2016-11-29
114
15
2016-08-08
2016-08-12
Securities Act of 1933
33
10119
10119
Securities Exchange Act of 1934
34
78491
78569
Administrative Proceedings
AP
4049
4059
Investment Advisers Act of 1940
IA
4472
4482
Investment Company Act of 1940
IC
32209
32211
Initial Decisions (ALJ)
ID
1045
1045
Litigation Releases
LR
23613
23619
Accounting and Auditing Enforcement Release
AAER
3794
3794
33-10119
https://www.sec.gov/litigation/opinions/2016/33-10119.pdf
34-78532
IA-4476
IC-32210
3-15737
2016-08-10
Opinion
Opinion
Gonnella, Thomas C.
N/A
34-78491
https://www.sec.gov/litigation/admin/2016/34-78491.pdf
3-17242
2016-08-08
Notice that Initial Decision has Become Final
Notice
Rush Exploration, Inc.
Giant Resources, Inc.
N/A
34-78492
https://www.sec.gov/litigation/admin/2016/34-78492.pdf
3-17248
2016-08-08
Notice that Initial Decision has Become Final
Notice
Northcore Technologies, Inc.
Groveware Technologies, Ltd.
Luve Sports, Inc.
N/A
34-78493
https://www.sec.gov/litigation/admin/2016/34-78493.pdf
3-17259
2016-08-08
Notice That Initial Decision Has Become Final
Notice
Hauge Technology, Inc.
Greenpower International Group Ltd.
N/A
34-78494
https://www.sec.gov/litigation/admin/2016/34-78494.pdf
3-17247
2016-08-08
Notice That Initial Decision Has Become Final
Notice
Li-ion Motors Corp.
N/A
34-78495
https://www.sec.gov/litigation/admin/2016/34-78495.pdf
3-17241
2016-08-08
Notice That Initial Decision Has Become Final
Notice
EQCO2, Inc.
N/A
34-78496
https://www.sec.gov/litigation/admin/2016/34-78496.pdf
3-17258
2016-08-08
Notice that Initial Decision has become Final
Notice
China Unistone
N/A
34-78497
https://www.sec.gov/rules/sro/nysearca/2016/34-78497.pdf
SR-NYSEARCA-2016-110
2016-08-08
Notice / Immediate Effectiveness Amending Section 3 of NYSE Arca Equities Rule 8 to Extend the Effectiveness of the Exchange Traded Product Incentive Program
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-53524
81-FR-53524
34-78498
https://www.sec.gov/rules/sro/nyse/2016/34-78498.pdf
SR-NYSE-2016-52
2016-08-08
Notice / Immediate Effectiveness to Amend Rule 19 to Specify in Exchange....
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-53531
81-FR-53531
34-78499
https://www.sec.gov/rules/sro/nysearca/2016/34-78499.pdf
SR-NYSEARCA-2016-106
2016-08-08
Notice / Immediate Effectiveness to Specify in Exchange Rules the Exchange's Use of Data Feeds from Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-53518
81-FR-53518
34-78500
https://www.sec.gov/rules/sro/nysemkt/2016/34-78500.pdf
SR-NYSEMKT-2016-72
2016-08-08
Notice / Immediate Effectiveness to Amend NYSE MKT Rule 19 - Equities to Specify in Exchange Rules the Exchange's Use of Data Feeds from Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-53521
81-FR-53521
34-78501
https://www.sec.gov/rules/sro/icc/2016/34-78501.pdf
SR-ICC-2016-007
2016-08-08
Order / to Revise the ICC End-of-Day Price Discovery Policies and Procedures
SRO Filing
ICE Clear Credit LLC
http://www.federalregister.gov/citation/81-FR-53530
81-FR-53530
34-78502
https://www.sec.gov/rules/sro/iex/2016/34-78502.pdf
SR-IEX-2016-10
2016-08-08
Notice / Immediate Effectiveness to Amend Rule 9.218 to Specify the List of Violations Eligible for Disposition Under IEX's Minor Rule Violation Plan
SRO Filing
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-53509
81-FR-53509
34-78503
https://www.sec.gov/rules/sro/chx/2016/34-78503.pdf
SR-CHX-2016-13
2016-08-08
Notice / Immediate Effectiveness to Update or Adopt Various Fees for Services...
