Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates

2016-10-18 114 18 2016-08-29 2016-09-02 Securities Act of 1933 33 10200 10203 Securities Exchange Act of 1934 34 78709 78769 Accounting and Auditing Enforcement Release AAER 3797 3798 Administrative Proceedings AP 4099 4124 Investment Advisers Act of 1940 IA 4515 4521 Investment Company Act of 1940 IC 32241 32251 Litigation Releases LR 23630 23635 SIPA SIPA 178 178 33-10200 https://www.sec.gov/rules/other/2016/33-10200.pdf 34-78726 NO FILE NUMBER 2016-08-30 Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates Orders Fiscal Year 2017 Annual Adjustments to the Fee Rates http://www.federalregister.gov/citation/81-FR-61200 81-FR-61200 33-10201 https://www.sec.gov/rules/proposed/2016/33-10201.pdf 34-78737 S7-19-16 2016-08-31 Exhibit Hyperlinks and HTML Format/Proposed Rule Proposed Rule Exhibit Hyperlinks and HTML Format http://www.federalregister.gov/citation/81-FR-62689 81-FR-62689 33-10202 https://www.sec.gov/litigation/opinions/2016/33-10202.pdf 34-78739 IA-4519 IC-32250 3-15918 2016-08-31 Order Granting Partial Stay Orders Malouf, Dennis J. N/A 33-10203 https://www.sec.gov/rules/other/2016/33-10203.pdf 34-78769 IA-4521 IC-32251 S7-20-16 2016-09-02 Semiannual Regulatory Agenda Notice Semiannual Regulatory Agenda N/A 34-78709 https://www.sec.gov/litigation/admin/2016/34-78709.pdf 3-17374 2016-08-29 Order Making Findings and Revoking Registration AP Settled Dominion Minerals Corp. Foxwedge, Inc. Harrington Resources, Inc. Juniper Acquisition Corporation Nexus Data Security Corp. N/A 34-78710 https://www.sec.gov/rules/other/2016/34-78710.pdf 601-01 2016-08-29 Notice /to Modify an Existing Exemption from Clearing Agency Registration Notice Euroclear Bank SA/NV http://www.federalregister.gov/citation/81-FR-61271 81-FR-61271 34-78711 https://www.sec.gov/litigation/admin/2016/34-78711.pdf AAER-3797 3-17510 2016-08-29 Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Dulek, Thomas N/A 34-78712 https://www.sec.gov/rules/sro/nysearca/2016/34-78712.pdf SR-NYSEARCA-2016-70 2016-08-29 Order / Instituting Proceedings to/Regarding Use of Rule 144A Securities By the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-60759 81-FR-60759 34-78713 https://www.sec.gov/rules/sro/nasdaq/2016/34-78713.pdf SR-NASDAQ-2016-120 2016-08-29 Notice /to Adopt the Third Party Connectivity Service under Rules 7034(b) and 7051 SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-60768 81-FR-60768 34-78714 https://www.sec.gov/rules/sro/phlx/2016/34-78714.pdf SR-PHLX-2016-84 2016-08-29 Notice / Immediate Effectiveness/to Amend Rule 1042A, Exercise of Options Contracts and Options Floor Procedure Advice G-1, Index Option Exercise Advice Forms SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-60756 81-FR-60756 34-78715 https://www.sec.gov/rules/sro/ise/2016/34-78715.pdf SR-ISE-2016-18 2016-08-29 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-60765 81-FR-60765 34-78716 https://www.sec.gov/rules/final/2016/34-78716.pdf S7-15-15 2016-08-29 Access to Data Obtained by Security-Based Swap Data Repositories/Final Rule Final Rule 34 Act; Rule 13-n-4(b)(9)-(10); Rule 13n-4(d) http://www.federalregister.gov/citation/81-FR-60585 81-FR-60585 34-78717 https://www.sec.gov/litigation/admin/2016/34-78717.pdf IA-4515 3-17511 2016-08-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Watson, Pamella B. N/A 34-78718 https://www.sec.gov/rules/sro/occ-an/2016/34-78718.pdf SR-OCC-2016-801 2016-08-30 Notice / Withdrawal /Related to the Adoption of an Options Exchange Risk Control Standards Policy SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-61620 81-FR-61620 34-78719 