Final Rule/Exemptions to Facilitate Intrastate and Regional Securities Offerings

2017-02-22 115 6 2016-10-24 2016-10-28 Securities Act of 1933 33 10238 10240 Securities Exchange Act of 1934 34 79140 79192 Administrative Proceedings AP 4297 4312 Investment Advisers Act of 1940 IA 4559 4561 Investment Company Act of 1940 IC 32323 32343 Initial Decisions (ALJ) ID 1071 1073 Litigation Releases LR 23676 23679 Accounting and Auditing Enforcement Release AAER 3818 3819 33-10238 https://www.sec.gov/rules/final/2016/33-10238.pdf 34-79161 S7-22-15 2016-10-26 Final Rule/Exemptions to Facilitate Intrastate and Regional Securities Offerings Final Rule 33 Act; 34 Act; Rule 147; 147A; 504; repeal Rule 505 http://www.federalregister.gov/citation/81-FR-83494 81-FR-83494 33-10239 https://www.sec.gov/litigation/admin/2016/33-10239.pdf 3-17647 2016-10-27 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Kramer, Curt Hope Capital, Inc. N/A 33-10240 https://www.sec.gov/litigation/opinions/2016/33-10240.pdf 34-79177 IC-32341 3-16229 3-16227 2016-10-27 Order Scheduling Briefs Orders Osborn, Gregory N/A 34-79140 https://www.sec.gov/litigation/admin/2016/34-79140.pdf 3-17542 2016-10-24 Order Making Findings and Revoking Registration AP Settled All Energy Corp. N/A 34-79141 https://www.sec.gov/litigation/suspensions/2016/34-79141.pdf 500-1 2016-10-24 Trading Suspension Trading Suspensions Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A 34-79142 https://www.sec.gov/litigation/admin/2016/34-79142.pdf 3-17641 2016-10-24 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A 34-79143 https://www.sec.gov/litigation/suspensions/2016/34-79143.pdf 500-1 2016-10-24 Trading Suspension Trading Suspensions Cala Corporation China Huaren Organic Products, Inc. Daystar Technologies, Inc. Hangover Joe's Holding Corp. N/A 34-79144 https://www.sec.gov/litigation/admin/2016/34-79144.pdf 3-17642 2016-10-24 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Cala Corporation China Huaren Organic Products, Inc. Daystar Technologies, Inc. Hangover Joe's Holding Corp. N/A 34-79145 https://www.sec.gov/rules/sro/phlx/2016/34-79145.pdf SR-PHLX-2016-109 2016-10-24 to Adopt Phlx Rule 765 (Prohibition Against Trading Ahead of Customer Orders) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-75174 81-FR-75174 34-79146 https://www.sec.gov/rules/sro/miax/2016/34-79146.pdf SR-MIAX-2016-36 2016-10-24 Notice / Designation of Longer Period for Commission Action/Notice / Immediate Effectiveness/to Amend the MIAX Options Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-75171 81-FR-75171 34-79147 https://www.sec.gov/litigation/admin/2016/34-79147.pdf AAER-3818 3-17228 2016-10-24 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled David S. Hall, P.C. d/b/a The Hall Group, CPAs Hall, David S. CPA N/A 34-79148 https://www.sec.gov/rules/sro/batsbyx/2016/34-79148.pdf SR-BATSBYX-2016-27 2016-10-25 Notice / Immediate Effectiveness/ to Amend BYX Rule 11.13, Order Execution and Routing SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-75456 81-FR-75456 34-79149 https://www.sec.gov/rules/sro/batsbzx/2016/34-79149.pdf SR-BATSBZX-2016-65 2016-10-25 Notice / Immediate Effectiveness/to BZX Rule 11.13, Order Execution and Routing SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-75464 81-FR-75464 34-79150 https://www.sec.gov/rules/sro/batsedga/2016/34-79150.pdf SR-BATSEDGA-2016-22 2016-10-25 Notice / Immediate Effectiveness/to EDGA Rule 11.11, Routing to Away Trading Centers SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-75466 