SRO Filing
Chicago Stock Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-53519
81-FR-53519
34-78504
https://www.sec.gov/rules/sro/chx/2016/34-78504.pdf
SR-CHX-2016-14
2016-08-08
Notice / Immediate Effectiveness to Amend the Continuing Education Fees
SRO Filing
Chicago Stock Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-53523
81-FR-53523
34-78505
https://www.sec.gov/rules/sro/miax/2016/34-78505.pdf
SR-MIAX-2016-23
2016-08-08
Notice / Immediate Effectiveness to Amend Its Fee Schedule
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/81-FR-53527
81-FR-53527
34-78506
https://www.sec.gov/litigation/suspensions/2016/34-78506.pdf
500-1
2016-08-09
Trading Suspension
Trading Suspension
Guanwei Recycling Corp.
John D. Oil and Gas Company
Computer Graphics International Inc.
Legal Life Plans, Inc.
ThermoEnergy Corporation
Chang-On International, Inc.
Reunion Industries, Inc.
Powder River Coal Corp.
http://www.federalregister.gov/citation/81-FR-53174
81-FR-53174
34-78507
https://www.sec.gov/litigation/admin/2016/34-78507.pdf
3-17366
2016-08-09
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Chang-On International, Inc.
John D. Oil and Gas Company
Legal Life Plans, Inc.
Powder River Coal Corp.
Computer Graphics International Inc.
Capitol City Bancshares, Inc.
N/A
34-78508
https://www.sec.gov/rules/sro/c2/2016/34-78508.pdf
SR-C2-2016-016
2016-08-09
Notice / Immediate Effectiveness to Amend the Fees Schedule
SRO Filing
C2 Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-54144
81-FR-54144
34-78509
https://www.sec.gov/rules/sro/iex/2016/34-78509.pdf
SR-IEX-2016-08
2016-08-09
Notice / Immediate Effectiveness to Amend Rule 11.190(f) to Make Correcting and Clarifying Changes
SRO Filing
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-54140
81-FR-54140
34-78510
https://www.sec.gov/rules/sro/iex/2016/34-78510.pdf
SR-IEX-2016-11
2016-08-09
Notice / Immediate Effectiveness to Amend Rule 11.190(g) Related to Discretionary Peg Orders
SRO Filing
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-54166
81-FR-54166
34-78511
https://www.sec.gov/rules/sro/cboe/2016/34-78511.pdf
SR-CBOE-2016-049
2016-08-09
Notice / Designation of a Longer Period for Commission Action to List 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 t
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-54173
81-FR-54173
34-78512
https://www.sec.gov/rules/sro/nyse/2016/34-78512.pdf
SR-NYSE-2016-53
2016-08-09
Notice / Immediate Effectiveness Amending Rule 123D Relating to When a DMM may Reopen a Security Electronically
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-54149
81-FR-54149
34-78513
https://www.sec.gov/rules/sro/cboe/2016/34-78513.pdf
SR-CBOE-2016-058
2016-08-09
Notice / Immediate Effectiveness Relating to Rule 24.6
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-54137
81-FR-54137
34-78514
https://www.sec.gov/rules/sro/box/2016/34-78514.pdf
SR-BOX-2016-38
2016-08-09
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-54147
81-FR-54147
34-78515
https://www.sec.gov/litigation/admin/2016/34-78515.pdf
3-17367
2016-08-09
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Lobelsky, Terry Pickering
N/A
34-78516
https://www.sec.gov/litigation/admin/2016/34-78516.pdf
IA-4474
3-17369
2016-08-09
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Gray, David R., II
N/A
34-78517
https://www.sec.gov/rules/sro/batsbzx/2016/34-78517.pdf
SR-BATSBZX-2016-44
2016-08-09
Notice of Filing /Immediate Effectiveness Related to Fees for Use of the Exchange's Options Platform
SRO Filing
Bats BZX Echange, Inc.
http://www.federalregister.gov/citation/81-FR-54134
81-FR-54134
34-78518
https://www.sec.gov/litigation/admin/2016/34-78518.pdf
IA-4475
3-17370
2016-08-09
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Walter, Merle G.