https://www.sec.gov/rules/other/2016/34-78719.pdf 2016-16 2016-08-30 Order Determining Whistleblower Award Claim Orders Redacted N/A 34-78720 https://www.sec.gov/rules/sro/ficc/2016/34-78720.pdf SR-FICC-2016-003 2016-08-30 Notice / Designation of Longer Period for Commission Action to/to Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-61271 81-FR-61271 34-78721 https://www.sec.gov/rules/sro/nysemkt/2016/34-78721.pdf SR-NYSEMKT-2016-75 2016-08-30 Amending Rule 9217 to Add a Provision and Related Fines Addressing Trade-Through Violations/Notice / Immediate Effectiveness SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-61266 81-FR-61266 34-78722 https://www.sec.gov/litigation/admin/2016/34-78722.pdf 3-17513 2016-08-30 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Fairfield Minerals, Ltd. Metal Storm Limited N/A 34-78723 https://www.sec.gov/litigation/admin/2016/34-78723.pdf 3-17514 2016-08-30 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Ilio, Inc. Industrial Imaging Corporation JackRay Corporation N/A 34-78724 https://www.sec.gov/rules/sro/occ/2016/34-78724.pdf SR-OCC-2016-004 2016-08-30 Notice / Withdrawal /Related to the Adoption of an Options Exchange Risk Control Standards Policy SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-61269 81-FR-61269 34-78725 https://www.sec.gov/litigation/admin/2016/34-78725.pdf 3-17516 2016-08-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled deMaison, Angelique N/A 34-78726 https://www.sec.gov/rules/other/2016/33-10200.pdf 33-10200 NO FILE NUMBER 2016-08-30 Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates Orders Fiscal Year 2017 Annual Adjustments to the Fee Rates http://www.federalregister.gov/citation/81-FR-61200 81-FR-61200 34-78727 https://www.sec.gov/rules/sro/nysearca/2016/34-78727.pdf SR-NYSEARCA-2016-96 2016-08-30 Notice / Designation of Longer Period for Commission Action to/to Amend NYSE Arca Equities Rule 8.700 and to List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-61268 81-FR-61268 34-78728 https://www.sec.gov/rules/sro/nysearca/2016/34-78728.pdf SR-NYSEARCA-2016-63 2016-08-30 Order / Instituting Proceedings to/Relating to the Listing and Trading of Shares of BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-61260 81-FR-61260 34-78729 https://www.sec.gov/rules/sro/finra/2016/34-78729.pdf SR-FINRA-2016-033 2016-08-30 Amending Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration/Notice SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-61288 81-FR-61288 34-78730 https://www.sec.gov/litigation/admin/2016/34-78730.pdf AAER-3798 3-17517 2016-08-30 Order Instituting Cease and Desist Proceedings, Making Findings, and Imposing a Cease and Desist Order AP Settled AstraZeneca PLC N/A 34-78731 https://www.sec.gov/litigation/suspensions/2016/34-78731.pdf 500-1 2016-08-31 Trading Suspension Trading Suspensions Multi-Corp. International http://www.federalregister.gov/citation/81-FR-60767 81-FR-60767 34-78732 https://www.sec.gov/litigation/admin/2016/34-78732.pdf 3-17518 2016-08-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Multi-Coorp. International, Inc. Pan American Goldfields Ltd. Sky Harvest Energy Corp. N/A 34-78733 https://www.sec.gov/litigation/suspensions/2016/34-78733.pdf 500-1 2016-08-31 Trading Suspension Trading Suspensions Luxeyard, Inc. SuperDirectories, Inc. http://www.federalregister.gov/citation/81-FR-60764 81-FR-60764 34-78734 https://www.sec.gov/litigation/admin/2016/34-78734.pdf 3-17519 2016-08-31 Order Instituting Administrative Proceedings and Notice of Hearing Enforcement Case Grace Development, Inc. Luxeyard, Inc. SuperDirectories, Inc. N/A 34-78735 https://www.sec.gov/litigation/admin/2016/34-78735.pdf 