Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to OptionXpress

2016-11-15 114 20 2016-09-12 2016-09-16 Securities Act of 1933 33 10206 10216 Securities Exchange Act of 1934 34 78810 78868 Trust Indenture Act of 1939 39 2511 2511 Administrative Proceedings AP 4146 4185 Investment Advisers Act of 1940 IA 4527 4530 Investment Company Act of 1940 IC 32257 32264 Initial Decisions (ALJ) ID 1055 1061 Litigation Releases LR 23640 23646 Accounting and Auditing Enforcement Release AAER 3799 3801 33-10206 https://www.sec.gov/litigation/opinions/2016/33-10206.pdf 34-78821 3-14848 2016-09-13 Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to OptionXpress Orders OptionsXress, Inc. Feldman, Jonathan I. N/A 33-10207 https://www.sec.gov/litigation/opinions/2016/33-10207.pdf 34-78822 IA-4528 IC-32258 3-15918 2016-09-13 Corrected Order Imposing Remedial Sanctions Orders Malouf, Dennis J. N/A 33-10208 https://www.sec.gov/rules/other/2016/33-10208.pdf 34-78844 265-27 2016-09-15 Notice of meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-64519 81-FR-64519 33-10209 https://www.sec.gov/rules/other/2016/33-10209.pdf 34-78845 39-2511 IA-4530 IC-32263 S7-21-16 2016-09-15 Publication of list of rules scheduled for review Notice Regulatory Flexibility Act Rule Review List http://www.federalregister.gov/citation/81-FR-64364 81-FR-64364 33-10210 https://www.sec.gov/litigation/admin/2016/33-10210.pdf 34-78863 3-17545 2016-09-16 Notice of Hearing/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Fusion Pharm, Inc. N/A 33-10211 https://www.sec.gov/litigation/admin/2016/33-10211.pdf 34-78864 AAER-3801 3-17546 2016-09-16 Notice of Hearing/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Dittman, Scott M. CPA N/A 33-10212 https://www.sec.gov/litigation/admin/2016/33-10212.pdf 34-78865 3-17547 2016-09-16 Notice of Hearing/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Litigated Sears, William J. N/A 33-10213 https://www.sec.gov/litigation/admin/2016/33-10213.pdf 34-78866 3-17548 2016-09-16 Notice of Hearing/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Litigated Microcap Management LLC Bayside Realty Holdings LLC Meadpoint Venture Partners, LLC N/A 33-10214 https://www.sec.gov/litigation/admin/2016/33-10214.pdf 34-78867 3-17549 2016-09-16 Notice of Hearing/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Litigated Bodden, Cliffe R. N/A 33-10215 https://www.sec.gov/litigation/admin/2016/33-10215.pdf 3-17550 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated DiTommaso, Tod A. N/A 33-10216 https://www.sec.gov/litigation/admin/2016/33-10216.pdf 3-17551 2016-09-16 Order Temporarily Suspending Exemption, Statement of Reasons For Entry of Order, and Notice of and Opportunity For Hearing AP Litigated Med-X, Inc. N/A 34-78810 https://www.sec.gov/litigation/admin/2016/34-78810.pdf 3-17366 2016-09-12 Order Making Findings and Revoking Registration AP Settled Legal Life Plans, Inc. N/A 34-78811 https://www.sec.gov/rules/sro/bx/2016/34-78811.pdf SR-BX-2016-048 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 4770 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-63828 81-FR-63828 34-78812 https://www.sec.gov/rules/sro/chx/2016/34-78812.pdf SR-CHX-2016-17 2016-09-12 Notice / Immediate Effectiveness/to Amend Article 20, Rule 13(b) to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63821 81-FR-63821 34-78813 https://www.sec.gov/rules/sro/nyse/2016/34-78813.pdf SR-NYSE-2016-63 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 67 to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-63825 81-FR-63825 34-78814 