Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing

2016-12-19 115 9 2016-11-14 2016-11-18 Securities Act of 1933 33 10252 10258 Securities Exchange Act of 1934 34 79294 79357 Administrative Proceedings AP 4344 4375 Investment Advisers Act of 1940 IA 4568 4571 Investment Company Act of 1940 IC 32359 32361 Initial Decisions (ALJ) ID 1081 1082 Litigation Releases LR 23688 23690 Accounting and Auditing Enforcement Release AAER 3823 3824 33-10252 https://www.sec.gov/litigation/admin/2016/33-10252.pdf 34-79298 3-17674 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Kon, Alexander N/A 33-10253 https://www.sec.gov/litigation/admin/2016/33-10253.pdf 34-79299 3-17675 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Cummings, Casey N/A 33-10254 https://www.sec.gov/litigation/admin/2016/33-10254.pdf 34-79300 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and Desist Order, and a Notice of Hearing AP Settled Dias, Raimundo OTC Global Partners, LLC N/A 33-10255 https://www.sec.gov/rules/other/2016/33-10255.pdf 34-79303 2016-11-14 Order Approving Public Company Accounting Oversight Board Supplemental Budget for Calendar Year 2016 Orders PCAOB 2016 Budget and Accounting Support Fee; Supplemental Budget Request for Inspection Program Area http://www.federalregister.gov/citation/81-FR-81820 81-FR-81820 33-10256 https://www.sec.gov/litigation/admin/2016/33-10256.pdf AAER-3823 3-17678 2016-11-15 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Egan, Christopher N/A 33-10257 https://www.sec.gov/rules/other/2016/33-10257.pdf 34-79336 265-28 2016-11-17 Investor Advisory Committee Meeting Notice Investor Advisory Committee http://www.federalregister.gov/citation/81-FR-83888 81-FR-83888 33-10258 https://www.sec.gov/rules/other/2016/33-10258.pdf 34-79350 265-27 2016-11-18 Notice of meeting. Notice Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-84628 81-FR-84628 34-79294 https://www.sec.gov/rules/other/2016/34-79294.pdf 2017-1 2016-11-14 Whistleblower Orders Redacted N/A 34-79295 https://www.sec.gov/rules/sro/msrb/2016/34-79295.pdf SR-MSRB-2016-15 2016-11-14 Notice /to Extend the MSRB?s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-81837 81-FR-81837 34-79296 https://www.sec.gov/rules/sro/finra/2016/34-79296.pdf SR-FINRA-2016-029 2016-11-14 Order/Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se Customers to File and Serve Pleadings and Documents Through the FINRA Office of Dispute Resolution?s Party Portal and to Permit Mediation Parties to Use the Portal SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-81844 81-FR-81844 34-79297 https://www.sec.gov/rules/sro/dtc/2016/34-79297.pdf SR-DTC-2016-012 2016-11-14 Notice / Immediate Effectiveness/to Modify the DTC Settlement Service Guide With Respect to Settlement Instructions Provided to DTC by Matching Utilities SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-81830 81-FR-81830 34-79298 https://www.sec.gov/litigation/admin/2016/33-10252.pdf 33-10252 3-17674 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Kon, Alexander N/A 34-79299 https://www.sec.gov/litigation/admin/2016/33-10253.pdf 33-10253 3-17675 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Cummings, Casey N/A 34-79300 https://www.sec.gov/litigation/admin/2016/33-10254.pdf 33-10254 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and Desist Order, and a Notice of Hearing AP Settled Dias, Raimundo OTC Global Partners, LLC N/A 34-79301 https://www.sec.gov/rules/sro/miax/2016/34-79301.pdf SR-MIAX-2016-42 2016-11-14 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-81854 