3-17520 2016-08-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled RBC Capital Markets, LLC N/A 34-78736 https://www.sec.gov/litigation/admin/2016/34-78736.pdf IA-4518 3-17523 2016-08-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mata, Paul N/A 34-78737 https://www.sec.gov/rules/proposed/2016/33-10201.pdf 33-10201 S7-19-16 2016-08-31 Exhibit Hyperlinks and HTML Format/Proposed Rule Proposed Rule Exhibit Hyperlinks and HTML Format http://www.federalregister.gov/citation/81-FR-62689 81-FR-62689 34-78738 https://www.sec.gov/rules/sro/nasdaq/2016/34-78738.pdf SR-NASDAQ-2016-103 2016-08-31 Order/to List and Trade Exchange-Traded Managed Funds SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-62229 81-FR-62229 34-78739 https://www.sec.gov/litigation/opinions/2016/33-10202.pdf 33-10202 IA-4519 IC-32250 3-15918 2016-08-31 Order Granting Partial Stay Orders Malouf, Dennis J. N/A 34-78740 https://www.sec.gov/rules/sro/phlx/2016/34-78740.pdf SR-PHLX-2016-88 2016-08-31 Notice / Immediate Effectiveness/to Amend Prior Rule Change, SR-PHLX-2016-38 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-61722 81-FR-61722 34-78741 https://www.sec.gov/rules/sro/cboe/2016/34-78741.pdf SR-CBOE-2016-063 2016-08-31 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-61727 81-FR-61727 34-78742 https://www.sec.gov/rules/sro/nysemkt/2016/34-78742.pdf SR-NYSEMKT-2016-13 2016-08-31 to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System/Notice / Withdrawal SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-61730 81-FR-61730 34-78743 https://www.sec.gov/rules/sro/nysearca/2016/34-78743.pdf SR-NYSEARCA-2016-15 2016-08-31 Notice / Withdrawal /to Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-61724 81-FR-61724 34-78744 https://www.sec.gov/rules/sro/nysemkt/2016/34-78744.pdf SR-NYSEMKT-2016-48 2016-08-31 Notice / Designation of Longer Period for Commission Action/to Amend Certain Rules Relating to Flexible Exchange Options SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-61725 81-FR-61725 34-78745 https://www.sec.gov/rules/sro/batsedgx/2016/34-78745.pdf SR-BATSEDGX-2016-48 2016-09-01 Notice / Immediate Effectiveness/to Delay the Implementation of the Options Regulatory Fee SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/81-FR-62185 81-FR-62185 34-78746 https://www.sec.gov/rules/sro/batsbzx/2016/34-78746.pdf SR-BATSBZX-2016-52 2016-09-01 Notice / Immediate Effectiveness/to Delay the Implementation of Amendments to the Options Regulatory Fee SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-62225 81-FR-62225 34-78747 https://www.sec.gov/rules/sro/batsbyx/2016/34-78747.pdf SR-BATSBYX-2016-23 2016-09-01 Notice / Immediate Effectiveness/Related to Fees for Use of Bats BYX Exchange, Inc. SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62198 81-FR-62198 34-78748 https://www.sec.gov/rules/sro/batsedga/2016/34-78748.pdf SR-BATSEDGA-2016-20 2016-09-01 Notice / Immediate Effectiveness/Related to Fees SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62226 81-FR-62226 34-78749 https://www.sec.gov/rules/sro/nasdaq/2016/34-78749.pdf SR-NASDAQ-2016-121 2016-09-01 Notice /Related to the NASDAQ Options Market LLC's Pricing at Chapter XV, Section 2(6) SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-62212 81-FR-62212 34-78750 https://www.sec.gov/rules/sro/nysearca/2016/34-78750.pdf SR-NYSEARCA-2016-97 2016-09-01 Notice / Designation of Longer Period for Commission Action/Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-62233 81-FR-62233 34-78751 https://www.sec.gov/rules/sro/nysemkt/2016/34-78751.pdf SR-NYSEMKT-2016-82 2016-09-01 Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Amend the Date that Two Wireless Connections to Third Party Data Feeds are Expected to be Available/Notice / Immediate Effectiveness SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-62216 81-FR-62216 34-78752 https://www.sec.gov/rules/sro/nysearca/2016/34-78752.pdf SR-NYSEARCA-2016-122 2016-09-01 Amending the NYSE Arca Options Fee Schedule and, the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Amend the Date that Two Wireless Connections to Third Party Data Feeds are Expected to be Available/Notice / Immediate Effectiveness SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-62203 81-FR-62203 34-78753 https://www.sec.gov/rules/sro/nyse/2016/34-78753.pdf SR-NYSE-2016-61 2016-09-01 Amending the Exchange?s Price List to Amend the Date that Two Wireless Connections to Third Party Data Feeds are Expected to be Available/Notice / Immediate Effectiveness SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-62200 81-FR-62200 34-78754 https://www.sec.gov/litigation/admin/2016/34-78754.pdf 3-17524 2016-09-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Tahmazian, Jilbert N/A 34-78755 https://www.sec.gov/rules/sro/nysearca/2016/34-78755.pdf SR-NYSEARCA-2016-103 2016-09-01 Amending Rules 2.17(c) and 2.23(i) to Extend the Time Within Which OTP Holders and OTP Firms Must File a Uniform Termination Notice for Securities Industry Registration (?U5?)/Notice / Designation of Longer Period for Commission Action SRO Filing NYSE Arca Inc. http://www.federalregister.gov/citation/81-FR-62192 81-FR-62192 34-78756 https://www.sec.gov/litigation/admin/2016/34-78756.pdf 3-17525 2016-09-01 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Milligan, Robert D. N/A 34-78757 https://www.sec.gov/litigation/suspensions/2016/34-78757.pdf 500-1 2016-09-02 Trading Suspension Trading Suspensions Preston Royalty Corp. http://www.federalregister.gov/citation/81-FR-61721 81-FR-61721 34-78758 https://www.sec.gov/rules/sro/nysearca/2016/34-78758.pdf SR-NYSEARCA-2016-67 2016-09-02 Notice / Withdrawal /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-62198 81-FR-62198 34-78759 https://www.sec.gov/rules/sro/finra/2016/34-78759.pdf SR-FINRA-2016-024 2016-09-02 Order/to Create an Academic Corporate Bond TRACE Data Product SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-62222 81-FR-62222 34-78760 https://www.sec.gov/rules/sro/cboe/2016/34-78760.pdf SR-CBOE-2016-049 2016-09-02 Notice / Order Accelerating /as Modified by Amendment No. 1, to List and Trade Options that Overlie the FTSE Developed Europe Index and the FTSE Emerging Index and to Amend the Maintenance Listing Criteria Applicable to Certain Index Options SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-62208 81-FR-62208 34-78761 https://www.sec.gov/rules/sro/nsx/2016/34-78761.pdf SR-NSX-2016-04 2016-09-02 Notice / Immediate Effectiveness/to Amend Rule 11.18 to Address the Exchange?s Liability for System Failures; Amend Rule 2.11 to Provide for an Error Account Maintained by the Exchange?s Routing Broker; Adopt Rule 11.11(e) to Allow Cancellation of Orders When a System Failure Occurs; Amend Rule 1.5 to Reposition the Definition of a Trading Center; and Make Other Non-Substantive and Conforming Changes SRO Filing National Stock Exchange, Inc http://www.federalregister.gov/citation/81-FR-62187 81-FR-62187 34-78762 https://www.sec.gov/rules/sro/iceeu/2016/34-78762.pdf SR-ICEEU-2016-010 2016-09-02 Notice / Immediate Effectiveness/Relating to Certain Default Management Requirements under Applicable Law SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-62228 81-FR-62228 34-78763 https://www.sec.gov/rules/sro/batsedga/2016/34-78763.pdf