INTENTIONALLY OMITTED

2016-11-25 114 14 2016-08-01 2016-08-05 Securities Act of 1933 33 10118 10118 Securities Exchange Act of 1934 34 78449 78490 Administrative Proceedings AP 4031 4048 Investment Advisers Act of 1940 IA 4468 4471 Investment Company Act of 1940 IC 32201 32208 Initial Decisions (ALJ) ID 1043 1044 Litigation Releases LR 23610 23612 33-10118 2016-08-01 INTENTIONALLY OMITTED 34-78449 https://www.sec.gov/rules/sro/box/2016/34-78449.pdf SR-BOX-2016-26 2016-08-01 Notice / Immediate Effectiveness to Amend the BOX Rules Regarding Participants and Associated Persons Who are or Become Subject to a Statutory Disqualification SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-51947 81-FR-51947 34-78450 https://www.sec.gov/rules/sro/cboe/2016/34-78450.pdf SR-CBOE-2016-051 2016-08-01 Notice / Immediate Effectiveness Relating to the Series 9/10 Examination Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-51949 81-FR-51949 34-78451 https://www.sec.gov/rules/sro/nasdaq/2016/34-78451.pdf SR-NASDAQ-2016-105 2016-08-01 Notice / Immediate Effectiveness Relating to the Listing and Trading of the Shares of the Eaton Vance Floating-Rate & High Income NextShares of the Eaton Vance NextShares Trust II SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-51946 81-FR-51946 34-78452 https://www.sec.gov/rules/sro/batsedgx/2016/34-78452.pdf SR-BATSEDGX-2016-33 2016-08-01 Notice/ Immediate Effectiveness to Adopt an Options Regulatory Fee SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-51951 81-FR-51951 34-78453 https://www.sec.gov/rules/sro/batsbzx/2016/34-78453.pdf SR-BATSBZX-2016-42 2016-08-01 Notice / Immediate Effectiveness to Amend the Options Regulatory Fee SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-51954 81-FR-51954 34-78454 https://www.sec.gov/rules/sro/batsbzx/2016/34-78454.pdf SR-BATSBZX-2016-46 2016-08-02 Notice / Immediate Effectiveness to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52494 81-FR-52494 34-78455 https://www.sec.gov/rules/sro/batsbzx/2016/34-78455.pdf SR-BATSBZX-2016-43 2016-08-02 Notice / Immediate Effectiveness to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52504 81-FR-52504 34-78456 https://www.sec.gov/rules/sro/batsbyx/2016/34-78456.pdf SR-BATSBYX-2016-19 2016-08-02 Notice / Immediate Effectiveness to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52503 81-FR-52503 34-78457 https://www.sec.gov/litigation/admin/2016/34-78457.pdf IA-4468 IC-32202 3-17365 2016-08-02 Order Instituting Administrative and Cease-and-Desist Proceedings, AP Litigated Alison, Stephen D. Alison, LLC N/A 34-78458 https://www.sec.gov/litigation/opinions/2016/34-78458.pdf 3-17249 2016-08-02 Order Denying Request to Vacate Bars Order Woolf, Linda N/A 34-78459 https://www.sec.gov/rules/sro/batsedga/2016/34-78459.pdf SR-BATSEDGA-2016-17 2016-08-02 Notice / Immediate Effectiveness to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52491 81-FR-52491 34-78460 https://www.sec.gov/rules/sro/batsedgx/2016/34-78460.pdf SR-BATSEDGX-2016-36 2016-08-02 Notice / Immediate Effectiveness Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52496 81-FR-52496 34-78461 https://www.sec.gov/rules/sro/c2/2016/34-78461.pdf SR-C2-2016-015 2016-08-02 Notice / Immediate Effectiveness Relating to Adopting a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information by Market-Makers and Designated Primary Market-Makers ("DPMs") SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-52498 81-FR-52498 34-78462 https://www.sec.gov/rules/sro/nasdaq/2016/34-78462.pdf SR-NASDAQ-2016-101 2016-08-02 Notice / to Add Nasdaq Rule 7046 (Nasdaq Trading Insights) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-52486 81-FR-52486 34-78463 https://www.sec.gov/litigation/opinions/2016/34-78463.pdf 3-16151 2016-08-02 Order Denying Request to Vacate Bars