81-FR-81854 34-79302 https://www.sec.gov/litigation/admin/2016/34-79302.pdf 3-17560 2016-11-14 Extension Order Orders Springsteen-Abbott, Kimberly N/A 34-79303 https://www.sec.gov/rules/other/2016/33-10255.pdf 33-10255 2016-11-14 Order Approving Public Company Accounting Oversight Board Supplemental Budget for Calendar Year 2016 Orders PCAOB 2016 Budget and Accounting Support Fee; Supplemental Budget Request for Inspection Program Area http://www.federalregister.gov/citation/81-FR-81820 81-FR-81820 34-79304 https://www.sec.gov/rules/sro/dtc/2016/34-79304.pdf SR-DTC-2016-013 2016-11-14 Notice / Immediate Effectiveness/to Modify the DTC Settlement Service Guide and Distributions Guide Relating to the Anticipated U.S. Market Transition to a Shortened Settlement Cycle SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-81825 81-FR-81825 34-79305 https://www.sec.gov/rules/sro/batsedga/2016/34-79305.pdf SR-BATSEDGA-2016-26 2016-11-14 Notice / Immediate Effectiveness/Related to Fees for Use of Bats EDGA Exchange, Inc. SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-81832 81-FR-81832 34-79306 https://www.sec.gov/rules/sro/batsedgx/2016/34-79306.pdf SR-BATSEDGX-2016-63 2016-11-14 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-81828 81-FR-81828 34-79307 https://www.sec.gov/rules/sro/batsbyx/2016/34-79307.pdf SR-BATSBYX-2016-34 2016-11-14 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-81842 81-FR-81842 34-79308 https://www.sec.gov/rules/sro/box/2016/34-79308.pdf SR-BOX-2016-52 2016-11-14 Notice / Immediate Effectiveness/to Amend the Fee Schedule on the BOX Market LLC (?BOX?) Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-81834 81-FR-81834 34-79309 https://www.sec.gov/rules/sro/batsbzx/2016/34-79309.pdf SR-BATSBZX-2016-76 2016-11-14 Notice / Immediate Effectiveness/Related to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-81835 81-FR-81835 34-79310 https://www.sec.gov/rules/sro/nysearca/2016/34-79310.pdf SR-NYSEARCA-2016-142 2016-11-14 Notice / Immediate Effectiveness/Amending the Fees for NYSE Arca BBO and NYSE Arca Trades to Lower the Enterprise Fee SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-81820 81-FR-81820 34-79311 https://www.sec.gov/rules/sro/box/2016/34-79311.pdf SR-BOX-2016-45 2016-11-15 Order/to Amend the Treatment of Quotes to Provide that All Quotes on BOX are Liquidity Adding Only SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-83322 81-FR-83322 34-79312 https://www.sec.gov/rules/sro/batsbzx/2016/34-79312.pdf SR-BATSBZX-2016-75 2016-11-15 Notice / Immediate Effectiveness/to Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-83320 81-FR-83320 34-79313 https://www.sec.gov/rules/sro/nyse/2016/34-79313.pdf SR-NYSE-2016-74 2016-11-15 Notice / Immediate Effectiveness/Amending the Fees for NYSE BBO and NYSE Trades to Lower the Enterprise Fee SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-83297 81-FR-83297 34-79314 https://www.sec.gov/rules/sro/nysemkt/2016/34-79314.pdf SR-NYSEMKT-2016-101 2016-11-15 Notice / Immediate Effectiveness/Amending the Fees for NYSE MKT BBO and NYSE MKT Trades to Lower the Enterprise Fee SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-83308 81-FR-83308 34-79315 https://www.sec.gov/rules/sro/c2/2016/34-79315.pdf SR-C2-2016-021 2016-11-15 Notice /Relating to Opening of Series for Trading on the Exchange SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-83313 81-FR-83313 34-79316 https://www.sec.gov/rules/sro/nyse/2016/34-79316.pdf SR-NYSE-2016-45 2016-11-15 Order / Instituting Proceedings