SR-BATSEDGA-2016-15 2016-09-02 Notice / Order Accelerating /as Modified by Amendment No. 1, to Amend Exchange Rule 11.21 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62219 81-FR-62219 34-78764 https://www.sec.gov/litigation/opinions/2016/34-78764.pdf 3-16430 2016-09-02 Opinion Opinions Laccetti, Mark E. N/A 34-78765 https://www.sec.gov/rules/sro/batsbzx/2016/34-78765.pdf SR-BATSBZX-2016-29 2016-09-02 Notice / Order Accelerating /as Modified by Amendment No. 1, to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62195 81-FR-62195 34-78766 https://www.sec.gov/rules/sro/batsbyx/2016/34-78766.pdf SR-BATSBYX-2016-17 2016-09-02 Notice / Order Accelerating /as Modified by Amendment No. 1, to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62192 81-FR-62192 34-78767 https://www.sec.gov/rules/sro/batsedgx/2016/34-78767.pdf SR-BATSEDGX-2016-26 2016-09-02 Notice / Order Accelerating /as Modified by Amendment No. 1, to Amend Exchange Rule 11.22 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62205 81-FR-62205 34-78768 https://www.sec.gov/litigation/admin/2016/34-78768.pdf 3-17526 2016-09-02 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Scholander, William N/A 34-78769 https://www.sec.gov/rules/other/2016/33-10203.pdf 33-10203 IA-4521 IC-32251 S7-20-16 2016-09-02 Semiannual Regulatory Agenda Notice Semiannual Regulatory Agenda N/A AAER-3797 https://www.sec.gov/litigation/admin/2016/34-78711.pdf 34-78711 3-17510 2016-08-29 Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Dulek, Thomas N/A AAER-3798 https://www.sec.gov/litigation/admin/2016/34-78730.pdf 34-78730 3-17517 2016-08-30 Order Instituting Cease and Desist Proceedings, Making Findings, and Imposing a Cease and Desist Order AP Settled AstraZeneca PLC N/A AP-4099 https://www.sec.gov/alj/aljorders/2016/ap-4099.pdf 3-17398 2016-08-29 Order Postponing Hearing and Directing the Parties to Hold an Initial Prehearing Conference Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4100 https://www.sec.gov/alj/aljorders/2016/ap-4100.pdf 3-17366 2016-08-29 Order to Show Cause as to Three Respondents Orders Capital City Bancshares, Inc. Chang-on International, Inc. Computer Graphics International Inc. John D. Oil and Gas Company Legal Life Plans, Inc. Powder River Coal Corp. N/A AP-4101 https://www.sec.gov/alj/aljorders/2016/ap-4101.pdf 3-16229 3-16227 2016-08-30 Notice Orders Osborn, Gregory Middlebury Securities, LLC N/A AP-4102 https://www.sec.gov/alj/aljorders/2016/ap-4102.pdf 3-17104 2016-08-30 Order Regarding Respondents' Motion in Limine Orders St. John's, LLC Whelan, Andrew J. CPA Whelan, Kelly A. CPA Bedwell, Robert P. CPA Bioelectronics Corp. IBEX, LLC N/A AP-4103 https://www.sec.gov/alj/aljorders/2016/ap-4103.pdf 3-17228 2016-08-30 Order Changing Hearing Location Orders Hall, David S. CPA David S. Hall, P.C. d/b/a The Hall Group CPAs Helterbran Cochran, Michelle L. CPA Cisneros, Susan A. N/A AP-4104 https://www.sec.gov/alj/aljorders/2016/ap-4104.pdf 3-16462 2016-08-30 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4105 https://www.sec.gov/alj/aljorders/2016/ap-4105.pdf 3-17511 2016-08-30 Order Scheduling Hearing and Designating Presiding Judge Orders Watson, Pamella B. N/A AP-4106 https://www.sec.gov/alj/aljorders/2016/ap-4106.pdf 3-17395 2016-08-31 Postponement Order Orders Jones, Anthony Tyrone Jr. N/A AP-4107 https://www.sec.gov/alj/aljorders/2016/ap-4107.pdf 3-16509 2016-08-31 Order Orders Daspin, Edward M. Agostini, Luigi Lux, Lawerence R. N/A AP-4108 https://www.sec.gov/alj/aljorders/2016/ap-4108.pdf 3-17376 2016-08-31 Order to Show Cause Orders Eastland Financial Corp. Granite Cliffs, Incorporated Greater Asia