81-FR-75466 34-79151 https://www.sec.gov/rules/sro/batsedgx/2016/34-79151.pdf SR-BATSEDGX-2016-54 2016-10-25 Notice / Immediate Effectiveness/to Amend EDGX Rule 11.11, Routing to Away Trade Centers SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-75458 81-FR-75458 34-79152 https://www.sec.gov/rules/sro/nms/2016/34-79152.pdf SR-OPRA-2016-01 2016-10-25 Notice / Immediate Effectiveness/to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Professional Subscriber Device-Based Fees and Policies with Respect to Device-Based Fees SRO Filing Options Price Reporting Authority http://www.federalregister.gov/citation/81-FR-75462 81-FR-75462 34-79153 https://www.sec.gov/rules/sro/nms/2016/34-79153.pdf SR-OPRA-2016-02 2016-10-25 Notice / Immediate Effectiveness/to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA?s Non-Display Use Fees SRO Filing Options Price Reporting Authority http://www.federalregister.gov/citation/81-FR-75460 81-FR-75460 34-79154 https://www.sec.gov/rules/sro/bx/2016/34-79154.pdf SR-BX-2016-054 2016-10-25 Notice / Immediate Effectiveness/to Add Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-75468 81-FR-75468 34-79155 https://www.sec.gov/rules/sro/nasdaq/2016/34-79155.pdf SR-NASDAQ-2016-143 2016-10-25 Notice / Immediate Effectiveness/Change to Add Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-75471 81-FR-75471 34-79156 https://www.sec.gov/rules/sro/phlx/2016/34-79156.pdf SR-PHLX-2016-106 2016-10-25 Notice / Immediate Effectiveness/to Add Commentary .14 to Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-75473 81-FR-75473 34-79157 https://www.sec.gov/rules/sro/miax/2016/34-79157.pdf SR-MIAX-2016-38 2016-10-26 Notice / Immediate Effectiveness/to Amend Its Fee Schedule to Adopt Fees and Credits for Transactions Involving Complex Orders SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-75885 81-FR-75885 34-79158 https://www.sec.gov/rules/sro/nasdaq/2016/34-79158.pdf SR-NASDAQ-2016-131 2016-10-26 Notice /to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-75879 81-FR-75879 34-79159 https://www.sec.gov/rules/exorders/2016/34-79159.pdf TP 16-14 2016-10-26 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Orders Premise Capital Frontier Advantage Diversified Tactical ETF http://www.federalregister.gov/citation/81-FR-75865 81-FR-75865 34-79160 https://www.sec.gov/litigation/admin/2016/34-79160.pdf 3-17644 2016-10-26 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Eppy, Michael N/A 34-79161 https://www.sec.gov/rules/final/2016/33-10238.pdf 33-10238 S7-22-15 2016-10-26 Final Rule/Exemptions to Facilitate Intrastate and Regional Securities Offerings Final Rule 33 Act; 34 Act; Rule 147; 147A; 504; repeal Rule 505 http://www.federalregister.gov/citation/81-FR-83494 81-FR-83494 34-79162 https://www.sec.gov/rules/sro/batsbzx/2016/34-79162.pdf SR-BATSBZX-2016-61 2016-10-26 to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS/Notice/to Amend Exchange Rule 11.23, Auction, SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-75875 81-FR-75875 34-79163 https://www.sec.gov/rules/sro/nasdaq/2016/34-79163.pdf SR-NASDAQ-2016-141 2016-10-26 Notice /to Adopt a New Retail Post-Only Order SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-75862 81-FR-75862 34-79164 https://www.sec.gov/rules/proposed/2016/34-79164.pdf IC-32339 S7-24-16 2016-10-26 Proposed Rule Proposed Rule Universal Proxy http://www.federalregister.gov/citation/81-FR-79122 81-FR-79122 34-79165 https://www.sec.gov/rules/sro/dtc/2016/34-79165.pdf SR-DTC-2016-007 SR-FICC-2016-005 