https://www.sec.gov/rules/sro/nysearca/2016/34-78814.pdf SR-NYSEARCA-2016-124 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 7.46 to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-63818 81-FR-63818 34-78815 https://www.sec.gov/rules/sro/phlx/2016/34-78815.pdf SR-PHLX-2016-90 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 3317 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-63833 81-FR-63833 34-78816 https://www.sec.gov/rules/sro/nasdaq/2016/34-78816.pdf SR-NASDAQ-2016-123 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 4770 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-63815 81-FR-63815 34-78817 https://www.sec.gov/rules/sro/nysemkt/2016/34-78817.pdf SR-NYSEMKT-2016-84 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 67 - Equities to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-63811 81-FR-63811 34-78818 https://www.sec.gov/rules/sro/icc/2016/34-78818.pdf SR-ICC-2016-012 2016-09-12 Notice /to Provide for the Clearance of Additional Credit Default Swap Contracts SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-63831 81-FR-63831 34-78819 https://www.sec.gov/rules/sro/bx/2016/34-78819.pdf SR-BX-2016-049 2016-09-13 Notice / Immediate Effectiveness/Regarding Tiers Related to SPY Options SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-64221 81-FR-64221 34-78820 https://www.sec.gov/rules/sro/iex/2016/34-78820.pdf SR-IEX-2016-13 2016-09-13 Notice / Immediate Effectiveness/to Amend Rule 11.340 to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-64234 81-FR-64234 34-78821 https://www.sec.gov/litigation/opinions/2016/33-10206.pdf 33-10206 3-14848 2016-09-13 Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to OptionXpress Orders OptionsXress, Inc. Feldman, Jonathan I. N/A 34-78822 https://www.sec.gov/litigation/opinions/2016/33-10207.pdf 33-10207 IA-4528 IC-32258 3-15918 2016-09-13 Corrected Order Imposing Remedial Sanctions Orders Malouf, Dennis J. N/A 34-78823 https://www.sec.gov/rules/sro/finra/2016/34-78823.pdf SR-FINRA-2016-018 2016-09-13 Notice / Order Accelerating /Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools), as Modified by Partial Amendment No. 1 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-64240 81-FR-64240 34-78824 https://www.sec.gov/litigation/admin/2016/34-78824.pdf AAER-3799 3-17534 2016-09-13 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Portugal Telecom, SGPS, S.A., nka PHAROL SGPS, S.A. N/A 34-78825 https://www.sec.gov/litigation/admin/2016/34-78825.pdf AAER-3800 3-17535 2016-09-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Zhang, Jun Ping N/A 34-78826 https://www.sec.gov/rules/sro/msrb/2016/34-78826.pdf SR-MSRB-2016-09 2016-09-13 Notice / Order Accelerating /Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish the MSRB Academic Historical Transaction Data Product SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-64215 81-FR-64215 34-78827 https://www.sec.gov/rules/sro/box/2016/34-78827.pdf SR-BOX-2016-42 2016-09-13 Notice/ Immediate Effectiveness to Amend the Fee Schedule on the Box Market LLC ("BOX") Options Facility to Specify that All Complex Order Transactions Executed Through the Exchange's Auction Mechanisms Will be Subject to Section I (Exchange Fees) and II (Liquidity Fees and Credits) SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-64218 81-FR-64218 34-78828 https://www.sec.gov/rules/sro/box/2016/34-78828.pdf SR-BOX-2016-43 2016-09-13 Notice/ Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility to Change the Fees and Credits For Facilitation and Solicitation Transactions SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-64250 81-FR-64250 34-78829 https://www.sec.gov/rules/sro/nysemkt/2016/34-78829.pdf SR-NYSEMKT-2016-86 2016-09-13 Notice / Immediate Effectiveness/to Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3) until September 30, 2016 SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-64238 81-FR-64238 34-78830 https://www.sec.gov/rules/sro/box/2016/34-78830.pdf SR-BOX-2016-44 2016-09-13 Notice/ Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility to Change the Liquidity Fee and Credit Structure for PIP and COPIP Transactions SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-64249 81-FR-64249 34-78831 https://www.sec.gov/rules/sro/nysearca/2016/34-78831.pdf SR-NYSEARCA-2016-126 2016-09-13 Notice / Immediate Effectiveness/to Extend the Deadline for Implementing Rule 6.61(a)(2) and (3) until September 30, 2016 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-64247 81-FR-64247 34-78832 https://www.sec.gov/litigation/admin/2016/34-78832.pdf 3-17536 2016-09-13 Order of Suspension Orders Weed, Richard Esq N/A 34-78833 https://www.sec.gov/litigation/admin/2016/34-78833.pdf 3-17406 2016-09-13 Order Denying Stay as Moot Orders Geary, Keith D. N/A 34-78834 https://www.sec.gov/rules/sro/occ-an/2016/34-78834.pdf SR-OCC-2016-802 2016-09-14 Concerning The Options Clearing Corporation�s Escrow Deposit Program/Notice / Advance Notice SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-64536 81-FR-64536 34-78835 https://www.sec.gov/rules/sro/phlx/2016/34-78835.pdf SR-PHLX-2016-92 2016-09-14 Notice /to Describe Changes to System Functionality Necessary to Implement the Tick Size Pilot Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-64552 81-FR-64552 34-78836 https://www.sec.gov/rules/sro/finra/2016/34-78836.pdf SR-FINRA-2016-022 2016-09-14 Order/to Amend Rule 12403 (Cases with Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-64564 81-FR-64564 34-78837 https://www.sec.gov/rules/sro/nasdaq/2016/34-78837.pdf SR-NASDAQ-2016-126 2016-09-14 Notice /to Describe Changes to System Functionality Necessary to Implement the Tick Size Pilot Program SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-64544 81-FR-64544 34-78838 https://www.sec.gov/rules/sro/bx/2016/34-78838.pdf SR-BX-2016-050 2016-09-14 Notice /to Describe Changes to System Functionality Necessary to Implement the Tick Size Pilot Program SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-64566 81-FR-64566 34-78839 https://www.sec.gov/rules/sro/cboe/2016/34-78839.pdf SR-CBOE-2016-053 2016-09-14 Notice /Relating to Price Protection Mechanisms and Risk Controls SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-64521 81-FR-64521 34-78840 https://www.sec.gov/rules/sro/nysearca/2016/34-78840.pdf SR-NYSEARCA-2016-100 2016-09-14 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund under NYSE Arca Equities Rule 5.2(j)(3) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-64552 81-FR-64552 34-78841 https://www.sec.gov/litigation/admin/2016/34-78841.pdf 3-16795 2016-09-14 Extension Order Orders Fox, Joseph J. N/A 34-78842 https://www.sec.gov/litigation/admin/2016/34-78842.pdf 3-17537 2016-09-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Caspersen, Andrew W.W. N/A 34-78843 https://www.sec.gov/litigation/opinions/2016/34-78843.pdf 3-17254 2016-09-14 Order Orders Meyers, Bruce Meyers Associates, L.P. N/A 34-78844 https://www.sec.gov/rules/other/2016/33-10208.pdf 33-10208 265-27 2016-09-15 Notice of meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-64519 81-FR-64519 34-78845 https://www.sec.gov/rules/other/2016/33-10209.pdf 