Realty Holdings, Ltd N/A AP-4109 https://www.sec.gov/alj/aljorders/2016/ap-4109.pdf 3-17383 2016-08-31 Order Postponing Hearing and Scheduling Prehearing Conference Orders Dynamic Ventures Corp. N/A AP-4110 https://www.sec.gov/alj/aljorders/2016/ap-4110.pdf 3-17513 2016-09-01 Order Scheduling Hearing and Designating Presiding Judge Orders Fairfield Minerals, LTD Metal Storm Limited N/A AP-4111 https://www.sec.gov/alj/aljorders/2016/ap-4111.pdf 3-17514 2016-09-01 Order Scheduling Hearing and Designating Presiding Judge Orders ILIO, Inc. Industrial Imaging Corportation Jackray Corporation N/A AP-4112 https://www.sec.gov/alj/aljorders/2016/ap-4112.pdf 3-17518 2016-09-01 Order Scheduling Hearing and Designating Presiding Judge Orders Multi-Corp. International, Inc. Pan American Goldfields LTD Sky Harvest Energy Corp. N/A AP-4113 https://www.sec.gov/alj/aljorders/2016/ap-4113.pdf 3-17519 2016-09-01 Order Scheduling Hearing and Designating Presiding Judge Orders Grace Development, Inc. Luxeyard, Inc. Superdirectories, Inc. N/A AP-4114 https://www.sec.gov/alj/aljorders/2016/ap-4114.pdf 3-17393 2016-09-01 Order Scheduling Hearing and Designating Presiding Judge Orders Peterson, Curtis A. N/A AP-4115 https://www.sec.gov/alj/aljorders/2016/ap-4115.pdf 3-16229/ 3-16227 2016-09-01 Order Granting Motion for Extension Orders Osborn, Gregory Middlebury Securities, LLC N/A AP-4116 https://www.sec.gov/alj/aljorders/2016/ap-4116.pdf 3-16462 2016-09-01 Order Orders Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners VIII, XIV, LLC Patriarch Partners XV, LLC Tilton, Lynn N/A AP-4117 https://www.sec.gov/alj/aljorders/2016/ap-4117.pdf 3-15764 2016-09-01 Order Granting Motion for Extension of Time to File Responsive Post-Hearing Briefs Orders McDuff, Gary L. N/A AP-4118 https://www.sec.gov/alj/aljorders/2016/ap-4118.pdf 3-16462 2016-09-01 Order Denying Without Prejudice Respondent's Motion to Continue Trial Date and for Leave to File Amended Expert Reports Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4119 https://www.sec.gov/alj/aljorders/2016/ap-4119.pdf 3-17104 2016-09-02 Order Denying without Prejudice Respondents Motion to Continue Trial Date and for Leave to file Amended Expert Reports Orders BioElectronics Corp. Ibex, LLC St. John's, LLC Whelan, Andrew J. Whelan, Kelly A. Bedwell, Robert P. N/A AP-4120 https://www.sec.gov/alj/aljorders/2016/ap-4120.pdf 3-16509 2016-09-02 Order Scheduling Prehearing Conference Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4121 https://www.sec.gov/alj/aljorders/2016/ap-4121.pdf 3-17525 2016-09-02 Order Scheduling Hearing and Designating Presiding Judge Orders Milligan, Robert D. N/A AP-4122 https://www.sec.gov/alj/aljorders/2016/ap-4122.pdf 3-17228 2016-09-02 Order Scheduling Hearing and Designating Presiding Judge Orders Hall, David S. CPA David S. Hall, P.C. d/b/a The Hall Group CPAs Helterbran Cochran, Michelle L. CPA Cisneros, Susan A. N/A AP-4123 https://www.sec.gov/alj/aljorders/2016/ap-4123.pdf 3-17398 2016-09-02 Order Granting Extension of Time to File Answers Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4124 https://www.sec.gov/alj/aljorders/2016/ap-4124.pdf 3-16462 2016-09-02 Order Orders Tllton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A IA-4515 https://www.sec.gov/litigation/admin/2016/34-78717.pdf 34-78717 3-17511 2016-08-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Watson, Pamella B. N/A IA-4516 https://www.sec.gov/litigation/admin/2016/ia-4516.pdf 3-17521 2016-08-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Pincheira, Mario N/A IA-4517 https://www.sec.gov/litigation/admin/2016/ia-4517.pdf 3-17522 