SR-NSCC-2016-003 2016-10-26 Notice / Designation of Longer Period for Commission Action/on Proposed Rule Changes Relating 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-75865 81-FR-75865 34-79166 https://www.sec.gov/litigation/admin/2016/34-79166.pdf 3-16852 2016-10-26 Second Extension Order Orders Focus Media Holding Limited Jiang, Jason N/A 34-79167 https://www.sec.gov/rules/sro/ficc/2016/34-79167.pdf SR-FICC-2016-006 SR-NSCC-2016-004 2016-10-26 Order/to Describe the Backtesting Charge and the Holiday Charge that May Be Imposed on Members SRO Filing Fixed Income Clearing Corporation National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-75883 81-FR-75883 34-79168 https://www.sec.gov/litigation/admin/2016/34-79168.pdf 3-17507 2016-10-26 Order Denying Motion to Lift Temporary Suspension and Directing Hearing Orders Pittera, Joseph L. Esq. N/A 34-79169 https://www.sec.gov/litigation/admin/2016/34-79169.pdf IA-4560 3-17645 2016-10-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Snisky, Gary C. N/A 34-79170 https://www.sec.gov/litigation/admin/2016/34-79170.pdf 3-17646 2016-10-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Cain, Michael Sean N/A 34-79171 https://www.sec.gov/rules/sro/nysearca/2016/34-79171.pdf SR-NYSEARCA-2016-101 2016-10-27 Order / Instituting Proceedings to/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-76400 81-FR-76400 34-79172 https://www.sec.gov/rules/sro/occ/2016/34-79172.pdf SR-OCC-2016-014 2016-10-27 Notice /Related to Compliance with Section 871(m) of the Internal Revenue Code SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-75867 81-FR-75867 34-79173 https://www.sec.gov/rules/sro/nysearca/2016/34-79173.pdf SR-NYSEARCA-2016-62 2016-10-27 Notice / Designation of Longer Period for Commission Action/to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-76400 81-FR-76400 34-79174 https://www.sec.gov/rules/sro/nsx/2016/34-79174.pdf SR-NSX-2016-14 2016-10-27 Notice /to Amend Exchange Rule 11.26 to Correct Defective Numbering in the Interpretations and Policies of the Rule SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-76393 81-FR-76393 34-79175 https://www.sec.gov/litigation/admin/2016/34-79175.pdf 3-17643 2016-10-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Henning-Carey Proprietary Trading, LLC (n/k/a HC Technologies, LLC) N/A 34-79176 https://www.sec.gov/litigation/admin/2016/34-79176.pdf AAER-3819 3-17104 2016-10-27 Order Making Findings, and Imposing Remedial Sanctions AP Settled Bedwell, Robert P. CPA N/A 34-79177 https://www.sec.gov/litigation/opinions/2016/33-10240.pdf 33-10240 IC-32341 3-16229 3-16227 2016-10-27 Order Scheduling Briefs Orders Osborn, Gregory N/A 34-79178 https://www.sec.gov/litigation/suspensions/2016/34-79178.pdf 500-1 2016-10-28 Trading Suspension Trading Suspensions Q Lotus Holdings, Inc. Spare Backup, Inc. N/A 34-79179 https://www.sec.gov/litigation/admin/2016/34-79179.pdf 3-17648 2016-10-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Q Lotus Holdings, Inc. Spare Backup, Inc. N/A 34-79180 https://www.sec.gov/litigation/suspensions/2016/34-79180.pdf 500-1 2016-10-28 Trading Suspension Trading Suspensions InterAmerican Gaming, Inc. Spot Mobile International Ltd. N/A 34-79181 https://www.sec.gov/litigation/admin/2016/34-79181.pdf 3-17649 2016-10-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated BioNovo, Inc. InterAmerican Gaming, Inc. Spot Mobile International Ltd. N/A 34-79182 https://www.sec.gov/rules/sro/miax/2016/34-79182.pdf SR-MIAX-2016-40 2016-10-28 Notice / Immediate