N/A
34-78519
https://www.sec.gov/rules/sro/miax/2016/34-78519.pdf
SR-MIAX-2016-21
2016-08-09
Notice / Immediate Effectiveness to Amend Its Fee Schedule
SRO Filing
Miami International Securities Exchange, LLC
http://www.federalregister.gov/citation/81-FR-54162
81-FR-54162
34-78520
https://www.sec.gov/rules/sro/dtc/2016/34-78520.pdf
SR-DTC-2016-005
2016-08-09
Notice / Immediate Effectiveness Regarding the Implementation of Functionality to Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option to Cover of Protect Directly with Agent
SRO Filing
Depository Trust Company
34-78521
https://www.sec.gov/rules/sro/nysearca/2016/34-78521.pdf
SR-NYSEARCA-2016-108
2016-08-09
Notice / Immediate Effectiveness in the Permitted Size of a Basket Applicable to Shares of ETFS Physical Silver Shares Issued by the ETFS Silver Trust
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-54142
81-FR-54142
34-78522
https://www.sec.gov/rules/sro/batsedgx/2016/34-78522.pdf
SR-BATSEDGX-2016-40
2016-08-09
Notice / Immediate Effectiveness Related to Fees for Use of the Exchange's Options Platform
SRO Filing
Bats EDGX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-54152
81-FR-54152
34-78523
https://www.sec.gov/rules/sro/nysearca/2016/34-78523.pdf
SR-NYSEARCA-2016-107
2016-08-09
Notice / Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-54155
81-FR-54155
34-78525
https://www.sec.gov/rules/sro/nscc/2016/34-78525.pdf
SR-NSCC-2016-002
2016-08-09
Notice / Immediate Effectiveness to Add a Clearing Fund Maintenance Fee
SRO Filing
National Securities Clearing Corporation
http://www.federalregister.gov/citation/81-FR-54146
81-FR-54146
34-78526
https://www.sec.gov/rules/sro/occ/2016/34-78526.pdf
SR-OCC-2016-008
2016-08-10
Notice / Immediate Effectiveness to Revise The Options Clearing Corporation's Schedule of Fees
SRO Filing
Options Clearing Corporation
http://www.federalregister.gov/citation/81-FR-54632
81-FR-54632
34-78527
https://www.sec.gov/rules/sro/batsbzx/2016/34-78527.pdf
SR-BATSBZX-2016-47
2016-08-10
Notice / Immediate Effectiveness to Establish a Closing Contingency Procedure
SRO Filing
Bats BZX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-54628
81-FR-54628
34-78528
https://www.sec.gov/litigation/admin/2016/34-78528.pdf
3-17371
2016-08-10
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
BlueLinx Holdings, Inc.
N/A
34-78529
https://www.sec.gov/rules/sro/ficc/2016/34-78529.pdf
SR-FICC-2016-004
2016-08-10
Notice / Immediate Effectiveness to Add a Clearing Fund Maintenance Fee
SRO Filing
Fixed Income Clearing Corporation
http://www.federalregister.gov/citation/81-FR-54626
81-FR-54626
34-78530
https://www.sec.gov/rules/sro/dtc/2016/34-78530.pdf
SR-DTC-2016-006
2016-08-10
Notice / Immediate Effectiveness to Add a Participants Fund Maintenance Fee
SRO Filing
The Depository Trust Company
http://www.federalregister.gov/citation/81-FR-54639
81-FR-54639
34-78531
https://www.sec.gov/rules/sro/cboe/2016/34-78531.pdf
SR-CBOE-2016-046
2016-08-10
Order / to Expand the Nonstandard Expirations Pilot Program to Include Monday Expirations
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-54643
81-FR-54643
34-78532
https://www.sec.gov/litigation/opinions/2016/33-10119.pdf
33-10119
IA-4476
IC-32210
3-15737
2016-08-10
Opinion
Opinion
Gonnella, Thomas C.
