Order Granting Petition for Review and Scheduling Briefs

2016-12-15 114 17 2016-08-22 2016-08-26 Securities Act of 1933 33 10126 10199 Securities Exchange Act of 1934 34 78622 78708 Administrative Proceedings AP 4076 4098 Investment Advisers Act of 1940 IA 4491 4514 Investment Company Act of 1940 IC 32222 32240 Initial Decisions (ALJ) ID 1048 1052 Litigation Releases LR 23622 23629 Accounting and Auditing Enforcement Release AAER 3796 3796 33-10126 https://www.sec.gov/litigation/opinions/2016/33-10126.pdf 34-78637 IA-4491 IC-32222 3-16801 2016-08-22 Order Granting Petition for Review and Scheduling Briefs Orders Bennett Group Financial Services, LLC Bennett, Dawn J. N/A 33-10127 https://www.sec.gov/rules/proposed/2016/33-10127.pdf 34-78652 S7-10-16 2016-08-23 Proposed Rule/Extension of comment period Ext. of Comment Period Extension of Comment Period for Modernization of Property Disclosures http://www.federalregister.gov/citation/81-FR-58877 81-FR-58877 33-10128 https://www.sec.gov/litigation/admin/2016/33-10128.pdf 3-17421 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Alameda, California N/A 33-10129 https://www.sec.gov/litigation/admin/2016/33-10129.pdf 3-17422 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ascension Health Alliance N/A 33-10130 https://www.sec.gov/litigation/admin/2016/33-10130.pdf 3-17423 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Black Jack Fire Protection District of St. Louis Country, Missouri N/A 33-10131 https://www.sec.gov/litigation/admin/2016/33-10131.pdf 3-17424 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Blair Oaks R-II School District, Missouri N/A 33-10132 https://www.sec.gov/litigation/admin/2016/33-10132.pdf 3-17425 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Board of Education of Madison County, Alabama N/A 33-10133 https://www.sec.gov/litigation/admin/2016/33-10133.pdf 3-17426 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Board of Trustees of Arkansas Tech University N/A 33-10134 https://www.sec.gov/litigation/admin/2016/33-10134.pdf 3-17427 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Borough of Roselle Park in the County of Union, New Jersey N/A 33-10135 https://www.sec.gov/litigation/admin/2016/33-10135.pdf 3-17428 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Boulder County, Colorado N/A 33-10136 https://www.sec.gov/litigation/admin/2016/33-10136.pdf 3-17429 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Carilion Clinic N/A 33-10137 https://www.sec.gov/litigation/admin/2016/33-10137.pdf 3-17430 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Casella Waste Systems, Inc. N/A 33-10138 https://www.sec.gov/litigation/admin/2016/33-10138.pdf 3-17431 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Alliance, Nebraska N/A 33-10139 https://www.sec.gov/litigation/admin/2016/33-10139.pdf 3-17432 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Andover, Kansas N/A 33-10140 https://www.sec.gov/litigation/admin/2016/33-10140.pdf 3-17433 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Bainbridge Island, Washington N/A 33-10141 https://www.sec.gov/litigation/admin/2016/33-10141.pdf 3-17434 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Cedar Rapids, Iowa N/A 33-10142 https://www.sec.gov/litigation/admin/2016/33-10142.pdf 3-17435 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Chelsea, Massachusetts N/A 33-10143 https://www.sec.gov/litigation/admin/2016/33-10143.pdf 3-17436 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Columbia, South Carolina N/A 33-10144 https://www.sec.gov/litigation/admin/2016/33-10144.pdf 3-17437 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Devils Lake, North Dakota N/A 33-10145 https://www.sec.gov/litigation/admin/2016/33-10145.pdf 3-17438 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Gary, Indiana N/A 33-10146 https://www.sec.gov/litigation/admin/2016/33-10146.pdf 3-17439 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Ithaca, New York N/A 33-10147 https://www.sec.gov/litigation/admin/2016/33-10147.pdf 3-17440 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Memphis, Tennessee N/A 33-10148 https://www.sec.gov/litigation/admin/2016/33-10148.pdf 3-17441 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Nichols Hills, Oklahoma N/A 33-10149 https://www.sec.gov/litigation/admin/2016/33-10149.pdf 3-17442 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Oconomowoc, Wisconsin N/A 33-10150 https://www.sec.gov/litigation/admin/2016/33-10150.pdf 3-17443 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of South Bend, Indiana N/A 33-10151 https://www.sec.gov/litigation/admin/2016/33-10151.pdf 3-17444 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Vestavia Hills, Alabama N/A 33-10152 https://www.sec.gov/litigation/admin/2016/33-10152.pdf 3-17445 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of West Des Moines, Iowa N/A 33-10153 https://www.sec.gov/litigation/admin/2016/33-10153.pdf 3-17446 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Collegium Charter School N/A 33-10154 https://www.sec.gov/litigation/admin/2016/33-10154.pdf 3-17447 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Colorado Department of the Treasury and State Treasurer (Dept. of Transpor) N/A 33-10155 https://www.sec.gov/litigation/admin/2016/33-10155.pdf 3-17448 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Community Unit School District Number 18 (Blue Ridge) N/A 33-10156 https://www.sec.gov/litigation/admin/2016/33-10156.pdf 3-17449 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled County of Adams, Pennsylvania N/A 33-10157 https://www.sec.gov/litigation/admin/2016/33-10157.pdf 3-17450 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled County of Berrien, Michigan N/A 33-10158 https://www.sec.gov/litigation/admin/2016/33-10158.pdf 3-17451 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled County of Franklin, New York N/A 33-10159 https://www.sec.gov/litigation/admin/2016/33-10159.pdf 3-17452 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Delaware Transportation Authority N/A 33-10160 https://www.sec.gov/litigation/admin/2016/33-10160.pdf 3-17453 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled East Ouachita Parish School District of the Parish of Ouachita, LA N/A 33-10161 https://www.sec.gov/litigation/admin/2016/33-10161.pdf 3-17454 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled El Castillo Retirement Residences N/A 33-10162 https://www.sec.gov/litigation/admin/2016/33-10162.pdf 3-17455 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Electric and Water Plant Board of the City of Frankfort, Kentucky N/A 33-10163 https://www.sec.gov/litigation/admin/2016/33-10163.pdf 3-17456 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Fulton County, Georgia N/A 33-10164 https://www.sec.gov/litigation/admin/2016/33-10164.pdf 3-17458 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Heber Light & Power Company, Utah N/A 33-10165 https://www.sec.gov/litigation/admin/2016/33-10165.pdf 3-17457 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hazleton Area School District N/A 33-10166 https://www.sec.gov/litigation/admin/2016/33-10166.pdf 3-17459 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Idaho Housing and Finance Association N/A 33-10167 https://www.sec.gov/litigation/admin/2016/33-10167.pdf 3-17460 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Kentucky Housing Corporation N/A 33-10168 https://www.sec.gov/litigation/admin/2016/33-10168.pdf 3-17461 2016-08-24 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lauderdale County, Mississippi N/A 33-10169 https://www.sec.gov/litigation/admin/2016/33-10169.pdf 3-17462 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lawrence & Memorial Corp. Lawrence & Memorial Hospital, Inc. N/A 33-10170 https://www.sec.gov/litigation/admin/2016/33-10170.pdf 3-17463 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Metropolitan Airport Authority of Peoria, Peoria County, Illinois N/A 33-10171 https://www.sec.gov/litigation/admin/2016/33-10171.pdf 3-17465 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Montgomery College Foundation, Inc. N/A 33-10172 https://www.sec.gov/litigation/admin/2016/33-10172.pdf 3-17464 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Montgomery College N/A 33-10173 https://www.sec.gov/litigation/admin/2016/33-10173.pdf 3-17466 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled North Carolina Eastern Municipal Power Agency N/A 33-10174 https://www.sec.gov/litigation/admin/2016/33-10174.pdf 3-17467 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled North Slope Borough, Alaska N/A 33-10175 https://www.sec.gov/litigation/admin/2016/33-10175.pdf 3-17468 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Oklahoma Housing Finance Agency N/A 33-10176 https://www.sec.gov/litigation/admin/2016/33-10176.pdf 3-17469 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Palatine Park District, Cook County, Illinois N/A 33-10177 https://www.sec.gov/litigation/admin/2016/33-10177.pdf 3-17470 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Pecos County, Texas N/A 33-10178 https://www.sec.gov/litigation/admin/2016/33-10178.pdf 3-17471 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Public Utility District No. 1 of Whatcom County, Washington N/A 33-10179 https://www.sec.gov/litigation/admin/2016/33-10179.pdf 3-17473 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Sanitary District of the City of Gary, Indiana N/A 33-10180 https://www.sec.gov/litigation/admin/2016/33-10180.pdf 3-17473 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Southern New Hampshire University N/A 33-10181 https://www.sec.gov/litigation/admin/2016/33-10181.pdf 3-17475 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled State of Hawaii N/A 33-10182 https://www.sec.gov/litigation/admin/2016/33-10182.pdf 3-17476 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled State of Minnesota N/A 33-10183 https://www.sec.gov/litigation/admin/2016/33-10183.pdf 3-17476 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled State of Montana Department of Transportation N/A 33-10184 https://www.sec.gov/litigation/admin/2016/33-10184.pdf 3-17477 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Syracuse University N/A 33-10185 https://www.sec.gov/litigation/admin/2016/33-10185.pdf 3-17478 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Tea Area School District 41-5, South Dakota N/A 33-10186 https://www.sec.gov/litigation/admin/2016/33-10186.pdf 3-17479 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled County Commission of Ohio County, West Virginia N/A 33-10187 https://www.sec.gov/litigation/admin/2016/33-10187.pdf 3-17480 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Municipal Authority of the City of McKeesport N/A 33-10188 https://www.sec.gov/litigation/admin/2016/33-10188.pdf 3-17481 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ohio State University (The) N/A 33-10189 https://www.sec.gov/litigation/admin/2016/33-10189.pdf 3-17482 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Thompson School District No. R2-J N/A 33-10190 https://www.sec.gov/litigation/admin/2016/33-10190.pdf 3-17483 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Town of Fairfield, Connecticut N/A 33-10191 https://www.sec.gov/litigation/admin/2016/33-10191.pdf 3-17484 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Town of Hilton Head Island, South Carolina N/A 33-10192 https://www.sec.gov/litigation/admin/2016/33-10192.pdf 3-17485 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Town of York, Maine N/A 33-10193 https://www.sec.gov/litigation/admin/2016/33-10193.pdf 3-17486 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Township of