Effectiveness/to Adopt Exchange Rule 322, Disruptive Quoting and Trading Activity Prohibited and Exchange Rule 1018, Expedited Suspension Proceeding SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-76639 81-FR-76639 34-79183 https://www.sec.gov/rules/sro/batsbzx/2016/34-79183.pdf SR-BATSBZX-2016-30 2016-10-28 Amendment No. 1 , to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust/Notice SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-76650 81-FR-76650 34-79184 https://www.sec.gov/rules/sro/batsedgx/2016/34-79184.pdf SR-BATSEDGX-2016-58 2016-10-28 Notice / Immediate Effectiveness/to Amend EDGX Rule 21.12, Clearing Member Give Up SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-76645 81-FR-76645 34-79185 https://www.sec.gov/rules/sro/phlx/2016/34-79185.pdf SR-PHLX-2016-104 2016-10-28 Notice /to Amend Phlx Rule 748, Supervision SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-76637 81-FR-76637 34-79186 https://www.sec.gov/litigation/admin/2016/34-79186.pdf 3-17650 2016-10-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Lawler, Joe N/A 34-79187 https://www.sec.gov/rules/sro/nyse/2016/34-79187.pdf SR-NYSE-2016-58 2016-10-28 Order/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-76403 81-FR-76403 34-79188 https://www.sec.gov/reportspubs/special-studies/34-79188.pdf NO FILE NUMBER 2016-10-28 Report on Administrative Proceedings Notice Report on AP Proceedings N/A 34-79189 https://www.sec.gov/rules/sro/c2/2016/34-79189.pdf SR-C2-2016-020 2016-10-28 Notice /to Price Protection Mechanisms and Risk Controls SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-76671 81-FR-76671 34-79190 https://www.sec.gov/rules/sro/finra/2016/34-79190.pdf SR-FINRA-2016-040 2016-10-28 Notice / Immediate Effectiveness/to Establish a Fee for the Academic Corporate Bond TRACE Data Product SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-76683 81-FR-76683 34-79191 https://www.sec.gov/alj/aljdec/2016/34-79191.pdf IA-4561 IC-32343 3-16463 2016-10-28 Notice That Initial Decision Has Become Final Notice Aegis Capital, LLC Circle One Wealth Management, LLC N/A 34-79192 https://www.sec.gov/alj/aljdec/2016/34-79192.pdf 3-16949 2016-10-28 Notice That Initial Decision Has Become Final Notice Shah, Sandip N/A AP-4297 https://www.sec.gov/alj/aljorders/2016/ap-4297.pdf 3-17641 2016-10-24 Order Scheduling Hearing and Designating Presiding Judge Orders Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A AP-4298 https://www.sec.gov/alj/aljorders/2016/ap-4298.pdf 3-17642 2016-10-24 Order Scheduling Hearing and Designating Presiding Judge Orders CALA Corporation China Huaren Organic Products, Inc. Hangover Joe's Holding Corp. Daystar Technologies, Inc. N/A AP-4299 https://www.sec.gov/alj/aljorders/2016/ap-4299.pdf 3-17398 2016-10-25 Stay Order Orders Delaney Equity Group LLC, Delaney, David C. Kass, Ian C. N/A AP-4300 https://www.sec.gov/alj/aljorders/2016/ap-4300.pdf 3-15619 2016-10-25 Order as to Hearing Time and Location Orders Doxey, Joseph P. N/A AP-4301 https://www.sec.gov/alj/aljorders/2016/ap-4301.pdf 3-17408 2016-10-26 Order Lifting Stay and Directing Parties to Hold a Prehearing Conference Orders Global Earth Energy, Inc. N/A AP-4302 https://www.sec.gov/alj/aljorders/2016/ap-4302.pdf 3-17184 2016-10-26 Order Extending Date for Response to Motion to Correct Transcripts Orders Gibson, Christopher M. N/A AP-4303 https://www.sec.gov/alj/aljorders/2016/ap-4303.pdf 3-15619 2016-10-26 Order Designating Settlement ALJ Orders Doxey, Joseph P. N/A AP-4304 https://www.sec.gov/alj/aljorders/2016/ap-4304.pdf 