Order Stuart, Stephen N/A 34-78464 https://www.sec.gov/litigation/opinions/2016/34-78464.pdf 3-15819 2016-08-02 Order Denying Request to Vacate Bars Order Sheinwald, Alan N/A 34-78465 https://www.sec.gov/litigation/opinions/2016/34-78465.pdf 3-16818 2016-08-02 Order Denying Request to Vacate Bars Order McGee, Timothy J. N/A 34-78466 https://www.sec.gov/litigation/opinions/2016/34-78466.pdf 3-15624 2016-08-02 Order Denying Request to Vacate Bars Order Guyette, John B. N/A 34-78467 https://www.sec.gov/litigation/opinions/2016/34-78467.pdf 3-14139 2016-08-02 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Zurita, Michael Antonio N/A 34-78468 https://www.sec.gov/litigation/opinions/2016/34-78468.pdf IC-32205 3-14324 2016-08-02 Order Denying Request to Vacate Bars Order Boppre, Brian W. N/A 34-78469 https://www.sec.gov/litigation/opinions/2016/34-78469.pdf 3-15035 2016-08-02 Order Denying Request to Vacate Bars Order Turner, James F., II N/A 34-78470 https://www.sec.gov/litigation/opinions/2016/34-78470.pdf 3-15266 2016-08-02 Order Denying Request to Vacate Bars Order Healy, Sean Nathan N/A 34-78471 https://www.sec.gov/litigation/admin/2016/34-78471.pdf 3-17226 2016-08-02 Extension Order Order Wanger, Eric David N/A 34-78472 https://www.sec.gov/rules/sro/batsedgx/2016/34-78472.pdf SR-BATSEDGX-2016-35 2016-08-03 Notice / Immediate Effectiveness to Rule 11.21, Retail Orders, to Conform to the Rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52718 81-FR-52718 34-78473 https://www.sec.gov/rules/sro/17d-2/2016/34-78473.pdf 4-566 2016-08-03 Notice / Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, SRO Filing Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 http://www.federalregister.gov/citation/81-FR-52722 81-FR-52722 34-78474 https://www.sec.gov/rules/other/2016/34-78474.pdf 4-701 2016-08-03 Order / Declaring Effective a Minor Rule Violation Plan Order Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-52717 81-FR-52717 34-78475 https://www.sec.gov/rules/sro/iex/2016/34-78475.pdf SR-IEX-2016-05 2016-08-03 Notice / Immediate Effectiveness to Amend Rule 11.330 to Combine the TOPS and LAST Data Products and Make Minor Correcting and Conforming Changes to the Description of TOPS Viewer SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-52730 81-FR-52730 34-78476 https://www.sec.gov/litigation/admin/2016/34-78476.pdf 3-17246 2016-08-03 Order Making Findings and Imposing Remedial Sanctions AP Settled Ruehle, Greg N/A 34-78477 https://www.sec.gov/rules/sro/nms/2016/34-78477.pdf 4-668 2016-08-04 Notice / Immediate Effectiveness Amendment No. 4 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Excha SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/81-FR-52917 81-FR-52917 34-78478 https://www.sec.gov/rules/sro/c2/2016/34-78478.pdf SR-C2-2016-014 2016-08-04 Notice / Immediate Effectiveness Relating to AIM Retained Orders SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-52922 81-FR-52922 34-78479 https://www.sec.gov/rules/sro/nysearca/2016/34-78479.pdf SR-NYSEARCA-2016-105 2016-08-04 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-52920 81-FR-52920 34-78480 https://www.sec.gov/rules/sro/nasdaq/2016/34-78480.pdf SR-NASDAQ-2016-097 2016-08-04 Notice / Immediate Effectiveness Related to Detection of Loss of Connection SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-52926 81-FR-52926 34-78481 https://www.sec.gov/rules/sro/iex/2016/34-78481.pdf SR-IEX-2016-07 2016-08-04 Notice / Immediate Effectiveness to Adopt Rule 11.340(b) to Set Forth the Requirements for the Collection and Transmission of Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-52933 81-FR-52933 34-78482 https://www.sec.gov/rules/sro/iex/2016/34-78482.pdf SR-IEX-2016-06 2016-08-05 Notice / Immediate Effectiveness to Amend Rule 11.270(c) Concerning Clearly Erroneous