to/Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-83303 81-FR-83303 34-79317 https://www.sec.gov/rules/sro/nasdaq/2016/34-79317.pdf SR-NASDAQ-2016-121 2016-11-15 Order / Instituting Proceedings to/Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-83301 81-FR-83301 34-79318 https://www.sec.gov/rules/sro/nms/2016/34-79318.pdf 2016-11-15 Order Approving the National Market System Plan Governing the Consolidated Audit Trail Orders BATS Exchange, Inc. n/k/a Bats BZX Exchange, Inc. BATS-Y Exchange, Inc. n/k/a Bats BYX Exchange, Inc. BOX Options Exchange LLC C2 Options Exchange, Incorporated Chicago Board Options Exchange, Incorporated Chicago Stock Exchange, Inc. EDGA Exchange, Inc. n/k/a Bats EDGA Exchange, Inc. EDGX Exchange, Inc. n/k/a Bats EDGX Exchange, Inc. Financial Industry Regulatory Authority, Inc. International Securities Exchange, LLC ISE Gemini, LLC Miami International Securities Exchange LLC NASDAQ OMX BX, Inc. n/k/a NASDAQ BX, Inc. NASDAQ OMX PHLX LLC n/k/a NASDAQ PHLX LLC National Stock Exchange, Inc. New York Stock Exchange LLC NYSE Arca, Inc. NYSE MKT LLC The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-84696 81-FR-84696 34-79319 https://www.sec.gov/litigation/admin/2016/34-79319.pdf 3-17679 2016-11-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Questrust Ventures, Inc. Zaring Homes, Inc. N/A 34-79320 https://www.sec.gov/litigation/suspensions/2016/34-79320.pdf 500-1 2016-11-16 Trading Suspension Trading Suspensions Kogeto, Inc. Lustros, Inc. Med-X Systems, Inc. N/A 34-79321 https://www.sec.gov/litigation/admin/2016/34-79321.pdf 3-17680 2016-11-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Kogeto, Inc. Lustros, Inc. Med-X Systems, Inc. N/A 34-79322 https://www.sec.gov/rules/sro/phlx/2016/34-79322.pdf SR-PHLX-2016-97 2016-11-16 Order/to Delete Outdated or Unnecessary Rule Language in Phlx Rule 1020 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-83886 81-FR-83886 34-79323 https://www.sec.gov/rules/sro/isemercury/2016/34-79323.pdf SR-ISEMERCURY-2016-20 2016-11-16 Notice / Immediate Effectiveness/to Make Non-Controversial and Technical Changes to Exchange Rules SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-83884 81-FR-83884 34-79324 https://www.sec.gov/rules/sro/icc/2016/34-79324.pdf SR-ICC-2016-013 2016-11-16 Notice /to Amend the ICE Clear Credit Clearing Rules SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-83906 81-FR-83906 34-79325 https://www.sec.gov/litigation/admin/2016/34-79325.pdf IA-4568 3-17681 2016-11-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Anderson, Bryan W. N/A 34-79326 https://www.sec.gov/rules/sro/phlx/2016/34-79326.pdf SR-PHLX-2016-113 2016-11-16 Notice / Immediate Effectiveness/to Amend the Limit Order Protection SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-83917 81-FR-83917 34-79327 https://www.sec.gov/rules/sro/nysearca/2016/34-79327.pdf SR-NYSEARCA-2016-143 2016-11-16 Notice / Amendment No./1, Introducing NYSE OptX SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-83890 81-FR-83890 34-79328 https://www.sec.gov/rules/sro/nysemkt/2016/34-79328.pdf SR-NYSEMKT-2016-102 2016-11-16 Notice / Amendment No./1, Introducing NYSE OptX SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-83888 81-FR-83888 34-79329 https://www.sec.gov/rules/sro/bx/2016/34-79329.pdf SR-BX-2016-058 2016-11-16 Notice / Immediate Effectiveness/to Amend the Limit Order Protection SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-83902 81-FR-83902 34-79330 https://www.sec.gov/rules/sro/nasdaq/2016/34-79330.pdf