3-17551 2016-10-27 Scheduling Order Orders Med-X, Inc. N/A AP-4305 https://www.sec.gov/alj/aljorders/2016/ap-4305.pdf 3-17507 2016-10-28 Order Scheduling Hearing and Designating Presiding Judge Orders Pittera, Joseph L. Esq. N/A AP-4306 https://www.sec.gov/alj/aljorders/2016/ap-4306.pdf 3-17645 2016-10-28 Order Scheduling Hearing and Designating Presiding Judge Orders Snisky, Gary C. N/A AP-4307 https://www.sec.gov/alj/aljorders/2016/ap-4307.pdf 3-17648 2016-10-28 Order Scheduling Hearing and Designating Presiding Judge Orders Q Lotus Holdings, Inc. Spare Backup, Inc. N/A AP-4308 https://www.sec.gov/alj/aljorders/2016/ap-4308.pdf 3-17649 2016-10-28 Order Scheduling Hearing and Designating Presiding Judge Orders BioNovo, Inc. Interamerican Gaming, Inc. Spot Mobile International Ltd. N/A AP-4309 https://www.sec.gov/alj/aljorders/2016/ap-4309.pdf 3-17527 2016-10-28 Order to Show Cause and Scheduling Brief Orders Hahn, Karl E. N/A AP-4310 https://www.sec.gov/alj/aljorders/2016/ap-4310.pdf 3-17104 2016-10-28 Protective Order Orders BioElectronics Corp. Ibex, LLC St. Johns LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4311 https://www.sec.gov/alj/aljorders/2016/ap-4311.pdf 3-17590 2016-10-28 Show Cause Order Orders Telestone Technologies Corp. US Fuel Corp. Victory Eagle Resources Corp. N/A AP-4312 https://www.sec.gov/alj/aljorders/2016/ap-4312.pdf 3-17319 2016-10-28 Order Following Second Prehearing Conference Orders Helen, Jan E. N/A IA-4559 https://www.sec.gov/litigation/opinions/2016/ia-4559.pdf 3-16937 2016-10-24 Order Granting Petition for Review and Scheduling Briefs Orders Murray, James Michael N/A IA-4560 https://www.sec.gov/litigation/admin/2016/34-79169.pdf 34-79169 3-17645 2016-10-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Snisky, Gary C. N/A IA-4561 https://www.sec.gov/alj/aljdec/2016/34-79191.pdf 34-79191 IC-32343 3-16463 2016-10-28 Notice That Initial Decision Has Become Final Notice Aegis Capital, LLC Circle One Wealth Management, LLC N/A IC-32323 https://www.sec.gov/rules/ic/2016/ic-32323.pdf 812-14660 2016-10-24 Order Orders Foreside ETF Trust et al. N/A IC-32324 https://www.sec.gov/rules/ic/2016/ic-32324.pdf 812-14542 2016-10-24 Notice Notice ALAIA Market Linked Trust and Beech Hill Securities, Inc. http://www.federalregister.gov/citation/81-FR-75178 81-FR-75178 IC-32325 https://www.sec.gov/rules/ic/2016/ic-32325.pdf 812-14641 2016-10-24 Order Orders Serenityshares Investments LLC, et al. N/A IC-32326 2016-10-25 INTENTIONALLY OMITTED IC-32327 https://www.sec.gov/rules/ic/2016/ic-32327.pdf 812-14538 2016-10-25 Order Orders Virtus Alternative Solutions Trust, et al. N/A IC-32328 https://www.sec.gov/rules/icdereg/2016/ic-32328.pdf 811-22964 2016-10-26 Order of Deregistration Orders Altegris KKR Commitments Fund N/A IC-32329 https://www.sec.gov/rules/icdereg/2016/ic-32329.pdf 811-06330 2016-10-26 Order of Deregistration Orders Morgan Stanley Limited Duration U.S. Government Trust N/A IC-32330 https://www.sec.gov/rules/icdereg/2016/ic-32330.pdf 811-22790 2016-10-26 Order of Deregistration Orders Doubleline Equity Funds N/A IC-32331 https://www.sec.gov/rules/icdereg/2016/ic-32331.pdf 811-22574 2016-10-26 Order of Deregistration Orders Whitebox Mutual Funds N/A IC-32332 https://www.sec.gov/rules/icdereg/2016/ic-32332.pdf 811-10479 2016-10-26 Order of Deregistration Orders A&Q Event Fund LLC N/A IC-32333 https://www.sec.gov/rules/icdereg/2016/ic-32333.pdf 811-21516 2016-10-26 Order of Deregistration Orders A&Q Aggregated Alpha Strategies Fund LLC