N/A
34-78533
https://www.sec.gov/rules/sro/nasdaq/2016/34-78533.pdf
SR-NASDAQ-2016-086
2016-08-10
Order / as Modified by Amendment No. 1 Thereto, to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-54634
81-FR-54634
34-78534
https://www.sec.gov/rules/sro/cboe/2016/34-78534.pdf
SR-CBOE-2016-060
2016-08-10
Notice / Immediate Effectiveness to Amend the Fees Schedule
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-54631
81-FR-54631
34-78535
https://www.sec.gov/rules/sro/batsedgx/2016/34-78535.pdf
SR-BATSEDGX-2016-04
2016-08-10
Notice / Immediate Effectiveness Related to Fees
SRO Filing
Bats EDGX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-54640
81-FR-54640
34-78536
https://www.sec.gov/rules/sro/batsedga/2016/34-78536.pdf
SR-BATSEDGA-2016-18
2016-08-10
Notice / Immediate Effectiveness Related to Logical Port Fees
SRO Filing
Bats EDGA Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-54624
81-FR-54624
34-78537
https://www.sec.gov/litigation/admin/2016/34-78537.pdf
IA-4477
3-17372
2016-08-10
Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing
AP Litigated
Island Trader LLC
Nickles, Richard H.
N/A
34-78538
https://www.sec.gov/litigation/admin/2016/34-78538.pdf
3-17374
2016-08-10
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Dominion Minerals Corp.
Nexus Data Security Corp.
Foxwedge, Inc.
Juniper Acquisition Corporation
Harrington Resources, Inc.
N/A
34-78539
https://www.sec.gov/litigation/admin/2016/34-78539.pdf
3-17375
2016-08-10
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Basin Industries, Inc.
Ameralink, Inc.
Clinicorp, Inc. (n/k/a Trident Medical Concepts, Inc.)
Claire Coast Corporation
N/A
34-78540
https://www.sec.gov/litigation/admin/2016/34-78540.pdf
3-17376
2016-08-10
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Eastland Financial Corp.
Greater Asia Realty Holdings, Ltd.
Granite Cliffs, Incorporated
N/A
34-78541
https://www.sec.gov/litigation/admin/2016/34-78541.pdf
3-13847
2016-08-11
Second Order Directing Disbursement of Fair Fund
Order
Morgan Asset Management, Inc.
Morgan Keegan & Company, Inc.
Kelsoe, James C., Jr.
Weller, Joseph Thompson, CPA
N/A
34-78542
https://www.sec.gov/rules/sro/batsbyx/2016/34-78542.pdf
SR-BATSBYX-2016-20
2016-08-11
Notice / Immediate Effectiveness Related to Logical Port Fees
SRO Filing
Bats BYX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-54896
81-FR-54896
34-78543
https://www.sec.gov/rules/sro/batsbzx/2016/34-78543.pdf
SR-BATSBZX-2016-45
2016-08-11
Notice / Immediate Effectiveness Related to Logical Port Fees
SRO Filing
Bats BZX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-54904
81-FR-54904
34-78544
https://www.sec.gov/rules/sro/nysemkt/2016/34-78544.pdf
SR-NYSEMKT-2016-73
2016-08-11
Notice / Amending Rule 980NY(d) to Provide for the Rejection of Certain Electronic Complex Orders
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-54893
81-FR-54893
34-78545
https://www.sec.gov/rules/sro/nysearca/2016/34-78545.pdf
SR-NYSEARCA-2016-111
2016-08-11
Notice / Immediate Effectiveness to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Tier 1 and Cross Asset Tier 2 Fees and Credits for Orders Executed on the Exchange, and Eliminate the Routable Retail Order Tier
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-54891
81-FR-54891
34-78546
https://www.sec.gov/rules/sro/nysearca/2016/34-78546.pdf
SR-NYSEARCA-2016-109
2016-08-11
Notice / Amending Rule 6.91(b) to Provide for the Rejection of Certain Electronic Complex Orders
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-54867
81-FR-54867
34-78547
https://www.sec.gov/rules/sro/miax/2016/34-78547.pdf
SR-MIAX-2016-24
2016-08-11
Notice / Immediate Effectiveness to Amend Exchange Rule 517
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/81-FR-54911
81-FR-54911
34-78548
https://www.sec.gov/rules/sro/nysemkt/2016/34-78548.pdf
SR-NYSEMKT-2016-74
2016-08-11
Notice / Immediate Effectiveness to Modify the NYSE Amex Options Fee Schedule
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-54887
81-FR-54887
34-78549
https://www.sec.gov/rules/sro/finra/2016/34-78549.pdf
SR-FINRA-2016-029
2016-08-11
Notice / Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se Customers to File and Serve Pleadings and Documents Through the FINRA Office of
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/81-FR-54858
81-FR-54858
34-78550
https://www.sec.gov/rules/sro/iex/2016/34-78550.pdf
SR-IEX-2016-09
2016-08-11
Notice / Immediate Effectiveness Related to Transaction and Regulatory Fees
SRO Filing
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-54873
81-FR-54873
34-78551
https://www.sec.gov/litigation/admin/2016/34-78551.pdf
IA-4480
3-17378
2016-08-11
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Meyer, Ricky T.