2016-08-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Kayatta, David N/A IA-4518 https://www.sec.gov/litigation/admin/2016/34-78736.pdf 34-78736 3-17523 2016-08-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mata, Paul N/A IA-4519 https://www.sec.gov/litigation/opinions/2016/33-10202.pdf 33-10202 34-78739 IC-32250 3-15918 2016-08-31 Order Granting Partial Stay Orders Malouf, Dennis J. N/A IA-4520 https://www.sec.gov/litigation/opinions/2016/ia-4520.pdf 3-16946 2016-09-02 Extension Order Orders Price, George Charles Cody N/A IA-4521 https://www.sec.gov/rules/other/2016/33-10203.pdf 33-10203 34-78769 IC-32251 S7-20-16 2016-09-02 Semiannual Regulatory Agenda Notice Semiannual Regulatory Agenda N/A IC-32241 https://www.sec.gov/rules/ic/2016/ic-32241.pdf 812-14630 2016-08-29 Notice of application Notice Starboard Investment Trust and Cavalier Investments, Inc. http://www.federalregister.gov/citation/81-FR-60758 81-FR-60758 IC-32242 https://www.sec.gov/rules/ic/2016/ic-32242.pdf 812-14580 2016-08-29 Order Orders Allianz Life Insurance Company of North America N/A IC-32243 https://www.sec.gov/rules/ic/2016/ic-32243.pdf 812-14657 2016-08-30 Notice Notice Rational Advisors, Inc. and Strategy Shares http://www.federalregister.gov/citation/81-FR-61269 81-FR-61269 IC-32244 https://www.sec.gov/rules/ic/2016/ic-32244.pdf 812-14661 2016-08-30 Order Orders Trimtabs ETF Trust N/A IC-32245 https://www.sec.gov/rules/ic/2016/ic-32245.pdf 812-14585 2016-08-30 Order Orders Managed Portfolio Series N/A IC-32246 https://www.sec.gov/rules/ic/2016/ic-32246.pdf 812-14571 2016-08-30 Notice Notice Voya ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-61265 81-FR-61265 IC-32247 https://www.sec.gov/rules/ic/2016/ic-32247.pdf 812-14643 2016-08-30 Order Orders OSI ETF Trust N/A IC-32248 https://www.sec.gov/rules/ic/2016/ic-32248.pdf 812-14572 2016-08-30 Notice Orders Voya ETF Trust et al. http://www.federalregister.gov/citation/81-FR-61723 81-FR-61723 IC-32249 https://www.sec.gov/rules/ic/2016/ic-32249.pdf 812-14658 2016-08-31 Notice Notice Regents Park Funds, LC et al. http://www.federalregister.gov/citation/81-FR-61726 81-FR-61726 IC-32250 https://www.sec.gov/litigation/opinions/2016/33-10202.pdf 33-10202 34-78739 IA-4519 3-15918 2016-08-31 Order Granting Partial Stay Orders Malouf, Dennis J. N/A IC-32251 https://www.sec.gov/rules/other/2016/33-10203.pdf 33-10203 34-78769 IA-4521 S7-20-16 2016-09-02 Semiannual Regulatory Agenda Notice Semiannual Regulatory Agenda N/A LR-23630 https://www.sec.gov/litigation/litreleases/2016/lr23630.htm 11-CIV-9202 2016-08-30 Enforcement Case Mudd, Daniel H. N/A LR-23631 https://www.sec.gov/litigation/litreleases/2016/lr23631.htm 16-CV-00192 2016-08-30 Enforcement Case Hamilton, Dennis Wayne N/A LR-23632 https://www.sec.gov/litigation/litreleases/2016/lr23632.htm 2016-09-01 Enforcement Case Amaral, Viviane Barbosa, Carlos Luis da Silveira Campos, Claudio de Oliveira Pereira Rodgrigues, Wesley Brandao Tanaka, Sergio Henrique Wings Network N/A LR-23633 https://www.sec.gov/litigation/litreleases/2016/lr23633.htm 2016-09-01 Enforcement Case Tahmazian, Jilbert N/A LR-23634 https://www.sec.gov/litigation/litreleases/2016/lr23634.htm 1-16CV-03298-SCJ 2016-09-01 Enforcement Case Watkins Pencor LLC Watkins, Donald V. P.C Masada Resource Group LLC N/A LR-23635 https://www.sec.gov/litigation/litreleases/2016/lr23635.htm 0:16-CV-1877 2016-09-01 Enforcement Case Buzaneli, Anthony N/A SIPA-178 https://www.sec.gov/rules/other/2016/sipa-178.pdf SIPC-2016-02 2016-08-30 Order/Relating to SIPC Fund Assessments on SIPC Members Orders Securities Investor Protection Corporation http://www.federalregister.gov/citation/81-FR-61263 81-FR-61263