33-10209 39-2511 IA-4530 IC-32263 S7-21-16 2016-09-15 Publication of list of rules scheduled for review Notice Regulatory Flexibility Act Rule Review List http://www.federalregister.gov/citation/81-FR-64364 81-FR-64364 34-78846 https://www.sec.gov/rules/sro/icc/2016/34-78846.pdf SR-ICC-2016-010 2016-09-15 Notice / Designation of Longer Period for Commission Action/to Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-64574 81-FR-64574 34-78847 https://www.sec.gov/rules/sro/batsbzx/2016/34-78847.pdf SR-BATSBZX-2016-34 2016-09-15 Notice / Order Accelerating /Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to BZX Rule 14.1 (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-64560 81-FR-64560 34-78848 https://www.sec.gov/litigation/admin/2016/34-78848.pdf 3-16652 3-16892 2016-09-15 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice Wilson, Michael S. CPA Cotterman-Wilson, CPAs, Inc. Budden , James T. Budden, Alexander W. 34-78849 https://www.sec.gov/rules/sro/batsbzx/2016/34-78849.pdf SR-BATSBZX-2016-42 2016-09-15 Order / Instituting Proceedings to/Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Options Regulatory Fee SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-64960 81-FR-64960 34-78850 https://www.sec.gov/rules/sro/batsedgx/2016/34-78850.pdf SR-BATSEDGX-2016-33 2016-09-15 Order / Instituting Proceedings to/Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt an Options Regulatory Fee SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/81-FR-64963 81-FR-64963 34-78851 https://www.sec.gov/rules/sro/finra/2016/34-78851.pdf SR-FINRA-2016-036 2016-09-15 Notice / Immediate Effectiveness/to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-64969 81-FR-64969 34-78852 https://www.sec.gov/litigation/admin/2016/34-78852.pdf 3-17539 2016-09-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Kreais, Francis W. 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N/A 34-78864 https://www.sec.gov/litigation/admin/2016/33-10211.pdf 33-10211 AAER-3801 3-17546 2016-09-16 Notice of Hearing/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Dittman, Scott M. CPA N/A 34-78865 https://www.sec.gov/litigation/admin/2016/33-10212.pdf 33-10212 3-17547 2016-09-16 Notice of Hearing/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Litigated Sears, William J. N/A 34-78866 https://www.sec.gov/litigation/admin/2016/33-10213.pdf 33-10213 3-17548 2016-09-16 Notice of Hearing/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Litigated Microcap Management LLC Bayside Realty Holdings LLC Meadpoint Venture Partners, LLC N/A 34-78867 https://www.sec.gov/litigation/admin/2016/33-10214.pdf 33-10214 3-17549 2016-09-16 Notice of Hearing/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Litigated Bodden, Cliffe R. N/A 34-78868 https://www.sec.gov/rules/sro/c2/2016/34-78868.pdf SR-C2-2016-019 2016-09-14 Notice / Immediate Effectiveness/to Amend the Bylaws Title SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-64520 81-FR-64520 39-2511 https://www.sec.gov/rules/other/2016/33-10209.pdf 33-10209 34-78845 IA-4530 IC-32263 S7-21-16 2016-09-15 Publication of list of rules scheduled for review Notice Regulatory Flexibility Act Rule Review List http://www.federalregister.gov/citation/81-FR-64364 81-FR-64364 AP-4146 https://www.sec.gov/alj/aljorders/2016/ap-4146.pdf 3-16509 2016-09-12 Stay Order Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4147 https://www.sec.gov/alj/aljorders/2016/ap-4147.pdf 3-17353 2016-09-12 Order Canceling Prehearing Conference Orders Seville Ventures Corp. Starinvest Group, Inc. The Digital Development Group Corp. Scanner Technologies Corp. 