N/A
34-78552
https://www.sec.gov/rules/sro/17d-2/2016/34-78552.pdf
4-618
2016-08-11
Notice / Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C
SRO Filing
Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2
http://www.federalregister.gov/citation/81-FR-54905
81-FR-54905
34-78553
https://www.sec.gov/rules/sro/finra/2016/34-78553.pdf
SR-FINRA-2016-030
2016-08-11
Notice / Amending Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions to Dismiss in Arbitration
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/81-FR-54888
81-FR-54888
34-78554
https://www.sec.gov/rules/sro/cboe/2016/34-78554.pdf
SR-CBOE-2016-059
2016-08-11
Notice / Immediate Effectiveness Relating to COPS
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-54870
81-FR-54870
34-78555
https://www.sec.gov/rules/sro/iex/2016/34-78555.pdf
SR-IEX-2016-12
2016-08-11
Notice / Immediate Effectiveness to Conform Rules 3.260(d) and 5.110(e) to Corresponding Rules of the Financial Industry Regulatory Authority
SRO Filing
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-54897
81-FR-54897
34-78556
https://www.sec.gov/rules/sro/nyse/2016/34-78556.pdf
SR-NYSE-2016-45
2016-08-11
Notice / Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-54877
81-FR-54877
34-78557
https://www.sec.gov/rules/sro/finra/2016/34-78557.pdf
SR-FINRA-2016-015
2016-08-11
Notice / Amendment No. 1 / Order Accelerating Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/81-FR-54901
81-FR-54901
34-78558
https://www.sec.gov/litigation/admin/2016/34-78558.pdf
AAER-3794
3-17379
2016-08-11
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order
AP Settled
Key Energy Services, Inc.
N/A
34-78559
https://www.sec.gov/litigation/admin/2016/34-78559.pdf
IA-4481
3-17380
2016-08-11
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Wilshinsky, Stephen
N/A
34-78560
https://www.sec.gov/litigation/suspensions/2016/34-78560.pdf
500-1
2016-08-12
Trading Suspension
Trading Suspension
Dynamic Ventures Corp.
Safecode Drug Technologies Corp.
http://www.federalregister.gov/citation/81-FR-54631
81-FR-54631
34-78561
https://www.sec.gov/litigation/admin/2016/34-78561.pdf
3-17381
2016-08-12
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Safecode Drug Technologies Corp.
N/A
34-78562
https://www.sec.gov/litigation/admin/2016/34-78562.pdf
3-17382
2016-08-12
Order Instituting Proceedings, Making Findings, and Revoking Registration
AP Settled
Triumph Ventures Corp.
N/A
34-78563
https://www.sec.gov/litigation/admin/2016/34-78563.pdf
3-17383
2016-08-12
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
Dynamic Ventures Corp.
N/A
34-78564
https://www.sec.gov/rules/sro/nysearca/2016/34-78564.pdf
SR-NYSEARCA-2016-62
2016-08-12
Order / Instituting Proceedings to Determine Whether to Approve or Disapprove 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-55247
81-FR-55247
34-78565
https://www.sec.gov/rules/sro/box/2016/34-78565.pdf
SR-BOX-2016-40
2016-08-12
Notice / Immediate Effectiveness to Amend its Fee Schedule to Adopt a New Fee in Section V (Technology Fees) of the BOX Fee Schedule
SRO Filing
BOX Options Exchange LLC
http://www.federalregister.gov/citation/81-FR-55251
81-FR-55251
34-78566
https://www.sec.gov/rules/sro/icc/2016/34-78566.pdf
SR-ICC-2016-009
2016-08-12
Order / to Revise the ICC Treasury Operations Policies and Procedures
SRO Filing
ICE Clear Credit LLC
http://www.federalregister.gov/citation/81-FR-55254
81-FR-55254
34-78567
https://www.sec.gov/rules/sro/nasdaq/2016/34-78567.pdf
SR-NASDAQ-2016-115
2016-08-12
Notice / Immediate Effectiveness to Amend Nasdaq Rule 7018
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-55245
81-FR-55245
34-78568
https://www.sec.gov/litigation/opinions/2016/34-78568.pdf
3-16329
2016-08-12
Opinion
Opinion
Wedbush, Edward William
Wedbush Securities, Inc.
