Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

2016-11-15 114 19 2016-09-05 2016-09-09 Securities Act of 1933 33 10204 10205 Securities Exchange Act of 1934 34 78770 78809 Administrative Proceedings AP 4125 4145 Investment Advisers Act of 1940 IA 4523 4526 Investment Company Act of 1940 IC 32252 32256 Initial Decisions (ALJ) ID 1053 1054 Litigation Releases LR 23636 23645 33-10204 https://www.sec.gov/litigation/admin/2016/33-10204.pdf 34-78794 3-17533 2016-09-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled BOKF, NA N/A 33-10205 https://www.sec.gov/litigation/opinions/2016/33-10205.pdf 34-78797 3-15790 2016-09-09 Opinion Opinions Cohen, Moshe Marc N/A 34-78770 https://www.sec.gov/rules/sro/nysearca/2016/34-78770.pdf SR-NYSEARCA-2016-101 2016-09-06 Notice / Designation of Longer Period for Commission Action/Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-62780 81-FR-62780 34-78771 https://www.sec.gov/rules/sro/batsedgx/2016/34-78771.pdf SR-BATSEDGX-2016-49 2016-09-06 Notice / Immediate Effectiveness/to Fees for Use of Bats EDGX Exchange, Inc. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62781 81-FR-62781 34-78772 https://www.sec.gov/rules/sro/miax/2016/34-78772.pdf SR-MIAX-2016-31 2016-09-06 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-62784 81-FR-62784 34-78773 https://www.sec.gov/litigation/opinions/2016/34-78773.pdf 3-15350 2016-09-06 Order Granting Extension of Time and to Exceed Length Limitation for Reply Brief Orders Securities Industry and Financial Markets Associations N/A 34-78774 https://www.sec.gov/rules/sro/dtc/2016/34-78774.pdf SR-DTC-2016-003 2016-09-06 Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers/Order / Instituting Proceedings to SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-62775 81-FR-62775 34-78775 https://www.sec.gov/litigation/admin/2016/34-78775.pdf IA-4523 3-17528 2016-09-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Kazinec, Aaron Nash N/A 34-78776 https://www.sec.gov/litigation/admin/2016/34-78776.pdf IA-4524 3-17529 2016-09-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Diaz, Eduardo Guillermo N/A 34-78777 https://www.sec.gov/rules/sro/msrb/2016/34-78777.pdf SR-MSRB-2016-12 2016-09-07 Notice /to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-62947 81-FR-62947 34-78778 https://www.sec.gov/rules/sro/dtc/2016/34-78778.pdf SR-DTC-2016-007 SR-FICC-2016-005 SR-NSCC-2016-003 2016-09-07 Notice /to Clearing Agency Investment Policy SRO Filing Depository Trust Company Fixed Income Clearing Corporation National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-62963 81-FR-62963 34-78779 https://www.sec.gov/rules/sro/nysearca/2016/34-78779.pdf SR-NYSEARCA-2016-127 2016-09-07 Notice / Immediate Effectiveness/to Amend Rule 6.1(b)(41) and Rule 6.4 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-62944 81-FR-62944 34-78780 https://www.sec.gov/rules/sro/nysemkt/2016/34-78780.pdf SR-NYSEMKT-2016-87 2016-09-07 Notice / Immediate Effectiveness/to Amend Rule 903 and Rule 900.2NY(50) SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-62939 81-FR-62939 34-78781 https://www.sec.gov/rules/sro/miax/2016/34-78781.pdf SR-MIAX-2016-30 2016-09-07 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-62942 81-FR-62942 34-78782 https://www.sec.gov/rules/sro/nyse/2016/34-78782.pdf SR-NYSE-2016-58 2016-09-07 Notice /to Adjust the Timing of Entitlements to Complimentary Products and Services for Special Purpose Acquisition Companies SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-62937 81-FR-62937 34-78783 https://www.sec.gov/litigation/admin/2016/34-78783.pdf 3-17530 2016-09-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Morariu, Marius N/A 34-78784 https://www.sec.gov/rules/sro/phlx/2016/34-78784.pdf SR-PHLX-2016-91 2016-09-08 Notice / Immediate Effectiveness/to the Exchange's