East Brunswick, New Jersey N/A 33-10194 https://www.sec.gov/litigation/admin/2016/33-10194.pdf 3-17487 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Unified School District No. 418, McPherson County, N/A 33-10195 https://www.sec.gov/litigation/admin/2016/33-10195.pdf 3-17488 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Westchester County Health Care Corporation N/A 33-10196 https://www.sec.gov/litigation/admin/2016/33-10196.pdf 3-17489 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Wyoming Community Development Authority N/A 33-10197 https://www.sec.gov/litigation/admin/2016/33-10197.pdf 3-17490 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Yukon Municipal Authority, Yukon, Oklahoma N/A 33-10198 https://www.sec.gov/rules/other/2016/33-10198.pdf 34-78687 S7-18-16 2016-08-25 Request for Comment Request for Comment 17 CFR Part 229 http://www.federalregister.gov/citation/81-FR-59927 81-FR-59927 33-10199 https://www.sec.gov/alj/aljdec/2016/33-10199.pdf 34-78705 IA-4514 IC-32240 3-15446 2016-08-26 Notice that Initial Decision has Become Final Notice Drennan, Douglas F. N/A 34-78622 https://www.sec.gov/rules/sro/msrb/2016/34-78622.pdf SR-MSRB-2016-11 2016-08-22 Notice / Immediate Effectiveness to Delay the Due Date for Certain Submissions Under Rule G-45 SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-58989 81-FR-58989 34-78623 https://www.sec.gov/litigation/admin/2016/34-78623.pdf 3-17407 2016-08-22 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Miller, John W.R. N/A 34-78624 https://www.sec.gov/litigation/admin/2016/34-78624.pdf 3-17408 2016-08-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Global Earth Energy, Inc. N/A 34-78625 https://www.sec.gov/litigation/admin/2016/34-78625.pdf 3-17344 2016-08-22 Order Extending Briefing Schedule Orders Hsu, Li-Lin N/A 34-78626 https://www.sec.gov/rules/sro/nasdaq/2016/34-78626.pdf SR-NASDAQ-2016-072 2016-08-22 Order/Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-58983 81-FR-58983 34-78627 https://www.sec.gov/rules/sro/nysearca/2016/34-78627.pdf SR-NYSEARCA-2016-67 2016-08-22 Order / Instituting Proceedings to/to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 3, to List and Trade Shares of of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-59002 81-FR-59002 34-78628 https://www.sec.gov/rules/sro/nysearca/2016/34-78628.pdf SR-NYSEARCA-2016-89 2016-08-22 Notice /To Add Certain Access and Connectivity Fees SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-59004 81-FR-59004 34-78629 https://www.sec.gov/rules/sro/nysemkt/2016/34-78629.pdf SR-NYSEMKT-2016-63 2016-08-22 Notice /Proposed Change Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-58992 81-FR-58992 34-78630 https://www.sec.gov/rules/sro/batsedgx/2016/34-78630.pdf SR-BATSEDGX-2016-46 2016-08-22 Notice / Immediate Effectiveness/to Rule 21.8, Order Display and Book Processing SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-59016 81-FR-59016 34-78631 https://www.sec.gov/rules/sro/batsbyx/2016/34-78631.pdf SR-BATSBYX-2016-21 2016-08-22 Notice / Immediate Effectiveness/to Amend Rule 11.22, Data Products, to Adopt a New Market Data Product known as BYX Summary Depth SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-59018 81-FR-59018 34-78632 https://www.sec.gov/rules/sro/batsbzx/2016/34-78632.pdf SR-BATSBZX-2016-50 2016-08-22 Notice / Immediate Effectiveness/to Amend Rule 11.22, Data Products, to Adopt a New Market Data Product known as BZX Summary Depth SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-59014 81-FR-59014 34-78633 https://www.sec.gov/rules/sro/nysearca/2016/34-78633.pdf SR-NYSEARCA-2016-114 2016-08-22 Notice/ Immediate Effectiveness Amending the Exchange's Schedule of Fees and Charges to Eliminate the Listing Fee in Connection with Exchange Listing of Certain Exchange Traded Products SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-59025 81-FR-59025 34-78634 https://www.sec.gov/rules/sro/nasdaq/2016/34-78634.pdf SR-NASDAQ-2016-113 2016-08-22 Notice / Immediate Effectiveness to Amend the Exchange's Options Pricing SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-59023 81-FR-59023 34-78635 https://www.sec.gov/rules/sro/batsedgx/2016/34-78635.pdf SR-BATSEDGX-2016-45 2016-08-22 Notice / Immediate Effectiveness/to Amend Rule 13.8, EDGX Book Feeds, to Adopt a New Market Data Product known as EDGX Summary Depth SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-58987 81-FR-58987 34-78636 https://www.sec.gov/rules/sro/batsedga/2016/34-78636.pdf SR-BATSEDGA-2016-19 2016-08-22 Notice / Immediate Effectiveness/to Amend Rule 13.8, EDGA Book Feeds, to Adopt a New Market Data Product known as EDGA Summary Depth SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-59020 81-FR-59020 34-78637 https://www.sec.gov/litigation/opinions/2016/33-10126.pdf 33-10126 IA-4491 IC-32222 3-16801 2016-08-22 Order Granting Petition for Review and Scheduling Briefs Orders Bennett Group Financial Services, LLC Bennett, Dawn J. N/A 34-78638 https://www.sec.gov/litigation/opinions/2016/34-78638.pdf 3-17202 2016-08-22 Order Dismissing Proceeding Orders Expleo Solutins, Inc. N/A 34-78639 https://www.sec.gov/litigation/admin/2016/34-78639.pdf 3-17393 2016-08-23 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Peterson, Curtis A. N/A 34-78640 https://www.sec.gov/rules/sro/batsbzx/2016/34-78640.pdf SR-BATSBZX-2016-26 2016-08-23 Notice / Designation of Longer Period for Commission Action/to BZX Rule 14.11(d) to Add the EURO STOXX 50¿ Volatility Futures to the Definition of Futures Reference Asset SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-59257 81-FR-59257 34-78641 https://www.sec.gov/rules/sro/nyse/2016/34-78641.pdf SR-NYSE-2016-44 2016-08-23 Notice / Designation of Longer Period for Commission Action/Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-59259 81-FR-59259 34-78642 