N/A
34-78569
https://www.sec.gov/litigation/admin/2016/34-78569.pdf
3-17384
2016-08-12
Order Instituting Administrative Proceedings, Making Findings, and Imposi
AP Settled
De Maison, Izak Zirk (f/k/a Izak Zirk Engelbrecht)
AP-4049
https://www.sec.gov/alj/aljorders/2016/ap-4049.pdf
3-17307
2016-08-08
Order to Show Cause
Order
Hyperion Acquisition Corp.
N/A
AP-4050
https://www.sec.gov/alj/aljorders/2016/ap-4050.pdf
3-17363
2016-08-08
Order Regarding the Scheduled Hearing
Order
Sand International, Inc.
N/A
AP-4051
https://www.sec.gov/alj/aljorders/2016/ap-4051.pdf
3-17351
2016-08-09
Order to Show Cause
Order
Great Basin Gold Limited
N/A
AP-4052
https://www.sec.gov/alj/aljorders/2016/ap-4052.pdf
3-17336
2016-08-09
Order to Show Cause
Order
Breitling Energy Corporation
N/A
AP-4053
https://www.sec.gov/alj/aljorders/2016/ap-4053.pdf
3-17070
2016-08-09
Order
Order
3C Advisors & Associates, Inc.
Jones, Stephen
Prolman, David
N/A
AP-4054
https://www.sec.gov/alj/aljorders/2016/ap-4054.pdf
3-17184
2016-08-10
Order Granting Joint Motion for Modification of Protective Order
Order
Gibson, Christopher M.
N/A
AP-4055
https://www.sec.gov/alj/aljorders/2016/ap-4055.pdf
3-17070
2016-08-10
Stay Order
Order
3C Advisors & Associates, Inc.
Prolman, David
Jones, Stephen
N/A
AP-4056
https://www.sec.gov/alj/aljorders/2016/ap-4056.pdf
3-17310
2016-08-10
Order to Show Cause
Order
Logic Devices, Incorporated
Elevate, Inc.
Frawley Corporation
Groen Brothers Aviation, Inc.
Caspian International Oil Corporation
N/A
AP-4057
https://www.sec.gov/alj/aljorders/2016/ap-4057.pdf
3-17366
2016-08-10
Order Scheduling Hearing and Designating Presiding Judge
Order
Powder River Coal Corp.
Capitol City Bancshares, Inc.
Computer Graphics International Inc.
Legal Life Plans, Inc.
Chang-On International, Inc.
John D. Oil and Gas Company
N/A
AP-4058
https://www.sec.gov/alj/aljorders/2016/ap-4058.pdf
3-17228
2016-08-12
Order Denying Motion for Summary Disposition of Michelle L. Helterbran Cochran, CPA
Order
David S. Hall, P.C. d/b/a The Hall Group CPAs
Cochran, Michelle L. Helterbran, CPA
Cisneros, Susan A.
Hall, David S., CPA
N/A
AP-4059
https://www.sec.gov/alj/aljorders/2016/ap-4059.pdf
3-17374
2016-08-12
Order Scheduling Hearing and Designating Presiding Judge
Order
Harrington Resources, Inc.
Dominion Minerals Corp.
Foxwedge, Inc.
Juniper Acquisition Corporation
Nexus Data Security Corp.
N/A
IA-4472
https://www.sec.gov/litigation/admin/2016/ia-4472.pdf
3-17289
2016-08-08
Order Making Findings and Imposing Remedial Sanctions
AP Settled
Gold, Alan H.
N/A
IA-4473
https://www.sec.gov/litigation/admin/2016/ia-4473.pdf
3-17368
2016-08-09
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Sawano, Perry S.
N/A
IA-4474
https://www.sec.gov/litigation/admin/2016/34-78516.pdf
34-78516
3-17369
2016-08-09
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Gray, David R., II
N/A
IA-4475
https://www.sec.gov/litigation/admin/2016/34-78518.pdf
34-78518
3-17370
2016-08-09
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Walter, Merle G.