Pricing Schedule Under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-63231 81-FR-63231 34-78785 https://www.sec.gov/rules/sro/c2/2016/34-78785.pdf SR-C2-2016-017 2016-09-08 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-63233 81-FR-63233 34-78786 https://www.sec.gov/rules/sro/cboe/2016/34-78786.pdf SR-CBOE-2016-066 2016-09-08 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-63243 81-FR-63243 34-78787 https://www.sec.gov/rules/sro/batsbzx/2016/34-78787.pdf SR-BATSBZX-2016-57 2016-09-08 Notice / Immediate Effectiveness/to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63241 81-FR-63241 34-78788 https://www.sec.gov/rules/sro/ise/2016/34-78788.pdf SR-ISE-2016-19 2016-09-08 Notice / Immediate Effectiveness/to Add Specificity to the Definition of a Professional in the Exchange's Rules SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-63252 81-FR-63252 34-78789 https://www.sec.gov/rules/sro/batsedgx/2016/34-78789.pdf SR-BATSEDGX-2016-52 2016-09-08 Notice / Immediate Effectiveness/to Fees for Use of Bats EDGX Exchange, Inc. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63235 81-FR-63235 34-78790 https://www.sec.gov/rules/sro/isegemini/2016/34-78790.pdf SR-ISEGEMINI-2016-08 2016-09-08 Notice / Immediate Effectiveness/to Add Specificity to the Definition of a Professional SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-63245 81-FR-63245 34-78791 https://www.sec.gov/rules/sro/isemercury/2016/34-78791.pdf SR-ISEMERCURY-2016-14 2016-09-08 Notice / Immediate Effectiveness/to Add Specificity to the Definition of a Professional in the Exchange's Rules SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-63249 81-FR-63249 34-78792 https://www.sec.gov/rules/sro/batsbzx/2016/34-78792.pdf SR-BATSBZX-2016-56 2016-09-08 Notice / Immediate Effectiveness/to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63239 81-FR-63239 34-78793 https://www.sec.gov/rules/other/2016/34-78793.pdf 10-227 2016-09-08 Notice of Filing of Application for Registration as a National Securities Exchange Notice MIAX PEARL, LLC http://www.federalregister.gov/citation/81-FR-63238 81-FR-63238 34-78794 https://www.sec.gov/litigation/admin/2016/33-10204.pdf 33-10204 3-17533 2016-09-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled BOKF, NA N/A 34-78795 https://www.sec.gov/rules/sro/batsbyx/2016/34-78795.pdf SR-BATSBYX-2016-25 2016-09-09 Notice / Immediate Effectiveness/to Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63508 81-FR-63508 34-78796 https://www.sec.gov/rules/sro/batsbzx/2016/34-78796.pdf SR-BATSBZX-2016-55 2016-09-09 Notice / Immediate Effectiveness/to Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63561 81-FR-63561 34-78797 https://www.sec.gov/litigation/opinions/2016/33-10205.pdf 33-10205 3-15790 2016-09-09 Opinion Opinions Cohen, Moshe Marc N/A 34-78798 https://www.sec.gov/rules/sro/batsedgx/2016/34-78798.pdf SR-BATSEDGX-2016-51 2016-09-09 Notice / Immediate Effectiveness/to Amend Rule 11.22(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGX Exchange, Inc.; http://www.federalregister.gov/citation/81-FR-63532 81-FR-63532 34-78799 https://www.sec.gov/rules/sro/batsedga/2016/34-78799.pdf SR-BATSEDGA-2016-21 2016-09-09 Notice / Immediate Effectiveness/to Amend Rule 11.21(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63549 81-FR-63549 34-78800 https://www.sec.gov/rules/sro/finra/2016/34-78800.pdf SR-FINRA-2016-035 2016-09-09 Notice / Immediate Effectiveness/to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-63565 81-FR-63565 34-78801 https://www.sec.gov/rules/sro/nysearca/2016/34-78801.pdf SR-NYSEARCA-2016-123 2016-09-09 Amending Rule 7.46 Relating to the Tick Size Pilot Program/Notice SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-63525 81-FR-63525 34-78802 https://www.sec.gov/rules/sro/nyse/2016/34-78802.pdf SR-NYSE-2016-62 