Executions SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-53174 81-FR-53174 34-78483 https://www.sec.gov/rules/sro/nysemkt/2016/34-78483.pdf SR-NYSEMKT-2016-68 2016-08-05 Notice / Amending NYSE Rule 49 -Equities Regarding: (1) the Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-53176 81-FR-53176 34-78484 https://www.sec.gov/rules/sro/nyse/2016/34-78484.pdf SR-NYSE-2016-48 2016-08-05 Notice / Amending NYSE Rule 49 Regarding: (1) the Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-53180 81-FR-53180 34-78485 https://www.sec.gov/rules/sro/nysearca/2016/34-78485.pdf SR-NYSEARCA-2016-115 2016-08-05 Notice / Immediate Effectiveness to Amend the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-53184 81-FR-53184 34-78486 https://www.sec.gov/litigation/opinions/2016/34-78486.pdf 3-17344 2016-08-05 Order Scheduling Briefs Order Hsu, Li-Lin N/A 34-78487 https://www.sec.gov/alj/aljdec/2016/34-78487.pdf 3-16972 2016-08-05 Notice That Initial Decision Has Become Final Notice Cooper, Brett A. N/A 34-78488 https://www.sec.gov/alj/aljdec/2016/34-78488.pdf 3-17037 2016-08-05 Notice that Initial Decision has Become Final Notice Palmer, Wayne L. N/A 34-78489 https://www.sec.gov/alj/aljdec/2016/34-78489.pdf 3-16989 2016-08-05 Notice that Initial Decision has Become Final Notice Nevatia, Vinay Kumar N/A 34-78490 https://www.sec.gov/litigation/opinions/2016/34-78490.pdf 3-15168 2016-08-05 Corrected Opinion of the Commission Opinions Bennett, Darren M., CPA Aesoph, John J., CPA N/A AP-4031 https://www.sec.gov/alj/aljorders/2016/ap-4031.pdf 3-16509 2016-08-01 Order on Transcript Corrections Order Daspin, Edward M., a/k/a "Edward (ED) Michael" Agostini, Luigi Lux, Lawrence R. N/A AP-4032 https://www.sec.gov/alj/aljorders/2016/ap-4032.pdf 3-17049 2016-08-01 Order Order Rahfco Management Group, LLC N/A AP-4033 https://www.sec.gov/alj/aljorders/2016/ap-4033.pdf 3-17123 2016-08-01 Order Order Ceyoniq Ag (N/K/A Ceyoniq, Inc.) N/A AP-4034 https://www.sec.gov/alj/aljorders/2016/ap-4034.pdf 3-16229 3-16227 2016-08-02 Order Order Osborn, Gregory MIddlebury Securities, LLC N/A AP-4035 https://www.sec.gov/alj/aljorders/2016/ap-4035.pdf 3-15764 2016-08-02 Order Regarding Hearing Exhibits Order McDuff, Gary L. N/A AP-4036 https://www.sec.gov/alj/aljorders/2016/ap-4036.pdf 3-17342 2016-08-02 Postponement Order Order Dersovitz, Roni RD Legal Capital, LLC N/A AP-4037 https://www.sec.gov/alj/aljorders/2016/ap-4037.pdf 3-17070 2016-08-02 Notice as to Hearing Dates Notice Jones, Stephen 3C Advisors & Associates, Inc. Prolman, David N/A AP-4038 https://www.sec.gov/alj/aljorders/2016/ap-4038.pdf 3-17218 2016-08-02 Order Order Powell, Daniel Christian Stanley N/A AP-4039 https://www.sec.gov/alj/aljorders/2016/ap-4039.pdf 3-16463 2016-08-03 Order Granting Division's Motion for Leave to File Revised Default Motion Out of Time Order Lamm, Diane W. Circle One Wealth Management, LLC Aegis Capital, LLC Osunkwo, David I. Strategic Consulting Advisors, LLC N/A AP-4040 https://www.sec.gov/alj/aljorders/2016/ap-4040.pdf 3-16949 2016-08-03 Notice Notice Shah, Sandip N/A AP-4041 https://www.sec.gov/alj/aljorders/2016/ap-4041.pdf 3-17350 2016-08-04 Order Postponing Hearing and Scheduling Prehearing Conference Order Capital and Services, Inc. Algorex Corporation NP Energy Corporation Canadian Piper Air Corp. N/A AP-4042 https://www.sec.gov/alj/aljorders/2016/ap-4042.pdf 3-17180 2016-08-04 Stay Order Order Berman & Company, P.A. Berman, Elliot R., CPA N/A AP-4043 https://www.sec.gov/alj/aljorders/2016/ap-4043.pdf 3-17365 2016-08-04 Order Scheduling Hearing and Designating Presiding Judge Order Alison. LLC Alison, Stephen D. N/A AP-4044 https://www.sec.gov/alj/aljorders/2016/ap-4044.pdf 3-17228 2016-08-04 Order Scheduling Oral Argument Order Hall, David S., CPA Cisneros, Susan A. Cochran, Michelle