N/A
IA-4476
https://www.sec.gov/litigation/opinions/2016/33-10119.pdf
33-10119
34-78532
IC-32210
3-15737
2016-08-10
Opinion
Opinion
Gonnella, Thomas C.
N/A
IA-4477
https://www.sec.gov/litigation/admin/2016/34-78537.pdf
34-78537
3-17372
2016-08-10
Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing
AP Litigated
Island Trader LLC
Nickles, Richard H.
N/A
IA-4478
https://www.sec.gov/litigation/admin/2016/ia-4478.pdf
3-17373
2016-08-10
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Hawkins, Brad H.
N/A
IA-4479
https://www.sec.gov/litigation/admin/2016/ia-4479.pdf
3-17377
2016-08-11
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
McKee, Randall W.
N/A
IA-4480
https://www.sec.gov/litigation/admin/2016/34-78551.pdf
34-78551
3-17378
2016-08-11
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Meyer, Ricky T.
N/A
IA-4481
https://www.sec.gov/litigation/admin/2016/34-78559.pdf
34-78559
3-17380
2016-08-11
Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions
AP Settled
Wilshinsky, Stephen
N/A
IA-4482
https://www.sec.gov/litigation/opinions/2016/ia-4482.pdf
IC-32211
3-16590
2016-08-12
Order Dismissing Untimely Petition for Review
Order
Ourand, Brian J.
N/A
IC-32209
https://www.sec.gov/rules/ic/2016/ic-32209.pdf
812-14497
2016-08-08
Notice
Notice
Blackrock Funds, et al.
http://www.federalregister.gov/citation/81-FR-53512
81-FR-53512
IC-32210
https://www.sec.gov/litigation/opinions/2016/33-10119.pdf
33-10119
34-78532
IA-4476
3-15737
2016-08-10
Opinion
Opinion
Gonnella, Thomas C.
N/A
IC-32211
https://www.sec.gov/litigation/opinions/2016/ia-4482.pdf
IA-4482
3-16590
2016-08-12
Order Dismissing Untimely Petition for Review
Order
Ourand, Brian J.
N/A
ID-1045
https://www.sec.gov/alj/aljdec/2016/id1045jsp.pdf
3-17327
2016-08-12
Initial Decision of Default
Initial Decision
Neptune Acquisiton Corp.
Segway IV Corp.
Easy Health Technologies Ltd.
N/A
LR-23613
https://www.sec.gov/litigation/litreleases/2016/lr23613.htm
2:16-CV:4291
2016-08-08
Enforcement Case
Kirk, John P.
Global Transition Solutions, Inc.
Kirk, Paul G.
Global Transition Solutions, LLC
Place, John T.
N/A
LR-23614
https://www.sec.gov/litigation/litreleases/2016/lr23614.htm
16-CV-6326
2016-08-10
Enforcement Case
Pan Asia China Commerce Corp. Inc. ("PAC-3")
Ruh, Edwin, Jr.
N/A
LR-23615
https://www.sec.gov/litigation/litreleases/2016/lr23615.htm
4-1315-CV-338
2016-08-10
Enforcement Case
Weber, John
Sethi, Praveen
Sethi, Sameer
N/A
LR-23616
https://www.sec.gov/litigation/litreleases/2016/lr23616.htm
3-16-CV-667
2016-08-10
Enforcement Case
Cavalier Union Investments LLC
Vaughn, Sherman C., Jr.
Robertson, Merrill, Jr.
N/A
LR-23617
https://www.sec.gov/litigation/litreleases/2016/lr23617.htm
3-13-2575-JMC
2016-08-10
Enforcement Case
Staples, Benjamin Sydney
N/A
LR-23618
https://www.sec.gov/litigation/litreleases/2016/lr23618.htm
16-CV-81413
2016-08-12
Enforcement Case
Sullivan, Richard J.
Loppert, David A.
Global Digital Solutions, Inc.
N/A
LR-23619
https://www.sec.gov/litigation/litreleases/2016/lr23619.htm
3-16-CV-02017-JAH-MDD
2016-08-12
Enforcement Case
Rampoldi, Paul T.
Blythe, William Scott, III
N/A
AAER-3794
https://www.sec.gov/litigation/admin/2016/34-78558.pdf
34-78558
3-17379
2016-08-11
AP Settled
Key Energy Services, Inc.
N/A