2016-09-09 Amending Rule 67 Relating to the Tick Size Pilot Program/Notice SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-63515 81-FR-63515 34-78803 https://www.sec.gov/rules/sro/nysemkt/2016/34-78803.pdf SR-NYSEMKT-2016-83 2016-09-09 Amending Rule 67 - Equities Relating to the Tick Size Pilot Program/Notice SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-63552 81-FR-63552 34-78804 https://www.sec.gov/rules/sro/nysemkt/2016/34-78804.pdf SR-NYSEMKT-2016-58 2016-09-09 Order / Instituting Proceedings to/Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-63543 81-FR-63543 34-78805 https://www.sec.gov/rules/sro/nyse/2016/34-78805.pdf SR-NYSE-2016-51 2016-09-09 Amending the Ninth Amended and Restated Operating Agreement of the Exchange/Order SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-63536 81-FR-63536 34-78806 https://www.sec.gov/rules/sro/nasdaq/2016/34-78806.pdf SR-NASDAQ-2016-098 2016-09-09 Order/to Modify the Complimentary Services Offered to Certain New Listings SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-63523 81-FR-63523 34-78807 https://www.sec.gov/rules/sro/ficc/2016/34-78807.pdf SR-FICC-2016-006 2016-09-09 Notice / Immediate Effectiveness/to Describe the Backtesting Charge and the Holiday Charge that May Be Imposed on Members SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-63538 81-FR-63538 34-78808 https://www.sec.gov/rules/sro/nscc/2016/34-78808.pdf SR-NSCC-2016-004 2016-09-09 Notice / Immediate Effectiveness/to Describe the Backtesting Charge and the Bank Holiday Charge that May Be Imposed on Members SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-63511 81-FR-63511 34-78809 https://www.sec.gov/rules/sro/nysearca/2016/34-78809.pdf SR-NYSEARCA-2016-104 2016-09-09 Amending NYSE Arca Equities Rules 2.16(c) and 2.21(i) Regarding the Timing for Submission of a Uniform Termination Notice for Securities Industry Registration (�Form U5�) by an ETP Holder /Order SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-63543 81-FR-63543 AP-4125 https://www.sec.gov/alj/aljorders/2016/ap-4125.pdf 3-17381 2016-09-06 Order Postponing Hearing and Scheduling Prehearing Conference/Show Cause Order Orders Safecode Drug Technologies Corp N/A AP-4126 https://www.sec.gov/alj/aljorders/2016/ap-4126.pdf 3-17365 2016-09-06 Order Postponing Hearing, Directing the Parties to Hold an Initial Prehearing Conference, and Extending Answer Deadline Orders Alison, LLC Alison, Stephen D. N/A AP-4127 https://www.sec.gov/alj/aljorders/2016/ap-4127.pdf 3-17104 2016-09-06 Order Granting Joint Motion For Continuance of the Hearing Date Orders Bioelectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4128 https://www.sec.gov/alj/aljorders/2016/ap-4128.pdf 3-17527 2016-09-07 Order Scheduling Hearing and Designating Presiding Judge Orders Hahn, Karl E. N/A AP-4129 https://www.sec.gov/alj/aljorders/2016/ap-4129.pdf 3-16229/ 3-16227 2016-09-07 Order Orders Middlebury Securities, LLC Osborn, Gregory N/A AP-4130 https://www.sec.gov/alj/aljorders/2016/ap-4130.pdf 3-17374 2016-09-07 Show Cause Order Orders Dominion Minerals Corp. Foxwedge, Inc. Harrington Resources, Inc. Juniper Acquisition Corporation Nexus Data Security Corp. N/A AP-4131 https://www.sec.gov/alj/aljorders/2016/ap-4131.pdf 3-17253 2016-09-07 Order Redesignating Presiding Judge Orders Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A AP-4132 https://www.sec.gov/alj/aljorders/2016/ap-4132.pdf 3-15764 2016-09-07 Order Denying Motion to Compel or Alternatively, Motion to Strike Orders McDuff, Gary L. N/A AP-4133 https://www.sec.gov/alj/aljorders/2016/ap-4133.pdf 3-17366 2016-09-07 Stay Order Orders Legal Life Plans, Inc. John D. Oil and Gas Company N/A AP-4134 https://www.sec.gov/alj/aljorders/2016/ap-4134.pdf 3-17408 2016-09-08 Order Postponing Hearing and Scheduling Prehearing Conference