https://www.sec.gov/rules/sro/nasdaq/2016/34-78642.pdf SR-NASDAQ-2016-071 2016-08-23 Order/ to List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-59253 81-FR-59253 34-78643 https://www.sec.gov/rules/sro/batsbzx/2016/34-78643.pdf SR-BATSBZX-2016-34 2016-08-23 Notice / Designation of Longer Period for Commission Action/to BZX Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-59253 81-FR-59253 34-78644 https://www.sec.gov/rules/sro/nysearca/2016/34-78644.pdf SR-NYSEARCA-2016-87 2016-08-23 Notice / Withdrawal /to List and Trade Shares of the First Trust Horizon Managed Volatility Domestic ETF and the First Trust Horizon Managed Volatility Developed International ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-59711 81-FR-59711 34-78645 https://www.sec.gov/litigation/admin/2016/34-78645.pdf 3-17410 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Eratostene, David Anthony N/A 34-78646 https://www.sec.gov/litigation/admin/2016/34-78646.pdf 3-17411 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Messina, Alan D. N/A 34-78647 https://www.sec.gov/litigation/admin/2016/34-78647.pdf 3-17412 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Schultz, Gary X. N/A 34-78648 https://www.sec.gov/litigation/admin/2016/34-78648.pdf 3-17413 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Stein, Chazon N/A 34-78649 https://www.sec.gov/litigation/admin/2016/34-78649.pdf 3-17414 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Calash, Michael J. N/A 34-78650 https://www.sec.gov/litigation/admin/2016/34-78650.pdf 3-17415 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Angeletti, Michael T. N/A 34-78651 https://www.sec.gov/litigation/admin/2016/34-78651.pdf 3-17416 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Borgo, Christopher J. N/A 34-78652 https://www.sec.gov/rules/proposed/2016/33-10127.pdf 33-10127 S7-10-16 2016-08-23 Proposed Rule/Extension of comment period Ext. of Comment Period Extension of Comment Period for Modernization of Property Disclosures http://www.federalregister.gov/citation/81-FR-58877 81-FR-58877 34-78653 https://www.sec.gov/rules/sro/batsbzx/2016/34-78653.pdf SR-BATSBZX-2016-30 2016-08-23 Notice / Designation of Longer Period for Commission Action/to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-59256 81-FR-59256 34-78654 https://www.sec.gov/rules/sro/nasdaq/2016/34-78654.pdf SR-NASDAQ-2016-117 2016-08-23 Notice / Immediate Effectiveness/Relating to the Elkhorn Commodity Rotation Strategy ETF of the Elkhorn ETF Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-59257 81-FR-59257 34-78655 https://www.sec.gov/litigation/admin/2016/34-78655.pdf 3-17417 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Kuber, Douglas N/A 34-78656 https://www.sec.gov/litigation/admin/2016/34-78656.pdf 3-17418 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ho, Thomas T.M. N/A 34-78657 https://www.sec.gov/litigation/admin/2016/34-78657.pdf 3-17419 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ivener, Mark A. Ivener & Fullmer, LLP N/A 34-78658 https://www.sec.gov/litigation/admin/2016/34-78658.pdf 3-17420 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lawler, Martin J. N/A 34-78659 https://www.sec.gov/litigation/admin/2016/34-78659.pdf 3-14594 2016-08-24 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice Credit Suisse Alternative Capital, LLC Credit Suisse Asset Management , LLC Bhatt, Samir H. N/A 34-78660 https://www.sec.gov/rules/sro/finra/2016/34-78660.pdf SR-FINRA-2016-034 2016-08-24 Notice / Immediate Effectiveness/to Extend the Effective Date of SR-FINRA-2016-028 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-59676 81-FR-59676 34-78661 https://www.sec.gov/rules/sro/nyse/2016/34-78661.pdf SR-NYSE-2016-57 2016-08-24 Notice / Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-59699 81-FR-59699 34-78662 https://www.sec.gov/rules/sro/nysearca/2016/34-78662.pdf SR-NYSEARCA-2016-119 2016-08-24 Notice / Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-58674 81-FR-58674 34-78663 https://www.sec.gov/rules/sro/nysemkt/2016/34-78663.pdf SR-NYSEMKT-2016-80 2016-08-24 Notice / Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-59696 81-FR-59696 34-78664 https://www.sec.gov/rules/sro/nyse/2016/34-78664.pdf SR-NYSE-2016-40 2016-08-24 Notice / Immediate Effectiveness/Amending the Text of Current Rule 8313; Amending Rules Relating to the Imposition of Temporary and Current Cease and Desist Orders to Correspond to Recent Amendments by FINRA; and Making Certain Technical and Conforming Changes to Rule 9310 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-59678 81-FR-59678 34-78665 https://www.sec.gov/rules/sro/phlx/2016/34-78665.pdf SR-PHLX-2016-85 2016-08-24 Notice / Immediate Effectiveness to Amend the Exchange's Connectivity Fees at Chapter VIII of the NASDAQ PHLX LLC Pricing Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-59693 81-FR-59693 34-78666 https://www.sec.gov/rules/sro/batsbzx/2016/34-78666.pdf SR-BATSBZX-2016-48 2016-08-24 Notice /to Rule 14.11(c)(4) to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-59700 81-FR-59700 34-78667 https://www.sec.gov/rules/sro/bx/2016/34-78667.pdf SR-PHLX-2016-58 SR-NASDAQ-2016-067 SR-BX-2016-037 2016-08-24 Notice / Amendment No./Order / Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Limit Order Protections SRO Filing NASDAQ BX, Inc.; Nasdaq Stock Market LLC; NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-59672 81-FR-59672 34-78668 https://www.sec.gov/rules/sro/box/2016/34-78668.pdf SR-BOX-2016-28 2016-08-24 Order/to Expand the Short Term Option Series Program to Allow Wednesday Expirations for SPY Options SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-59696 81-FR-59696 34-78669 https://www.sec.gov/litigation/opinions/2016/34-78669.pdf 3-17128 2016-08-24 Opinion/Opinion Opinions Parris, Christopher A. N/A 34-78670 https://www.sec.gov/rules/exorders/2016/34-78670.pdf