes to NYSE Arca Rule 3.2 and NYSE Arca Equities Rule 3.2
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-50750
81-FR-50750
34-78423
http://www.sec.gov/rules/sro/ise/2016/34-78423.pdf
SR-ISE-2015-30
2016-07-27
Notice / Disapproving to Amend Rule 804(g)
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/81-FR-50759
81-FR-50759
34-78424
http://www.sec.gov/rules/sro/isegemini/2016/34-78424.pdf
SR-ISEGEMINI-2015-17
2016-07-27
Order / Disapprovign to Amend Rule 804(g)
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/81-FR-50757
81-FR-50757
34-78425
http://www.sec.gov/rules/sro/nysearca/2016/34-78425.pdf
SR-NYSEARCA-2016-84
2016-07-27
Notice / Designating a longe time
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-50759
81-FR-50759
34-78426
http://www.sec.gov/rules/sro/nysearca/2016/34-78426.pdf
SR-NYSEARCA-2016-101
2016-07-27
Notice / Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-50763
81-FR-50763
34-78427
http://www.sec.gov/rules/sro/box/2016/34-78427.pdf
SR-BOX-2016-34
2016-07-27
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-50777
81-FR-50777
34-78428
http://www.sec.gov/rules/sro/box/2016/34-78428.pdf
SR-BOX-2016-36
2016-07-27
Notice / Immeidate 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-50761
81-FR-50761
34-78429
http://www.sec.gov/litigation/opinions/2016/33-10115.pdf
33-10115
IA-4463
IC-32194
3-15918
2016-07-27
Opinion
Opinion
Malouf, Dennis J.
N/A
34-78430
http://www.sec.gov/litigation/admin/2016/34-78430.pdf
3-17363
2016-07-27
Order Instituting Proceedings and Fixing Time and Place of Public Hearing
AP Litigated
Sand International, Inc.
N/A
34-78431
http://www.sec.gov/rules/sro/bx/2016/34-78431.pdf
SR-BX-2016-045
2016-07-28
Notice / Immediate Effectiveness Regarding Tiers Related to SPY Options
SRO Filing
NASDAQ BX, Inc.
http://www.federalregister.gov/citation/81-FR-51258
81-FR-51258
34-78432
http://www.sec.gov/rules/sro/nysemkt/2016/34-78432.pdf
SR-NYSEMKT-2016-58
2016-07-28
Notice / Designation of a Longer Period for Commission Action Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fu
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-51248
81-FR-51248
34-78433
http://www.sec.gov/rules/sro/nysearca/2016/34-78433.pdf
SR-NYSEARCA-2016-100
2016-07-28
Notice / Relating to the Listing and Trading of Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund under NYSE Arca Equities Rule 5.2(j)(3)
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-51241
81-FR-51241
34-78434
http://www.sec.gov/rules/sro/17d-2/2016/34-78434.pdf
4-700
2016-07-28
Order / Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities
SRO Filing
Financial Industry Regulatory Authority, Inc.
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-51256
81-FR-51256
34-78435
http://www.sec.gov/rules/sro/finra/2016/34-78435.pdf
SR-FINRA-2016-028
2016-07-28
Notice / Immediate Effectiveness to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/81-FR-51239
81-FR-51239
34-78436
http://www.sec.gov/rules/sro/nyse/2016/34-78436.pdf
SR-NYSE-2016-51
2016-07-28
Notice / Amending the Ninth Amended and Restated Operating Agreement of the Exchange
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-51249
81-FR-51249
34-78437
http://www.sec.gov/rules/sro/nasdaq/2016/34-78437.pdf
SR-NASDAQ-2016-056
2016-07-28
Notice / Amendment No. 3 / Order Accelerating to List and Trade Shares of the PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust
SRO Filing
The NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-51251
81-FR-51251
34-78438
http://www.sec.gov/rules/sro/occ/2016/34-78438.pdf
SR-OCC-2016-002
2016-07-28
Notice / Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements
SRO Filing
The Options Clearing Corporation
http://www.federalregister.gov/citation/81-FR-51220
81-FR-51220
34-78439
http://www.sec.gov/litigation/admin/2016/34-78439.pdf
3-17256
2016-07-29
Order Making Findings and Revoking Registration
AP Settled
Dragon Bright Mintai Botanical Technology Cayman Ltd.
N/A
34-78440
http://www.sec.gov/litigation/opinions/2016/33-10116.pdf
33-10116
IA-4466
IC-32199
3-15003
2016-07-29
Partial Stay Order
Order
Young, Bernerd E.