Orders Global Earth Energy, Inc. N/A AP-4135 https://www.sec.gov/alj/aljorders/2016/ap-4135.pdf 3-17375 2016-09-08 Show Cause Order Orders Ameralink, Inc. Basin Industries, Inc. Claire Coast Corporation Clinicorp, Inc. (N/K/A Trident Medical Concepts, Inc.) N/A AP-4136 https://www.sec.gov/alj/aljorders/2016/ap-4136.pdf 3-17217 2016-09-08 Order Modifying Scheduling Order Orders TPG Advisors LLC (D/B/A The Phillips Group Advisors) Phillips, Larry M. N/A AP-4137 https://www.sec.gov/alj/aljorders/2016/ap-4137.pdf 3-16462 2016-09-08 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4138 https://www.sec.gov/alj/aljorders/2016/ap-4138.pdf 3-17353 2016-09-08 Order Setting Summary Disposition Briefing Schedule as to Starinvest Group, Inc. Orders Starinvest Group, Inc. N/A AP-4139 https://www.sec.gov/alj/aljorders/2016/ap-4139.pdf 3-17528 2016-09-08 Order Scheduling Hearing and Designating Presiding Judge Orders Kazinec, Aaron Nash N/A AP-4140 https://www.sec.gov/alj/aljorders/2016/ap-4140.pdf 3-16509 2016-09-08 Order Following Prehearing Conference Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4141 https://www.sec.gov/alj/aljorders/2016/ap-4141.pdf 3-17184 2016-09-09 Order Denying Motion to Exclude Testimony Orders Gibson, Christopher M. 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SR Blue Ocean Portfolios, LLC N/A AP-4145 https://www.sec.gov/alj/aljorders/2016/ap-4145.pdf 3-16462 2016-09-09 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A IA-4523 https://www.sec.gov/litigation/admin/2016/34-78775.pdf 34-78775 3-17528 2016-09-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Kazinec, Aaron Nash N/A IA-4524 https://www.sec.gov/litigation/admin/2016/34-78776.pdf 34-78776 3-17529 2016-09-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Diaz, Eduardo Guillermo N/A IA-4525 https://www.sec.gov/litigation/admin/2016/ia-4525.pdf 3-17531 2016-09-08 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Raymond James & Associates, Incorporated N/A IA-4526 https://www.sec.gov/litigation/admin/2016/ia-4526.pdf 3-17532 2016-09-08 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Robert W. Baird & Co. Incorporated N/A IC-32252 https://www.sec.gov/rules/ic/2016/ic-32252.pdf 812-14497 2016-09-06 Order Orders Blackrock Funds, et al. N/A IC-32253 https://www.sec.gov/rules/ic/2016/ic-32253.pdf 812-14599 2016-09-07 Order Orders Wells Fargo Bank, National Association, et al. N/A IC-32254 https://www.sec.gov/rules/ic/2016/ic-32254.pdf 812-13889 2016-09-08 Notice of Intention to Rescind an Order Notice Orinda Asset Management, LLC Advisors Series Trust http://www.federalregister.gov/citation/81-FR-63238 81-FR-63238 IC-32255 https://www.sec.gov/rules/ic/2016/ic-32255.pdf 812-14665 2016-09-09 Notice of Application Notice Dhandho ETF Trust Dhandho Funds LLC http://www.federalregister.gov/citation/81-FR-63547 81-FR-63547 IC-32256 https://www.sec.gov/rules/ic/2016/ic-32256.pdf 812-14659 2016-09-09 Notice of Application Notice Foreside Advisor Services, LLC, et al. http://www.federalregister.gov/citation/81-FR-63541 81-FR-63541 ID-1053 https://www.sec.gov/alj/aljdec/2016/id1053jeg.pdf 3-16463 2016-09-07 Initial Decision of Default Initial Decision Aegis Capital, LLC Circle One Wealth Management, LLC N/A ID-1054 https://www.sec.gov/alj/aljdec/2016/id1054cff.pdf 3-16949 2016-09-08 Initial Decision Initial Decision Shah, Sandip N/A LR-23636 https://www.sec.gov/litigation/litreleases/2016/lr23636.htm 2016-09-06 Enforcement Case Contrarian Press, LLC Fraser, Scott Yeung, Nathan N/A LR-23637 https://www.sec.gov/litigation/litreleases/2016/lr23637.htm 2016-09-07 Enforcement Case Hamilton, Dennis Wayne N/A LR-23638 https://www.sec.gov/litigation/litreleases/2016/lr23638.htm 4:16-CV-00402-CWD 2016-09-07 Enforcement Case Jenkins, Gordon W. 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