SR-NASDAQ-2016-155 2016-11-16 Notice / Immediate Effectiveness/to Amend the Limit Order Protection for members accessing the Nasdaq Market Center SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-83892 81-FR-83892 34-79331 https://www.sec.gov/rules/sro/miax/2016/34-79331.pdf SR-MIAX-2016-43 2016-11-16 Notice / Immediate Effectiveness/to Amend Exchange Rule 605 Market Maker Orders SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-83896 81-FR-83896 34-79332 https://www.sec.gov/litigation/admin/2016/34-79332.pdf 3-17600 2016-11-17 Order Making Findings and Revoking Registration AP Settled Altair Nanotechnologies, Inc. N/A 34-79333 https://www.sec.gov/litigation/suspensions/2016/34-79333.pdf 500-1 2016-11-17 Trading Suspension Trading Suspensions Harvey Westbury Corp. InterCore, Inc. Kalex Corp. N/A 34-79334 https://www.sec.gov/litigation/admin/2016/34-79334.pdf 2016-11-17 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Harvey Westbury Corp. InterCore, Inc. Kalex Corp. N/A 34-79335 https://www.sec.gov/litigation/admin/2016/34-79335.pdf AAER-3824 3-17684 2016-11-17 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled JPMorgan Chase & Co. N/A 34-79336 https://www.sec.gov/rules/other/2016/33-10257.pdf 33-10257 265-28 2016-11-17 Investor Advisory Committee Meeting Notice Investor Advisory Committee http://www.federalregister.gov/citation/81-FR-83888 81-FR-83888 34-79337 https://www.sec.gov/rules/sro/nysearca/2016/34-79337.pdf SR-NYSEARCA-2016-145 2016-11-17 Notice /to Conform to Proposed Amendments to Securities Exchange Act Rule 15c6-1(A) to Shorten the Standard Settlement Cycle from Three Business Days after the Trade Date (?T+3?) to Two Business Days after the Trade Date (?T+2?) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-84635 81-FR-84635 34-79338 https://www.sec.gov/litigation/admin/2016/34-79338.pdf IA-4569 3-17685 2016-11-17 Order Instituting Administrative Proceedings and Notice of Hearing / Order of Suspension AP Litigated Holt (aka Holthusen), Mark D. N/A 34-79339 https://www.sec.gov/rules/sro/batsedgx/2016/34-79339.pdf SR-BATSEDGX-2016-41 2016-11-17 Notice / Designation of Longer Period for Commission Action/Related to the Exchange?s Equity Options Platform to Adopt a Price Improvement Auction, the Bats Auction Mechanism SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84625 81-FR-84625 34-79340 https://www.sec.gov/rules/other/2016/34-79340.pdf 2016-11-17 Order/Application for Relief from a Statutory Disqualification Orders Ruhl, Randy N/A 34-79341 https://www.sec.gov/rules/sro/batsbyx/2016/34-79341.pdf SR-BATSBYX-2016-32 2016-11-17 Notice / Immediate Effectiveness/to Rule 8.11, Effective Date of Judgement and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84655 81-FR-84655 34-79342 https://www.sec.gov/rules/sro/batsbzx/2016/34-79342.pdf SR-BATSBZX-2016-73 2016-11-17 Notice / Immediate Effectiveness/to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84625 81-FR-84625 34-79343 https://www.sec.gov/rules/sro/batsedga/2016/34-79343.pdf SR-BATSEDGA-2016-27 2016-11-17 Notice / Immediate Effectiveness/to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84631 81-FR-84631 34-79344 https://www.sec.gov/rules/sro/batsedgx/2016/34-79344.pdf SR-BATSEDGX-2016-64 2016-11-17 Notice / Immediate Effectiveness/to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84652 81-FR-84652 34-79345 https://www.sec.gov/rules/sro/phlx/2016/34-79345.pdf SR-PHLX-2016-82 2016-11-17 Order / Instituting Proceedings to/to Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Price Orders SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-84629 81-FR-84629 34-79346 https://www.sec.gov/rules/sro/finra/2016/34-79346.pdf SR-FINRA-2016-032 2016-11-17 Notice / Order Accelerating /to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Certain Fixed Income Securities SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-84659 81-FR-84659 34-79347 https://www.sec.gov/rules/sro/msrb/2016/34-79347.pdf SR-MSRB-2016-12 2016-11-17 Notice / Order Accelerating / 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-84637 81-FR-84637 34-79348 https://www.sec.gov/litigation/admin/2016/34-79348.pdf 3-17688 2016-11-18 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Winters, Cody M. N/A 34-79349 https://www.sec.gov/litigation/admin/2016/34-79349.pdf 3-17689 2016-11-18 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hamilton, Nicholas R. N/A 34-79350 https://www.sec.gov/rules/other/2016/33-10258.pdf 33-10258 265-27 2016-11-18 Notice of meeting. Notice Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-84628 81-FR-84628 34-79351 https://www.sec.gov/rules/sro/dtc/2016/34-79351.pdf SR-DTC-2016-008 2016-11-18 Notice / Designation of Longer Period for Commission Action/to Processing of Transactions in Money Market Instruments SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/81-FR-85295 81-FR-85295 34-79352 https://www.sec.gov/rules/sro/ise/2016/34-79352.pdf SR-ISE-2016-26 2016-11-18 Notice /to Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-85277 81-FR-85277 34-79353 https://www.sec.gov/rules/sro/isegemini/2016/34-79353.pdf SR-ISEGEMINI-2016-14 2016-11-18 Notice /to Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-85280 81-FR-85280 34-79354 https://www.sec.gov/rules/sro/isemercury/2016/34-79354.pdf SR-ISEMERCURY-2016-21 2016-11-18 Notice /to Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-85295 81-FR-85295 34-79355 https://www.sec.gov/rules/sro/nyse/2016/34-79355.pdf SR-NYSE-2016-55 2016-11-18 Order/Adopting Maximum Fees Member Organizations May Charge in Connection with the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-85291 81-FR-85291 34-79356 https://www.sec.gov/rules/sro/nscc/2016/34-79356.pdf SR-NSCC-2016-007 2016-11-18 Notice /to Accommodate Shorter Standard Settlement Cycle and Make Other Changes SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-85299 81-FR-85299 34-79357 https://www.sec.gov/rules/sro/nasdaq/2016/34-79357.pdf SR-NASDAQ-2016-127 SR-BX-2016-051 SR-ISE-2016-22 SR-ISEGEMINI-2016-10 SR-ISEMERCURY-2016-16 SR-PHLX-2016-93 SR-BSECC-2016-001 SR-SCCP-2016-01 2016-11-18 Notice / Order Accelerating /to Implement Proxy Access SRO Filing The NASDAQ Stock Market LLC NASDAQ BX, Inc. International Securities Exchange, LLC ISE Gemini, LLC ISE Mercury, LLC NASDAQ PHLX LLC Boston Stock Exchange Clearing Corporation Stock Clearing Corporation of Philadelphia http://www.federalregister.gov/citation/81-FR-85283 81-FR-85283 AP-4344 https://www.sec.gov/alj/aljorders/2016/ap-4344.pdf 3-17664 3-17665 3-17666 3-17667 2016-11-14 Prehearing Order Finding Service Orders Flaster Corporation iLoan Inc. Zubra Inc. Instride, Inc. N/A AP-4345 https://www.sec.gov/alj/aljorders/2016/ap-4345.pdf 3-17104 2016-11-14 Order Admitting RX 1C and RX 1D Orders BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4346 https://www.sec.gov/alj/aljorders/2016/ap-4346.pdf 3-17528 2016-11-14 Order Setting Date for Answer Orders Kazinec, Aaron Nash N/A AP-4347 https://www.sec.gov/alj/aljorders/2016/ap-4347.pdf 3-17525 2016-11-14 Stay Order Orders Milligan, Robert D. N/A AP-4348 