N/A
34-78441
http://www.sec.gov/rules/sro/nms/2016/34-78441.pdf
4-698
2016-07-29
Notice / Designation of a Longer Period for Commission Action on the Proposed Naitonal Market System Plan Governing the Consolidated Audit Trail
Notice
Joint Industry Plan
http://www.federalregister.gov/citation/81-FR-51527
81-FR-51527
34-78442
http://www.sec.gov/rules/sro/nyse/2016/34-78442.pdf
SR-NYSE-2016-31
2016-07-29
Notice / Designation of a Longer Period for Commission Action Amending NYSE Rule 6A To Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-51521
81-FR-51521
34-78443
http://www.sec.gov/rules/sro/nasdaq/2016/34-78443.pdf
SR-NASDAQ-2016-064
2016-07-29
Order / Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII
SRO Filing
The NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-51517
81-FR-51517
34-78444
http://www.sec.gov/rules/sro/box/2016/34-78444.pdf
SR-BOX-2016-37
2016-07-29
Notice / Immediate Effectiveness to Detail How Complex Orders Will Execute Through the Facilitation Auction Mechanism
SRO Filing
BOX Options Exchange LLC
http://www.federalregister.gov/citation/81-FR-51533
81-FR-51533
34-78445
http://www.sec.gov/rules/sro/chx/2016/34-78445.pdf
SR-CHX-2016-11
2016-07-29
Notice / Immediate Effectiveness to Adopt the Securities Trader Registration Category and the Series 57 Securities Trader Examination Registration Requirement
SRO Filing
Chicago Stock Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-51513
81-FR-51513
34-78446
http://www.sec.gov/rules/sro/chx/2016/34-78446.pdf
SR-CHX-2016-12
2016-07-29
Notice / Immediate Effectiveness to Provide Web-based Delivery of the Continuing Education Program
SRO Filing
Chicago Stock Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-51530
81-FR-51530
34-78447
http://www.sec.gov/rules/sro/iex/2016/34-78447.pdf
SR-IEX-2016-03
2016-07-29
Notice / Immediate Effectiveness to Correct Typographical Errors in Certain Referenced Time Frames
SRO Filing
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-51528
81-FR-51528
34-78448
http://www.sec.gov/rules/sro/icc/2016/34-78448.pdf
SR-ICC-2016-010
2016-07-29
Notice / to Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework
SRO Filing
ICE Clear Credit LLC
http://www.federalregister.gov/citation/81-FR-51523
81-FR-51523
AAER-3792
http://www.sec.gov/litigation/admin/2016/34-78402.pdf
34-78402
3-17357
2016-07-25
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-andd-Desist Order
AP Settled
LAN Airlines S.A.
N/A
AAER-3793
http://www.sec.gov/litigation/admin/2016/34-78413.pdf
34-78413
3-17361
2016-07-26
Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Chen, Yi, CPA
N/A
AP-4019
http://www.sec.gov/alj/aljorders/2016/ap-4019.pdf
3-17031
2016-07-25
Postponement Order
Orders
China Domestica Bio-Technology Holdings, Inc.
N/A
AP-4020
http://www.sec.gov/alj/aljorders/2016/ap-4020.pdf
3-17104
2016-07-26
Order Denying Motions for Summary Disposition
Order
Bedwell, Robert P., CPA
BioElectronics Corp.
IBEX, LLC
St. John's, LLC
Whelan, Andrew J.
Whelan, Kelly A., CPA
N/A
AP-4021
http://www.sec.gov/alj/aljorders/2016/ap-4021.pdf
3-17104
2016-07-26
Order Setting Prehearing Schedule and Hearing Location
Order
Bedwell, Robert P., CPA
BioElectronics Corp.
Ibex, LLC
St. John's, LLC
Whelan, Andrew J.
Whelan, Kelly A., CPA
N/A
AP-4022
http://www.sec.gov/alj/aljorders/2016/ap-4022.pdf
3-17311
2016-07-26
Order to Show Cause
Order
Rebornne (USA) Inc.
N/A
AP-4023
http://www.sec.gov/alj/aljorders/2016/ap-4023.pdf
3-17346
2016-07-27
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Franklin Bank Corporation
N/A
AP-4024
http://www.sec.gov/alj/aljorders/2016/ap-4024.pdf
3-17327
2016-07-27
Order to Show Cause
Orders
Easy Health Technologies Ltd.