NO FILE NUMBER 2016-08-24 Order Granting Conditional Exemption of Morningstar Credit Ratings, LLC Opinions Morningstar Credit Ratings, LLC N/A 34-78671 https://www.sec.gov/rules/other/2016/34-78671.pdf NO FILE NUMBER 2016-08-24 Order Granting Registration of Morningstar Credit Ratings, LLC for Two Additional Classes of Credit Ratings Orders Morningstar Credit Ratings, LLC N/A 34-78672 https://www.sec.gov/alj/aljdec/2016/34-78672.pdf 3-17003 2016-08-24 Notice That Initial Decision Has Become Final Orders Eichler, Peter J. Jr. N/A 34-78673 https://www.sec.gov/rules/sro/nysemkt/2016/34-78673.pdf SR-NYSEMKT-2016-79 2016-08-25 Notice / Immediate Effectiveness/Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-60038 81-FR-60038 34-78674 https://www.sec.gov/rules/sro/nysearca/2016/34-78674.pdf SR-NYSEARCA-2016-116 2016-08-25 Notice / Immediate Effectiveness Amending NYSE Arca Equities Rule 5.3(i)(3) to Amend the Requirements for the Dissemination of News in Compliance with the Exchange's Immediate Release Policy SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-60091 81-FR-60091 34-78675 https://www.sec.gov/rules/sro/occ/2016/34-78675.pdf SR-OCC-2016-009 2016-08-25 Notice / Concerning the Options Clearing Corporation's Escrow Deposit Program SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-60099 81-FR-60099 34-78676 https://www.sec.gov/rules/sro/nsx/2016/34-78676.pdf SR-NSX-2016-07 2016-08-25 Notice / Immediate Effectiveness/to Amend Rules Regarding Qualification, Registration and Continuing Education for Persons Associated with Equity Trading Permit Holders, to Add Definitions, Amend Definitions, and to Make Technical, Non-Substantive and Conforming Amendments to Rules. SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-60083 81-FR-60083 34-78677 https://www.sec.gov/rules/exorders/2016/34-78677.pdf SR-NYSEARCA-2013-107 2016-08-25 Order / In Connection with Exchange's Retail Liquidity Program Until December 31, 2016 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-60037 81-FR-60037 34-78678 https://www.sec.gov/rules/exorders/2016/34-78678.pdf SR-NYSEAMEX-2011-84 SR-NYSE-2011-55 2016-08-25 Order/Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges� Retail Liquidity Programs Until December 31, 2016 SRO Filing New York Stock Exchange LLC; NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-60031 81-FR-60031 34-78679 https://www.sec.gov/rules/sro/nyse/2016/34-78679.pdf SR-NYSE-2016-59 2016-08-25 Notice / Immediate Effectiveness/Amending Rule 13 to Eliminate Orders with a Sell �Plus� and Buy �Minus� Instruction and Retain Orders with a �Buy Minus Zero Plus� Instruction, and Make Conforming Changes to Rules 104, 107B, 123C and 1004 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-60080 81-FR-60080 34-78680 https://www.sec.gov/rules/sro/phlx/2016/34-78680.pdf SR-PHLX-2016-86 2016-08-25 Notice /to Delete or Amend Outdated Rule Language SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-60110 81-FR-60110 34-78681 https://www.sec.gov/rules/sro/miax/2016/34-78681.pdf SR-MIAX-2016-28 2016-08-25 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-60077 81-FR-60077 34-78682 https://www.sec.gov/litigation/admin/2016/34-78682.pdf 3-17505 2016-08-25 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Kuhn, Kieran T. N/A 34-78683 https://www.sec.gov/rules/sro/finra/2016/34-78683.pdf SR-FINRA-2015-056 2016-08-25 Order/to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish �Pay-To-Play� and Related Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-60051 81-FR-60051 34-78684 https://www.sec.gov/rules/sro/chx/2016/34-78684.pdf SR-CHX-2016-15 2016-08-25 Notice / Immediate Effectiveness/to Modify the Handling of Intermarket Sweep Orders SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-60034 81-FR-60034 34-78685 https://www.sec.gov/rules/sro/nysemkt/2016/34-78685.pdf SR-NYSEMKT-2016-77 2016-08-25 Notice / Immediate Effectiveness/Amending Rule 900.2NY(18A) SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-60108 81-FR-60108 34-78686 https://www.sec.gov/rules/sro/cboe/2016/34-78686.pdf SR-CBOE-2016-062 2016-08-25 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program to Allow Wednesday Expirations for SPY Options SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-60089 81-FR-60089 34-78687 https://www.sec.gov/rules/other/2016/33-10198.pdf 33-10198 S7-18-16 2016-08-25 Request for Comment Request for Comment 17 CFR Part 229 http://www.federalregister.gov/citation/81-FR-59927 81-FR-59927 34-78688 https://www.sec.gov/litigation/admin/2016/34-78688.pdf 3-17255 2016-08-26 Notice That Initial Decision Has Become Final Notice Bodisen Biotech, Inc. China Global Media, Inc. China Heli Resource Renewable, Inc. GFR Pharmaceuticals, Inc. N/A 34-78689 https://www.sec.gov/litigation/admin/2016/34-78689.pdf 3-17266 2016-08-26 Notice that Initial Decision has Become Final Notice China Vantagepoint Acquisition Co. Citizens Community Bancorp, Inc. Solis Pharma US, Inc. N/A 34-78690 https://www.sec.gov/litigation/admin/2016/34-78690.pdf 3-17256 2016-08-26 Notice that Initial Decision has Become Final Notice Jinzanghuang Tibet Pharmaceuticals, Inc. N/A 34-78691 https://www.sec.gov/litigation/suspensions/2016/34-78691.pdf 500-1 2016-08-26 Trading Suspension Trading Suspensions MarilynJean Interactive Inc. http://www.federalregister.gov/citation/81-FR-59674 81-FR-59674 34-78692 https://www.sec.gov/rules/sro/nysemkt/2016/34-78692.pdf SR-NYSEMKT-2016-81 2016-08-26 Notice / Immediate Effectiveness/Amending Rule 13 � Equities to Eliminate Orders with a Sell �Plus� and Buy �Minus� Instruction and Retain Orders with a �Buy Minus Zero Plus� Instruction, and Make Conforming Changes to Rules 104� Equities, 107B � Equities, 123C � Equities and 1004 � Equities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-60094 81-FR-60094 34-78693 