L. Helterbran, CPA David S. Hall, P.C. d/b/a The Hall Group CPAs N/A AP-4045 https://www.sec.gov/alj/aljorders/2016/ap-4045.pdf 3-17351 2016-08-05 Order Postponing Hearing and Scheduling Prehearing Conference Order Great Basin Gold Limited N/A AP-4046 https://www.sec.gov/alj/aljorders/2016/ap-4046.pdf 3-16462 2016-08-05 Order Order Patriarch Partners XIV, LLC Tilton, Lynn Patriarch Partners XV, LLC Patriarch Partners, LLC Patriarch Partners VIII, LLC N/A AP-4047 https://www.sec.gov/alj/aljorders/2016/ap-4047.pdf 3-17353 2016-08-05 Order Postponing Hearing and Scheduling Prehearing Conference Order Digital Development Group Corp. Seville Ventures Corp. Scanner Technologies Corp. StarInvest Group, Inc. N/A AP-4048 https://www.sec.gov/alj/aljorders/2016/ap-4048.pdf 3-17070 2016-08-05 Order Scheduling Prehearing Conference Order 3C Advisors & Associates, Inc. Jones, Stephen Prolman, David N/A IA-4468 https://www.sec.gov/litigation/admin/2016/34-78457.pdf 34-78457 IC-32202 3-17365 2016-08-02 Order Instituting Administrative and Cease-and-Desist Proceedings, AP Litigated Alison, Stephen D. Alison, LLC N/A IA-4469 https://www.sec.gov/litigation/opinions/2016/ia-4469.pdf IC-32203 3-15157 2016-08-02 Order Denying Request to Vacate Bars Order Eisnaugle, Jeffry C. N/A IA-4470 https://www.sec.gov/litigation/opinions/2016/ia-4470.pdf 3-14552 2016-08-02 Order Denying Request to Vacate Bars Order Gowrish, Vinayak S. N/A IA-4471 https://www.sec.gov/litigation/opinions/2016/ia-4471.pdf 3-15263 2016-08-04 Order Granting Partial Stay and Denying Motion to Adduce Additional Evidence Order ZPR Investment Management, Inc. Zavanelli, Max E. N/A IC-32201 https://www.sec.gov/rules/ic/2016/ic-32201.pdf 812-14585 2016-08-02 Notice Notice Managed Portfolio Series and Port Street Investments, LLC http://www.federalregister.gov/citation/81-FR-52490 81-FR-52490 IC-32202 https://www.sec.gov/litigation/admin/2016/34-78457.pdf 34-78457 IA-4468 3-17365 2016-08-02 Order Instituting Administrative and Cease-and-Desist Proceedings, AP Litigated Alison, Stephen D. Alison, LLC N/A IC-32203 https://www.sec.gov/litigation/opinions/2016/ia-4469.pdf IA-4469 3-15157 2016-08-02 Order Denying Request to Vacate Bars Order Eisnaugle, Jeffry C. N/A IC-32204 https://www.sec.gov/rules/ic/2016/ic-32204.pdf 812-14643 2016-08-02 Notice Notice OSI ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-52485 81-FR-52485 IC-32205 https://www.sec.gov/litigation/opinions/2016/34-78468.pdf 34-78468 3-14324 2016-08-02 Order Denying Request to Vacate Bars Order Boppre, Brian W. N/A IC-32206 https://www.sec.gov/rules/ic/2016/ic-32206.pdf 812-14666 2016-08-03 Notice Notice American Independence Funds Trust, et al. http://www.federalregister.gov/citation/81-FR-52493 81-FR-52493 IC-32207 https://www.sec.gov/rules/ic/2016/ic-32207.pdf 812-14580 2016-08-03 Notice Notice Allianz Life Insurance Company of North America, et al. http://www.federalregister.gov/citation/81-FR-52939 81-FR-52939 IC-32208 https://www.sec.gov/rules/ic/2016/ic-32208.pdf 812-14661 2016-08-04 Notice Notice Trim Tabs ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-52925 81-FR-52925 ID-1043 https://www.sec.gov/alj/aljdec/2016/id1043bpm.pdf 3-17032 2016-08-04 Initial Decision on Default Initial Decision REON Holdings, Inc. N/A ID-1044 https://www.sec.gov/alj/aljdec/2016/id1044bpm.pdf 3-17035 2016-08-05 Initial Decision Initial Decision Desai, Shreyans N/A LR-23610 https://www.sec.gov/litigation/litreleases/2016/lr23610.htm 2:15-CV-06076 2016-08-04 Enforcement Case Momotok, Leonid N/A LR-23611 https://www.sec.gov/litigation/litreleases/2016/lr23611.htm 3-16-CV-01322 2016-08-04 Enforcement Case Kosinski, Edward, Dr. N/A LR-23612 https://www.sec.gov/litigation/litreleases/2016/lr23612.htm 15-CV-00191 2016-08-05 Enforcement Case Churchville, Patrick N/A