Neptune Acquistion Corp.
Segway IV Corp.
N/A
AP-4025
http://www.sec.gov/alj/aljorders/2016/ap-4025.pdf
3-17210
2016-07-27
Order Granting Extension
Order
White, Paul Leon, II
N/A
AP-4026
http://www.sec.gov/alj/aljorders/2016/ap-4026.pdf
3-17319
2016-07-27
Order Following Prehearing Conference
Order
Helen, Jan E.
N/A
AP-4027
http://www.sec.gov/alj/aljorders/2016/ap-4027.pdf
3-16462
2016-07-27
Order
Order
Patriarch Partners, LLC
Patriarch Partners VIII, LLC
Patriarch Partners XIV, LLC
Patriarch Partners XV, LLC
Tilton, Lynn
N/A
AP-4028
http://www.sec.gov/alj/aljorders/2016/ap-4028.pdf
3-17352
2016-07-28
Order Postponing Hearing and Scheduling Prehearing Conference
Order
Saving2Retire, LLC
Young, Marian P.
N/A
AP-4029
http://www.sec.gov/alj/aljorders/2016/ap-4029.pdf
3-17363
2016-07-29
Order Designating Presiding Judge
Order
Sand International, Inc.
N/A
AP-4030
http://www.sec.gov/alj/aljorders/2016/ap-4030.pdf
3-16949
2016-07-29
Order
Order
Shah, Sandip
N/A
IA-4463
http://www.sec.gov/litigation/opinions/2016/33-10115.pdf
33-10115
34-78429
IC-32194
3-15918
2016-07-27
Opinion
Opinion
Malouf, Dennis J.
N/A
IA-4464
http://www.sec.gov/alj/aljdec/2016/ia-4464.pdf
3-16926
2016-07-27
Notice That Initial Decision Has Become Final
Notice
Burton, Robert
N/A
IA-4465
http://www.sec.gov/litigation/admin/2016/ia-4465.pdf
3-17364
2016-07-28
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Blazer, Louis Martin, III
N/A
IA-4466
http://www.sec.gov/litigation/opinions/2016/33-10116.pdf
33-10116
34-78440
IC-32199
3-15003
2016-07-29
Partial Stay Order
Order
Young, Bernerd E.
N/A
IA-4467
http://www.sec.gov/litigation/admin/2016/33-10117.pdf
33-10117
IC-32200
3-15574
2016-07-29
Corrected Order Denying Motion for Additional Time for Oral Argument
Orders
Chau, Wing F.
Harding Advisory LLc
N/A
IC-32190
http://www.sec.gov/rules/ic/2016/ic-32190.pdf
812-14523
2016-07-25
Order
Order
Mainstay Funds (The)
Mainstay Funds Trust
Mainstay VP Funds Trust
New York Life Investment Management LLC
N/A
IC-32191
http://www.sec.gov/rules/ic/2016/ic-32191.pdf
812-14561
2016-07-26
Order
Order
Fidelity Commonwealth Trust
N/A
IC-32192
http://www.sec.gov/rules/ic/2016/ic-32192.pdf
812-14502
2016-07-26
Order
Order
Lord Abbett Family of Funds
N/A
IC-32193
http://www.sec.gov/rules/ic/2016/ic-32193.pdf
812-14589
2016-07-26
Notice
Notice
New York Life Insurance and Annuity Corp., et al.
http://www.federalregister.gov/citation/81-FR-50584
81-FR-50584
IC-32194
http://www.sec.gov/litigation/opinions/2016/33-10115.pdf
33-10115
34-78429
IA-4463
3-15918
2016-07-27
Opinion
Opinion
Malouf, Dennis J.
N/A
IC-32195
http://www.sec.gov/rules/ic/2016/ic-32195.pdf
812-14635
2016-07-28
Notice
Notice
Investment Managers Series Trust
SilverPepper LLC
http://www.federalregister.gov/citation/81-FR-51512
81-FR-51512
IC-32196
http://www.sec.gov/rules/ic/2016/ic-32196.pdf
812-14650
2016-07-28
Notice
Notice
CSat Investment Advisorym L.P., et al
http://www.federalregister.gov/citation/81-FR-51237
81-FR-51237
IC-32197
http://www.sec.gov/rules/ic/2016/ic-32197.pdf
812-14575
2016-07-29
Notice
Notice
Bain Capital Speciality Finance, Inc., et al.
http://www.federalregister.gov/citation/81-FR-51523
81-FR-51523
IC-32198
http://www.sec.gov/rules/icdereg/2016/ic-32198.pdf
811-01947
811-02319
811-04921
811-06259
811-07696
811-22599
2016-07-29
Notice
Notice
American Real Estate Income Fund
American Republic Variable Annuity Account
Capital Southwest Venture Corporation
Fort Dearborn Income Securities, Inc.