https://www.sec.gov/rules/sro/phlx/2016/34-78693.pdf SR-PHLX-2016-89 2016-08-26 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-60074 81-FR-60074 34-78694 https://www.sec.gov/rules/sro/bx/2016/34-78694.pdf SR-BX-2016-047 2016-08-26 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-60049 81-FR-60049 34-78695 https://www.sec.gov/rules/sro/nasdaq/2016/34-78695.pdf SR-NASDAQ-2016-122 2016-08-26 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-60072 81-FR-60072 34-78696 https://www.sec.gov/rules/sro/batsedgx/2016/34-78696.pdf SR-BATSEDGX-2016-50 2016-08-26 Notice / Immediate Effectiveness/to Amend Rule 19.6, Series of Options Contracts Open for Trading, to Allow Wednesday Expirations for SPY Options SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-60070 81-FR-60070 34-78697 https://www.sec.gov/rules/sro/batsbzx/2016/34-78697.pdf SR-BATSBZX-2016-53 2016-08-26 Notice / Immediate Effectiveness/to Amend Rule 19.6, Series of Options Contracts Open for Trading, to Allow Wednesday Expirations for SPY Options SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-60097 81-FR-60097 34-78698 https://www.sec.gov/rules/sro/cboe/2016/34-78698.pdf SR-CBOE-2016-061 2016-08-26 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-60032 81-FR-60032 34-78699 https://www.sec.gov/litigation/admin/2016/34-78699.pdf 3-17507 2016-08-26 Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension AP Litigated Piterra, Joseph L. N/A 34-78700 https://www.sec.gov/rules/sro/nms/2016/34-78700.pdf S7-24-89 2016-08-26 Notice / Immediate Effectiveness/Joint Industry Plan Notice IEX (S7-24-89) http://www.federalregister.gov/citation/81-FR-60395 81-FR-60395 34-78701 https://www.sec.gov/rules/sro/nms/2016/34-78701.pdf SR-CTA/CQ-2016-01 2016-08-26 Notice / Immediate Effectiveness/Amendment No. 26 to the Second Restatement of the CTA Plan and Amendment No. 19 to the Restated CQ Plan to Add the Investors Exchange LLC as a Participant SRO Filing Consolidated Tape Association http://www.federalregister.gov/citation/81-FR-60394 81-FR-60394 34-78702 https://www.sec.gov/rules/sro/nms/2016/34-78702.pdf 4-657 2016-08-26 Notice / Immediate Effectiveness/to Implement a Tick Size Pilot Program to Add the Investors Exchange LLC as a Participant Notice IEX (4-657) http://www.federalregister.gov/citation/81-FR-60399 81-FR-60399 34-78703 https://www.sec.gov/rules/sro/nms/2016/34-78703.pdf 4-631 2016-08-26 Notice / Immediate Effectiveness/to Address Extraordinary Market Volatility to Add the Investors Exchange LLC as a Participant Notice IEX (4-631) http://www.federalregister.gov/citation/81-FR-60397 81-FR-60397 34-78704 https://www.sec.gov/rules/sro/nms/2016/34-78704.pdf 4-518 2016-08-26 Notice / Immediate Effectiveness/Establishing Procedures Under Rule 605 of Regulation NMS to Add the Investors Exchange LLC as a Participant Notice IEX (4-518) http://www.federalregister.gov/citation/81-FR-60398 81-FR-60398 34-78705 https://www.sec.gov/alj/aljdec/2016/33-10199.pdf 33-10199 IA-4514 IC-32240 3-15446 2016-08-26 Notice that Initial Decision has Become Final Notice Drennan, Douglas F. N/A 34-78706 https://www.sec.gov/alj/aljdec/2016/34-78706.pdf 3-17004 2016-08-26 Notice That Initial Decision Has Become Final Notice Sellers, Devin Barrera, Roland N/A 34-78707 https://www.sec.gov/litigation/admin/2016/34-78707.pdf 3-17508 2016-08-26 Order Instituting Administrative Proceedings and Imposing Temporary Suspension AP Litigated Casey, Michael Ralph N/A 34-78708 https://www.sec.gov/litigation/admin/2016/34-78708.pdf 3-17509 2016-08-26 Order of Forthwith Suspension Orders Casey, Michael Ralph N/A AP-4076 https://www.sec.gov/alj/aljorders/2016/ap-4076.pdf 3-17405 2016-08-22 Order Scheduling Hearing and Designating Presiding Judge Orders Bay City Transfer Agency and Registrar, Inc. Amersey, Nitin M. N/A AP-4077 https://www.sec.gov/alj/aljorders/2016/ap-4077.pdf 3-17319 2016-08-22 Order on Motion Orders Helen, Jan E. N/A AP-4078 https://www.sec.gov/alj/aljorders/2016/ap-4078.pdf 3-16937 2016-08-22 Order Denying Respondent's Motion to Correct Manifest Error Orders Murray, James Michael N/A AP-4079 https://www.sec.gov/alj/aljorders/2016/ap-4079.pdf 3-17184 2016-08-22 Order on Motion in Limine Orders Gibson, Christopher N/A AP-4080 https://www.sec.gov/alj/aljorders/2016/ap-4080.pdf 3-16509 2016-08-22 Order Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4081 https://www.sec.gov/alj/aljorders/2016/ap-4081.pdf 3-17376 2016-08-22 Order Postponing Hearing and Scheduling Prehearing Conference Orders Eastland Financial Corp. Granite Cliffs, Incorporated Greater Asia Realty Holdings, Ltd N/A AP-4082 https://www.sec.gov/alj/aljorders/2016/ap-4082.pdf 3-17408 2016-08-23 Order Scheduling Hearing and Designating Presiding Judge Orders Global Earth Energy, Inc. N/A AP-4083 https://www.sec.gov/alj/aljorders/2016/ap-4083.pdf 3-17374 2016-08-23 Order Postponing Hearing and Scheduling Prehearing Conference Orders Dominion Minerals Corp. foxwedge, Incx. Harrington Resources, Inc. Juniper Acquisition Corporation Nexus Data Security Corp. N/A AP-4084 https://www.sec.gov/alj/aljorders/2016/ap-4084.pdf 3-16509 2016-08-23 Order on Revisions to Record Index Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4085 https://www.sec.gov/alj/aljorders/2016/ap-4085.pdf 3-17157 2016-08-23 Stay Order Orders EquityStar Capital Management, LLC Zoernack, Steven N/A AP-4086 https://www.sec.gov/alj/aljorders/2016/ap-4086.pdf 3-17342 2016-08-23 Prehearing Order Orders RD Legal Capital, LLC Dersovitz, Roni N/A AP-4087 https://www.sec.gov/alj/aljorders/2016/ap-4087.pdf 3-17366 2016-08-23 Order Postponing Hearing Orders Breitling Energy Corporation N/A AP-4088 https://www.sec.gov/alj/aljorders/2016/ap-4088.pdf 3-17366 2016-08-23 Order Postponing Hearing Orders Capital City Bancshares, Inc. Change-On International, Inc. Computer Graphics International Inc. John D. Oil and Gas