https://www.sec.gov/alj/aljorders/2016/ap-4348.pdf 3-17217 2016-11-14 Stay Extension Order Orders TPG Advisors LLC d/b/a The Phillips Group Advisors Phillips, Larry M. N/A AP-4349 https://www.sec.gov/alj/aljorders/2016/ap-4349.pdf 3-17633 2016-11-14 Order Directing Parties to Hold a Prehearing Conference Orders Aronson, David A. CPA N/A AP-4350 https://www.sec.gov/alj/aljorders/2016/ap-4350.pdf 3-17253 2016-11-15 Order on Stipulations Orders Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A AP-4351 https://www.sec.gov/alj/aljorders/2016/ap-4351.pdf 3-16383 2016-11-15 Notice of Hearing Location Orders Hill, Charles L. Jr. N/A AP-4352 https://www.sec.gov/alj/aljorders/2016/ap-4352.pdf 3-17642 2016-11-15 Order to Show Cause Orders Cala Corporation China Huaren Organic Products, Inc. Hangover Joe's Holding Corp. Daystar Techologies, Inc. N/A AP-4353 https://www.sec.gov/alj/aljorders/2016/ap-4353.pdf 3-17228 2016-11-16 Order Granting Motion for Extension of Time to File Post-Hearing Briefs Orders Hall, David S. The Hall Group CPAs Hall, David S. CPA Helterbran Cochran, Michelle L. CPA Cisneros, Susan A. N/A AP-4354 https://www.sec.gov/alj/aljorders/2016/ap-4354.pdf 3-17648 2016-11-16 Order to Show Cause and Postponement Order Orders Q Lotus Holdings, Inc., Spare Backup, Inc N/A AP-4355 https://www.sec.gov/alj/aljorders/2016/ap-4355.pdf 3-17676 2016-11-16 Order Scheduling Hearing and Designating Presiding Judge Orders OTC Global Partners, LLC Dias, Raimundo N/A AP-4356 https://www.sec.gov/alj/aljorders/2016/ap-4356.pdf 3-17395 2016-11-16 Order to Show Cause Orders Jones, Anthony Tyrone JR. N/A AP-4357 https://www.sec.gov/alj/aljorders/2016/ap-4357.pdf 3-15936 2016-11-16 Order to Show Cause Orders Christopher A.T. Pedras (a/k/a/ Chris Pedras a/k/a Antone Thomas Pedras) N/A AP-4358 https://www.sec.gov/alj/aljorders/2016/ap-4358.pdf 3-17674 2016-11-16 Order Scheduling Hearing and Designating Presiding Judge Orders Kon, Alexander N/A AP-4359 https://www.sec.gov/alj/aljorders/2016/ap-4359.pdf 3-17680 2016-11-16 Order Postponing Hearing and Scheduling Prehearing Conference Orders Kogeto, Inc. Lustros. Inc. Med-X Systems, Inc. N/A AP-4360 https://www.sec.gov/alj/aljorders/2016/ap-4360.pdf 3-17632 2016-11-16 Order Postponing Hearing and Scheduling Prehearing Conference Orders Leonard, John M. N/A AP-4361 https://www.sec.gov/alj/aljorders/2016/ap-4361.pdf 3-17659 2016-11-16 Order Postponing Hearing and Scheduling Prehearing Conference Orders Bill The Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A AP-4362 https://www.sec.gov/alj/aljorders/2016/ap-4362.pdf 3-15764 2016-11-16 Order Denying Motions for Leave to Supplement the Record and for Leave to File Sur-reply Orders McDuff, Gary L. N/A AP-4363 https://www.sec.gov/alj/aljorders/2016/ap-4363.pdf 3-17641 2016-11-16 Order Postponing Hearing and Requesting Updated Service Declaration Orders Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A AP-4364 https://www.sec.gov/alj/aljorders/2016/ap-4364.pdf 3-17679 2016-11-17 Order Scheduling Hearing and Designating Presiding Judge Orders Questrust Ventures, Inc. Zaring Homes, Inc. N/A AP-4365 https://www.sec.gov/alj/aljorders/2016/ap-4365.pdf 3-17681 2016-11-17 Order Scheduling Hearing and Designating Presiding Judge Orders Anderson, Bryan Wayne N/A AP-4366 https://www.sec.gov/alj/aljorders/2016/ap-4366.pdf 3-17550 2016-11-17 Post-Hearing Order Orders Ditommaso, Tod A. Esq. N/A AP-4367 https://www.sec.gov/alj/aljorders/2016/ap-4367.pdf 3-17507 2016-11-17 Order Postponing Hearing Orders Pittera, Joseph L. Esq. N/A AP-4368 