Iowa Public Agency Investment Trust
Stratus Fund Inc.
http://www.federalregister.gov/citation/81-FR-51522
81-FR-51522
IC-32199
http://www.sec.gov/litigation/opinions/2016/33-10116.pdf
33-10116
34-78440
IA-4466
3-15003
2016-07-29
Partial Stay Order
Order
Young, Bernerd E.
N/A
IC-32200
http://www.sec.gov/litigation/admin/2016/33-10117.pdf
33-10117
IA-4467
3-15574
2016-07-29
Corrected Order Denying Motion for Additional Time for Oral Argument
Orders
Chau, Wing F.
Harding Advisory LLc
N/A
ID-1040
http://www.sec.gov/alj/aljdec/2016/id1040jeg.pdf
3-17293
2016-07-27
Initial Decision
Initial Decision
Anoteros, Inc.
Emperial Americas, Inc.
Nord Resources Corporation
UNR Holdings, Inc.
N/A
ID-1041
http://www.sec.gov/alj/aljdec/2016/id1041jsp.pdf
3-17309
2016-07-27
Initial Decision
Initial Decision
Coastal Pacific Mining Corp.
Petaquilla Minerals Ltd.
N/A
ID-1042
http://www.sec.gov/alj/aljdec/2016/id1042bpm.pdf
3-17020
2016-07-29
Initial Decision
Initial Decision
Dalmy, Diane D., Esq.
N/A
LR-23600
http://www.sec.gov/litigation/litreleases/2016/lr23600.htm
1:16-CV-00307
2016-07-25
Enforcement Case
Brennan, James Hugh, III
Broad Street Ventures
Dyer, Douglas Albert
N/A
LR-23601
http://www.sec.gov/litigation/litreleases/2016/lr23601.htm
12-CV-2984
2016-07-25
Enforcement Case
Cain, Michael Sean
N/A
LR-23602
http://www.sec.gov/litigation/litreleases/2016/lr23602.htm
2:15-CR-00330
2016-07-26
Enforcement Case
Sudfeld, Herbert K., Jr.
N/A
LR-23603
http://www.sec.gov/litigation/litreleases/2016/lr23603.htm
7:16-CV-00282
2016-07-27
Enforcement Case
JNL Oilfield Instruments, LLC
McCollum, Jeffery A.
N/A
LR-23604
http://www.sec.gov/litigation/litreleases/2016/lr23604.htm
2:16-CV-00832
2016-07-28
Enforcement Case
Scoville, Charles
Traffic Monsoon LLC
N/A
LR-23605
http://www.sec.gov/litigation/litreleases/2016/lr23605.htm
1:13-CV-10612-MLW
2016-07-28
Enforcement Case
Herman, Susan
N/A
LR-23606
http://www.sec.gov/litigation/litreleases/2016/lr23606.htm
3-15-CV-03101
2016-07-28
Enforcement Case
Luca Barnett Shale Venture (relief defendant)
Luca Energy Fund, LLC
Luca I. Limited Partnership (relief defendant)
Luca International Group, LLC
Luca Oil II Joint Venture (relief defendant)
Luca Oil, LLC (relief defendant)
Luca Operations, LLC (relief defendant)
Luca Resources Group, LLC
Luca To-Kalon Energy, LLC (relief defendant)
N/A
LR-23607
http://www.sec.gov/litigation/litreleases/2016/lr23607.htm
1:16-CV-2715-WSD
2016-07-28
Enforcement Case
Merandi, Daniel J.
White, Matthew E.
Zehner, Rodney A.
N/A
LR-23608
http://www.sec.gov/litigation/litreleases/2016/lr23608.htm
1:14-CV-185-C
2016-07-29
Enforcement Case
Downey, Jeffry P.
Downey, Paul R.
Leonard, John M.
N/A
LR-23609
http://www.sec.gov/litigation/litreleases/2016/lr23609.htm
15-CV-231
2016-07-29
Enforcement Case
Rampino, Kenneth J.
N/A