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N/A AP-4155 https://www.sec.gov/alj/aljorders/2016/ap-4155.pdf 3-17528 2016-09-14 Order Postponing Hearing and Scheduling Prehearing Conference Orders Kazinec, Aaron Nash N/A AP-4156 https://www.sec.gov/alj/aljorders/2016/ap-4156.pdf 3-17395 2016-09-16 Order Orders Jones, Anthony Tyrone JR N/A AP-4157 https://www.sec.gov/alj/aljorders/2016/ap-4157.pdf 3-16462 2016-09-16 Order Orders Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC Tilton, Lynn N/A AP-4158 https://www.sec.gov/alj/aljorders/2016/ap-4158.pdf 3-16349 2016-09-16 Order Scheduling Prehearing Conference Orders Duka, Barbara N/A AP-4159 https://www.sec.gov/alj/aljorders/2016/ap-4159.pdf 3-16462 2016-09-16 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4160 https://www.sec.gov/alj/aljorders/2016/ap-4160.pdf 3-17514 2016-09-16 Order Postponing Hearing and Scheduling Prehearing Conference/Show Cause Order Orders Ilio, Inc. Industrial Imaging Corporation Jackray Corporation N/A AP-4161 https://www.sec.gov/alj/aljorders/2016/ap-4161.pdf 3-16462 2016-09-16 Order Orders Lynn Tilton et al N/A AP-4162 https://www.sec.gov/alj/aljorders/2016/ap-4162.pdf 3-16462 2016-09-16 Order Orders Lynn Tilton et al. N/A AP-4163 https://www.sec.gov/alj/aljorders/2016/ap-4163.pdf 3-16229/ 3-16227 3-16229 2016-09-16 Order Following Prehearing Conference Orders Middlebury Securities LLC Osborn, Gregory N/A AP-4164 https://www.sec.gov/alj/aljorders/2016/ap-4164.pdf 3-17525 2016-09-16 Order Postponing Hearing and Scheduling Prehearing Conference Orders Milligan, Robert D. N/A AP-4165 https://www.sec.gov/alj/aljorders/2016/ap-4165.pdf 3-17184 2016-09-16 Post-Hearing Order Orders Gibson, Christopher M. N/A AP-4185 https://www.sec.gov/alj/aljorders/2016/ap-4185.pdf 3-16349 2016-09-14 Order Following Prehearing Conference and Setting Procedural Schedule Orders Duka, Barbara N/A IA-4527 https://www.sec.gov/litigation/admin/2016/ia-4527.pdf 3-16946 2016-09-12 Order Denying Second Motion for Extension of Briefing Schedule Orders Price, George Charles Cody N/A IA-4528 https://www.sec.gov/litigation/opinions/2016/33-10207.pdf 33-10207 34-78822 IC-32258 3-15918 2016-09-13 Corrected Order Imposing Remedial Sanctions Orders Malouf, Dennis J. N/A IA-4529 https://www.sec.gov/litigation/admin/2016/ia-4529.pdf 3-17538 2016-09-14 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled First Reserve Management, L.P. N/A IA-4530 https://www.sec.gov/rules/other/2016/33-10209.pdf 33-10209 34-78845 39-2511 IC-32263 S7-21-16 2016-09-15 Publication of list of rules scheduled for review Notice Regulatory Flexibility Act Rule Review List http://www.federalregister.gov/citation/81-FR-64364 81-FR-64364 IC-32257 https://www.sec.gov/rules/ic/2016/ic-32257.pdf 812-14567 2016-09-12 Order Orders FS Global Credit Opportunities Fund N/A IC-32258 https://www.sec.gov/litigation/opinions/2016/33-10207.pdf 33-10207 34-78822 IA-4528 3-15918 2016-09-13 Corrected Order Imposing Remedial Sanctions Orders Malouf, Dennis J. N/A IC-32259 https://www.sec.gov/rules/ic/2016/ic-32259.pdf 812-14602 2016-09-13 Notice Notice OFS Capital Corporation http://www.federalregister.gov/citation/81-FR-64226 81-FR-64226 IC-32260 https://www.sec.gov/rules/ic/2016/ic-32260.pdf 812-14632 2016-09-13 Order Orders Davis Fundamental ETF Trust et al. N/A IC-32261 https://www.sec.gov/rules/ic/2016/ic-32261.pdf 812-14453 2016-09-13 Notice of Application Notice AB Private Credit Investors Corporation, et al. http://www.federalregister.gov/citation/81-FR-64230 