https://www.sec.gov/alj/aljorders/2016/ap-4368.pdf 3-17393 2016-11-17 Protective Order Orders Peterson, Curtis A. N/A AP-4369 https://www.sec.gov/alj/aljorders/2016/ap-4369.pdf 3-17683 2016-11-18 Order Scheduling Hearing and Designating Presiding Judge Orders Harvey Westbury Corp. Intercore, Inc Kalex Corp. N/A AP-4370 https://www.sec.gov/alj/aljorders/2016/ap-4370.pdf 3-17685 2016-11-18 Order Scheduling Hearing and Designating Presiding Judge Orders Holt, Mark D. Holthusen, Mark D. N/A AP-4371 https://www.sec.gov/alj/aljorders/2016/ap-4371.pdf 3-17387 2016-11-18 Order Denying the Division's Second Motion to Preclude Respondents' Advice-of-Counsel Defense Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4372 https://www.sec.gov/alj/aljorders/2016/ap-4372.pdf 3-17661 2016-11-18 Order Postponing Hearing and Scheduling Prehearing Conference Orders Altholtz, Harvey N/A AP-4373 https://www.sec.gov/alj/aljorders/2016/ap-4373.pdf 3-17651 2016-11-18 Order Postponing Hearing Orders Beamish, Adrian D. CPA N/A AP-4374 https://www.sec.gov/alj/aljorders/2016/ap-4374.pdf 3-17686 2016-11-18 Order Scheduling Hearing and Designating Presiding Judge Orders Lee, James Y. N/A AP-4375 https://www.sec.gov/alj/aljorders/2016/ap-4375.pdf 3-17577 2016-11-18 Show Cause Order Orders Siebert, Robert N/A IA-4568 https://www.sec.gov/litigation/admin/2016/34-79325.pdf 34-79325 3-17681 2016-11-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Anderson, Bryan W. N/A IA-4569 https://www.sec.gov/litigation/admin/2016/34-79338.pdf 34-79338 3-17685 2016-11-17 Order Instituting Administrative Proceedings and Notice of Hearing / Order of Suspension AP Litigated Holt (aka Holthusen), Mark D. N/A IA-4570 https://www.sec.gov/litigation/admin/2016/ia-4570.pdf 3-15390 2016-11-17 Order Granting Consent Orders Ruhl, Randy G. N/A IA-4571 https://www.sec.gov/litigation/admin/2016/ia-4571.pdf 3-17686 2016-11-17 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Lee, James Y. N/A IC-32359 https://www.sec.gov/rules/ic/2016/ic-32359.pdf 812-14619 2016-11-16 Order Orders Nuveen Fund Advisors, LLC N/A IC-32360 https://www.sec.gov/rules/ic/2016/ic-32360.pdf 812-14547 2016-11-16 Notice Notice Legg Mason ETF Equity Trust, et al. http://www.federalregister.gov/citation/81-FR-83899 81-FR-83899 IC-32361 https://www.sec.gov/rules/ic/2016/ic-32361.pdf 812-14542 2016-11-18 Order Orders ALMA Market Linked Trust, et al. N/A ID-1081 https://www.sec.gov/alj/aljdec/2016/id1081cff.pdf 3-17563 2016-11-14 Initial Decision Making Findings and Revoking Registration By Default Initial Decision AIC International Resources Corp. Stellar Metals, Inc. N/A ID-1082 https://www.sec.gov/alj/aljdec/2016/id1082cff.pdf 3-17489 3-17589 2016-11-17 Initial Decision Making Findings and Revoking Registrations By Default Initial Decision Cantab Pharaceuticals PLC International Panorama Resource Corp. Zealous, Inc. (n/k/a Corestream Energy, Inc.) N/A LR-23688 https://www.sec.gov/litigation/litreleases/2016/lr23688.htm 16 CIV. 4512 (KPF) 2016-11-14 Enforcement Case Johnston, Gordon N/A LR-23689 https://www.sec.gov/litigation/litreleases/2016/lr23689.htm 16-CV-3505 2016-11-16 Enforcement Case Martin, Francisco N/A LR-23690 https://www.sec.gov/litigation/litreleases/2016/lr23690.htm 16-CV-8940 2016-11-18 Enforcement Case Campion, Gavin N/A AAER-3823 https://www.sec.gov/litigation/admin/2016/33-10256.pdf 33-10256 3-17678 2016-11-15 AP Settled Egan, Christopher N/A AAER-3824 https://www.sec.gov/litigation/admin/2016/34-79335.pdf 34-79335 3-17684 2016-11-17 AP Settled JPMorgan Chase & Co. N/A