Company Legal Life Plans, Inc. Powder River Coal Corp. N/A AP-4089 https://www.sec.gov/alj/aljorders/2016/ap-4089.pdf 3-17184 2016-08-24 Order Following Second Prehearing Conference Orders Gibson, Christopher M. N/A AP-4090 https://www.sec.gov/alj/aljorders/2016/ap-4090.pdf 3-17228 2016-08-24 Order as to Hearing Time and Location Orders Hall, David S. CPA Helterbran, Michelle L. CPA Cisneros, Susan A. N/A AP-4091 https://www.sec.gov/alj/aljorders/2016/ap-4091.pdf 3-17104 2016-08-24 Stay Order Orders Bedwell, Robert P. CPA N/A AP-4092 https://www.sec.gov/alj/aljorders/2016/ap-4092.pdf 3-17352 2016-08-24 Order/Order Orders Saving2Retire, LLc N/A AP-4093 https://www.sec.gov/alj/aljorders/2016/ap-4093.pdf 3-17375 2016-08-25 Order Postponing Hearing and Scheduling Prehearing Conference Orders Ameralink, Inc. Basin Industries, Inc. Claire Coast Corporation Clinicorp, Inc. (n/k/a Trident Medical Concepts, Inc.) N/A AP-4094 https://www.sec.gov/alj/aljorders/2016/ap-4094.pdf 3-17387 2016-08-25 Order Postponing Hearing and Scheduling Prehearing Conference Orders Lathen, Donald F. ("Jay") JR. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4095 https://www.sec.gov/alj/aljorders/2016/ap-4095.pdf 3-17218 2016-08-26 Order Granting Motion to Amend the Order Instituting Proceedings Orders Powell, Daniel Christian Stanlley N/A AP-4096 https://www.sec.gov/alj/aljorders/2016/ap-4096.pdf 3-17180 2016-08-26 Order Granting Stay Orders Berman, Elliott R. CPA Berman & Company, P.A. N/A AP-4097 https://www.sec.gov/alj/aljorders/2016/ap-4097.pdf 3-17123 2016-08-26 Order Granting Motion for Reconsideration and Postponing Prehearing Conference Orders Ceyoniq AG (N/K/A Ceyoniq, Inc.) Market Data Consultants, Inc. Mentergy Ltd. (A/K/A Gilat Communications Ltd.) Mid-AM Systems, Inc. Nu Energy Inc. N/A AP-4098 https://www.sec.gov/alj/aljorders/2016/ap-4098.pdf 3-17352 2016-08-26 Scheduling Order Orders Saving2Retire, LLC Young, Marian P. N/A IA-4491 https://www.sec.gov/litigation/opinions/2016/33-10126.pdf 33-10126 34-78637 IC-32222 3-16801 2016-08-22 Order Granting Petition for Review and Scheduling Briefs Orders Bennett Group Financial Services, LLC Bennett, Dawn J. N/A IA-4492 https://www.sec.gov/litigation/opinions/2016/ia-4492.pdf IC-32223 3-15519 2016-08-22 Recommendation Regarding Disgorgement Orders Timbervest, LLC Shapiro, Joel Barth Boden, III, Walter William Anthony Jones, II, Gordon Zell, Jr., Donald David N/A IA-4493 https://www.sec.gov/litigation/admin/2016/ia-4493.pdf 3-17409 2016-08-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Apollo Management V, L.P. Apollo Management VI, L.P. Apollo Management VII, L.P. Apollo Commodities Management, L.P. N/A IA-4494 https://www.sec.gov/litigation/admin/2016/ia-4494.pdf 3-17491 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled WL Ross & Co. LLC N/A IA-4495 https://www.sec.gov/litigation/opinions/2016/ia-4495.pdf AAER-3796 IC-32236 3-16462 2016-08-24 Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLc N/A IA-4496 https://www.sec.gov/litigation/admin/2016/ia-4496.pdf 3-17492 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Shamrock Asset Management LLC N/A IA-4497 https://www.sec.gov/litigation/admin/2016/ia-4497.pdf 3-17493 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Schneider Downs Wealth Management Advisors, LP N/A IA-4498 https://www.sec.gov/litigation/admin/2016/ia-4498.pdf 3-17494 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Prospera Financial Services, Inc. N/A IA-4499 https://www.sec.gov/litigation/admin/2016/ia-4499.pdf 3-17495 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Banyan Partners, LLC N/A IA-4500 https://www.sec.gov/litigation/admin/2016/ia-4500.pdf 3-17496 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled HT Partners LLC N/A IA-4501 https://www.sec.gov/litigation/admin/2016/ia-4501.pdf 3-17497 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled Ladenburg Thalmann Asset Management Inc. N/A IA-4502 https://www.sec.gov/litigation/admin/2016/ia-4502.pdf 3-17498 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled J.J.B Hilliard, W.L. Lyons LLC N/A IA-4503 https://www.sec.gov/litigation/admin/2016/ia-4503.pdf 3-17499 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled Executive Monetary Management, LLC N/A IA-4504 https://www.sec.gov/litigation/admin/2016/ia-4504.pdf 3-17500 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled Risk Paradigm Group, LLC N/A IA-4505 https://www.sec.gov/litigation/admin/2016/ia-4505.pdf 3-17501 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Constellation Wealth Advisors LLC N/A IA-4506 https://www.sec.gov/litigation/admin/2016/ia-4506.pdf 3-17502 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled BB&T Securities, LLC N/A IA-4507 https://www.sec.gov/litigation/admin/2016/ia-4507.pdf 3-17503 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Congress Wealth Management LLC N/A IA-4508 https://www.sec.gov/litigation/admin/2016/ia-4508.pdf 3-17504 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled AssetMark, Inc. N/A IA-4509 https://www.sec.gov/rules/final/2016/ia-4509.pdf S7-09-15 2016-08-25 Final Rule Final Rule Form ADV and Investment Advisers Act Rules http://www.federalregister.gov/citation/81-FR-60418 81-FR-60418 IA-4510 2016-08-25 INTENTIONALLY OMITTED IA-4511 https://www.sec.gov/rules/other/2016/ia-4511.pdf S7-16-16 2016-08-25 of Order with respect to MSRB Rule G-37/Notice of Intent to Issue Orders Notice Political Contributions by Certain Investment Advisers: Ban FINRA Rule 2030 http://www.federalregister.gov/citation/81-FR-60651 81-FR-60651 IA-4512 https://www.sec.gov/rules/other/2016/ia-4512.pdf S7-16-17 2016-08-25 Notice of intent to issue order/with respect to MSRB Rule G-37 Notice Political Contributions by Certain Investment Advisers: Ban MSRB Rule G-37 http://www.federalregister.gov/citation/81-FR-60653 