81-FR-64230 IC-32262 https://www.sec.gov/rules/ic/2016/ic-32262.pdf 812-14549 2016-09-14 Notice of Application Notice Global X Funds, et al. http://www.federalregister.gov/citation/81-FR-64534 81-FR-64534 IC-32263 https://www.sec.gov/rules/other/2016/33-10209.pdf 33-10209 34-78845 39-2511 IA-4530 S7-21-16 2016-09-15 Publication of list of rules scheduled for review Notice Regulatory Flexibility Act Rule Review List http://www.federalregister.gov/citation/81-FR-64364 81-FR-64364 IC-32264 https://www.sec.gov/rules/ic/2016/ic-32264.pdf 812-14432 2016-09-16 Notice of Application Notice Northern Lights Fund Trust , et al. http://www.federalregister.gov/citation/81-FR-65460 81-FR-65460 ID-1055 https://www.sec.gov/alj/aljdec/2016/id1055jsp.pdf 3-17336 2016-09-12 Initial Decision of Default Initial Decision Breitling Energy Corporation N/A ID-1056 https://www.sec.gov/alj/aljdec/2016/id1056jsp.pdf 3-17366 2016-09-13 Initial Decision of Default as to Two Respondents Initial Decision Capitol 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 ID-1057 https://www.sec.gov/alj/aljdec/2016/id1057jeg.pdf 3-17376 2016-09-14 Initial Decision of Default Initial Decision Eastland Financial Corp. Granite Cliffs, Incorporated Greater Asia Realty Holdings, Ltd N/A ID-1058 https://www.sec.gov/alj/aljdec/2016/id1058jsp.pdf 3-17346 2016-09-14 Initial Decision of Default Initial Decision Franklin Bank Corporation N/A ID-1059 https://www.sec.gov/alj/aljdec/2016/id1059jsp.pdf 3-17353 2016-09-14 Initial Decision of Default as to Three Respondents Initial Decision Scanner Technologies Corp. Seville Ventures Corp. Starinvest Group, Inc. Digital Development Group Corp. N/A ID-1060 https://www.sec.gov/alj/aljdec/2016/id1060bpm.pdf 3-17350 2016-09-16 Initial Decision/Initial Decision of Default Initial Decision ALGOREX CORPORATION CANADIAN PIPER AIR CORP CAPITAL AND SERVICES, INC. NP ENERGY CORPORATION N/A ID-1061 https://www.sec.gov/alj/aljdec/2016/id1061cff.pdf 3-17252 2016-09-16 Initial Decision of Default/Making Findings and Imposing Sanction by Default Initial Decision Von Hase, Stephan N/A LR-23640 https://www.sec.gov/litigation/litreleases/2016/lr23640.htm 16-CV-5475 2016-09-12 Enforcement Case BOK Financial BOKF, NA Neilson, Marrien N/A LR-23641 https://www.sec.gov/litigation/litreleases/2016/lr23641.htm 1:09-CV-01746-JGK 2016-09-12 Enforcement Case Bloom, Mark Evan North Hills Management, LLC N/A LR-23642 https://www.sec.gov/litigation/litreleases/2016/lr23642.htm 16-CV-3399 2016-09-12 Enforcement Case Banks, Charles Augustus IV N/A LR-23643 https://www.sec.gov/litigation/litreleases/2016/lr23643.htm 4:16-CV-00693 2016-09-12 Enforcement Case Tycoon Energy, Inc. Nerbonne, Matthew Dee N/A LR-23644 https://www.sec.gov/litigation/litreleases/2016/lr23644.htm 3:16-CV-00882 2016-09-12 Enforcement Case Connerton, Thomas J. Safety Technologies LLC N/A LR-23646 https://www.sec.gov/litigation/litreleases/2016/lr23646.htm 3:14-CV-05844 2016-09-14 Enforcement Case Metro, Steven N/A AAER-3799 https://www.sec.gov/litigation/admin/2016/34-78824.pdf 34-78824 3-17534 2016-09-13 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Portugal Telecom, SGPS, S.A., nka PHAROL SGPS, S.A. N/A AAER-3800 https://www.sec.gov/litigation/admin/2016/34-78825.pdf 34-78825 3-17535 2016-09-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Zhang, Jun Ping N/A AAER-3801 https://www.sec.gov/litigation/admin/2016/33-10211.pdf 33-10211 34-78864 3-17546 2016-09-16 Notice of Hearing/Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Dittman, Scott M. CPA N/A