N/A IC-32334 https://www.sec.gov/rules/icdereg/2016/ic-32334.pdf 811-10527 2016-10-26 Order of Deregistration Orders A&Q Equity Opportunity Fund LLC N/A IC-32335 https://www.sec.gov/rules/icdereg/2016/ic-32335.pdf 811-07737 2016-10-26 Order of Deregistration Orders Purisima Funds N/A IC-32336 https://www.sec.gov/rules/icdereg/2016/ic-32336.pdf 811-21054 2016-10-26 Order of Deregistration Orders Blackrock Municipal Bond Investment Trust N/A IC-32337 https://www.sec.gov/rules/icdereg/2016/ic-32337.pdf 811-23041 2016-10-26 Order of Deregistration Orders Redmond Reinsurance Investment Interval Fund N/A IC-32338 https://www.sec.gov/rules/ic/2016/ic-32338.pdf 812-14652 2016-10-26 Notice of Application Notice Hartford Mutual Funds, Inc., et al. http://www.federalregister.gov/citation/81-FR-75874 81-FR-75874 IC-32339 https://www.sec.gov/rules/proposed/2016/34-79164.pdf 34-79164 S7-24-16 2016-10-26 Proposed Rule Proposed Rule Universal Proxy http://www.federalregister.gov/citation/81-FR-79122 81-FR-79122 IC-32340 https://www.sec.gov/rules/ic/2016/ic-32340.pdf 812-14472 2016-10-27 Notice Notice NF Investment Corp., et al. http://www.federalregister.gov/citation/81-FR-76395 81-FR-76395 IC-32341 https://www.sec.gov/litigation/opinions/2016/33-10240.pdf 33-10240 34-79177 3-16229 3-16227 2016-10-27 Order Scheduling Briefs Orders Osborn, Gregory N/A IC-32342 https://www.sec.gov/rules/icdereg/2016/ic-32342.pdf 811-22701 811-21571 811-5160 811-22891 811-05717 811-04430 811-21533 811-07740 2016-10-28 Notice Notice Arden Investment Series Trust Roge Partners fund Dreyfus New York AMT-Free Municipal Money Market fund Little Harbor MultiStrategy Composite Fund Dreyfus Worldwide Dollar Money Market fund, Inc. Dreyfus One Hundred Percent US Treasury Money Market fund Western Asset Inflation Management Fund Inc. Western Asset 2008 Worldwide Dollar Government Term Trust Inc. http://www.federalregister.gov/citation/81-FR-76670 81-FR-76670 IC-32343 https://www.sec.gov/alj/aljdec/2016/34-79191.pdf 34-79191 IA-4561 3-16463 2016-10-28 Notice That Initial Decision Has Become Final Notice Aegis Capital, LLC Circle One Wealth Management, LLC N/A ID-1071 https://www.sec.gov/alj/aljdec/2016/id1071jsp.pdf 3-17518 2016-10-24 Initial Decision of Default Initial Decision Multi-Corp. International, Inc. Sky Harvest Energy Corp. N/A ID-1072 https://www.sec.gov/alj/aljdec/2016/id1072jeg.pdf 3-17210 2016-10-27 Initial Decision of Default Initial Decision White, Paul Leon II N/A ID-1073 https://www.sec.gov/alj/aljdec/2016/id1073ce.pdf 3-17123 2016-10-28 Initial Decision of Default Initial Decision Ceyoniq AG (n/k/a Ceyoniq, Inc.) N/A LR-23676 https://www.sec.gov/litigation/litreleases/2016/lr23676.htm 16-CV-62501 2016-10-24 Enforcement Case Embraer S.A. N/A LR-23677 https://www.sec.gov/litigation/litreleases/2016/lr23677.htm 16-CV-4:16-00992 2016-10-25 Enforcement Case Southlake Resources Group, LLC Winters, Cody M. Hamilton, Nicholas R. N/A LR-23678 https://www.sec.gov/litigation/litreleases/2016/lr23678.htm 14-CR-40028-TSH 2016-10-25 Enforcement Case Merrill, James M. N/A LR-23679 https://www.sec.gov/litigation/litreleases/2016/lr23679.htm 1:16-CV-5960 2016-10-27 Enforcement Case Broidy, Marc D. Broidy Wealth Advisors, LLC N/A AAER-3818 https://www.sec.gov/litigation/admin/2016/34-79147.pdf 34-79147 3-17228 2016-10-24 AP Settled David S. Hall, P.C. d/b/a The Hall Group, CPAs Hall, David S. CPA N/A AAER-3819 https://www.sec.gov/litigation/admin/2016/34-79176.pdf 34-79176 3-17104 2016-10-27 AP Settled Bedwell, Robert P. CPA N/A