81-FR-60653 IA-4513 https://www.sec.gov/litigation/admin/2016/ia-4513.pdf IC-32238 3-17506 2016-08-25 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Orinda Asset Management, LLC N/A IA-4514 https://www.sec.gov/alj/aljdec/2016/33-10199.pdf 33-10199 34-78705 IC-32240 3-15446 2016-08-26 Notice that Initial Decision has Become Final Notice Drennan, Douglas F. N/A IC-32222 https://www.sec.gov/litigation/opinions/2016/33-10126.pdf 33-10126 34-78637 IA-4491 3-16801 2016-08-22 Order Granting Petition for Review and Scheduling Briefs Orders Bennett Group Financial Services, LLC Bennett, Dawn J. N/A IC-32223 https://www.sec.gov/litigation/opinions/2016/ia-4492.pdf IA-4492 3-15519 2016-08-22 Recommendation Regarding Disgorgement Orders Timbervest, LLC Shapiro, Joel Barth Boden, III, Walter William Anthony Jones, II, Gordon Zell, Jr., Donald David N/A IC-32224 https://www.sec.gov/rules/ic/2016/ic-32224.pdf 812-14635 2016-08-23 Order Orders Investment Managers Series Trust, et al. N/A IC-32225 https://www.sec.gov/rules/ic/2016/ic-32225.pdf 812-14650 2016-08-23 Order Orders CSat Investment Advisory, LP, et al. N/A IC-32226 https://www.sec.gov/rules/ic/2016/ic-32226.pdf 812-14575 2016-08-23 Order Orders Bain Capital Specialty Finance, Inc., et al. N/A IC-32227 https://www.sec.gov/rules/ic/2016/ic-32227.pdf 812-14589 2016-08-23 Order Orders New York Life Insurance and Annuity Corp., et al. N/A IC-32228 https://www.sec.gov/rules/icdereg/2016/ic-32228.pdf 811-04921 2016-08-24 Order Orders American Republic Variable Annuity Account N/A IC-32229 https://www.sec.gov/rules/icdereg/2016/ic-32229.pdf 811-06259 2016-08-24 Order Orders Stratus Fund, Inc. N/A IC-32230 https://www.sec.gov/rules/icdereg/2016/ic-32230.pdf 811-02319 2016-08-24 Order Orders Fort Dearborn Income Securities, Inc. N/A IC-32231 https://www.sec.gov/rules/icdereg/2016/ic-32231.pdf 811-22599 2016-08-24 Order Orders American Real Estate Income Fund N/A IC-32232 https://www.sec.gov/rules/icdereg/2016/ic-32232.pdf 811-01947 2016-08-24 Order Orders Capital Southwest Venture Corp. N/A IC-32233 https://www.sec.gov/rules/icdereg/2016/ic-32233.pdf 811-07696 2016-08-24 Order Orders Iowa Public Agency Investment Trust N/A IC-32234 https://www.sec.gov/rules/ic/2016/ic-32234.pdf 812-14529 2016-08-24 Notice Notice Calvert Social Investment Fund, et al. http://www.federalregister.gov/citation/81-FR-59688 81-FR-59688 IC-32235 https://www.sec.gov/rules/ic/2016/ic-32235.pdf 812-14678 2016-08-24 Notice Notice iShares Trust, et al. http://www.federalregister.gov/citation/81-FR-59710 81-FR-59710 IC-32236 https://www.sec.gov/litigation/opinions/2016/ia-4495.pdf AAER-3796 IA-4495 3-16462 2016-08-24 Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLc N/A IC-32237 https://www.sec.gov/rules/ic/2016/ic-32237.pdf 812-14666 2016-08-25 Order Orders American Independence Funds Trust N/A IC-32238 https://www.sec.gov/litigation/admin/2016/ia-4513.pdf IA-4513 3-17506 2016-08-25 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Orinda Asset Management, LLC N/A IC-32239 https://www.sec.gov/rules/icdereg/2016/ic-32239.pdf 811-04653 811-08993 811-04963 811-22580 811-22579 811-02946 2016-08-26 Notice Notice American Funds Tax-Exempt Series I Newmaark Risk-Managed Opportunistic Fund Berwyn Funds Paramount Institutional Access Fund Paramount Access Fund Dreyfus Municipal Money Market Fund, Inc. http://www.federalregister.gov/citation/81-FR-60396 81-FR-60396 IC-32240 https://www.sec.gov/alj/aljdec/2016/33-10199.pdf 33-10199 34-78705 IA-4514 3-15446 2016-08-26 Notice that Initial Decision has Become Final Notice Drennan, Douglas F. N/A ID-1048 https://www.sec.gov/alj/aljdec/2016/id1048bpm.pdf 3-17307 2016-08-22 Initial Decision of Default Initial Decision Galileo Petroleum Ltd. Hyperion Acquisition Corp. Satori Beverages International, Ltd. N/A ID-1049 https://www.sec.gov/alj/aljdec/2016/id1049cff.pdf 3-17310 2016-08-23 Initial Decision Making Findings and Revoking Registrations by Default Orders Caspian International Oil Corporation Elevate, Inc. Frawley Corporation Groen Brothers Aviation, Inc. Logic Devices, Incorporated N/A ID-1050 https://www.sec.gov/alj/aljdec/2016/id1050jsp.pdf 3-17351 2016-08-23 Initial Decision of Default Initial Decision Great Basin Gold Limited N/A ID-1051 https://www.sec.gov/alj/aljdec/2016/id1051jeg.pdf 3-16509 2016-08-23 Initial Decision Initial Decision Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A ID-1052 https://www.sec.gov/alj/aljdec/2016/id1052cff.pdf 3-17115 2016-08-23 Initial Decision Initial Decision Schooler, Louis V. N/A LR-23622 https://www.sec.gov/litigation/litreleases/2016/lr23622.htm 2016-08-22 Enforcement Case Michael Andre Jones N/A LR-23623 https://www.sec.gov/litigation/litreleases/2016/lr23623.htm 2:16-CV-02889-DCN 2016-08-22 Enforcement Case Ragsdale, John M. N/A LR-23624 https://www.sec.gov/litigation/litreleases/2016/lr23624.htm 1:14-CV-14099 2016-08-23 Enforcement Case Weed, Richard Flaherty, Coleman III Brazil, Thomas N/A LR-23625 https://www.sec.gov/litigation/litreleases/2016/lr23625.htm 15-CV-6380 2016-08-24 Enforcement Case Maillard, Cedric Canas N/A LR-23626 https://www.sec.gov/litigation/litreleases/2016/lr23626.htm 2016-08-24 Enforcement Case HSC Holdings, LLC Mandelbaum, Ilona A. Sage, Matthew H. Secured Income Reserve, Inc. Tamda Marketing, Inc. Zimmerman, David A. N/A LR-23627 https://www.sec.gov/litigation/litreleases/2016/lr23627.htm 1:16-MC-01827 (TFH 2016-08-25 Enforcement Case Panos, Edward F. Panos, Allison N/A LR-23628 https://www.sec.gov/litigation/litreleases/2016/lr23628.htm 2:16-CV-06427 2016-08-26 Enforcement Case Enviro Board Corporation Camp, Glenn Peiffer, William N/A LR-23629 2016-08-26 INTENTIONALLY OMITTED AAER-3796 https://www.sec.gov/litigation/opinions/2016/ia-4495.pdf IA-4495 IC-32236 3-16462 2016-08-24 Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLc N/A