Order Granting Petition for Review and Scheduling Briefs

2017-01-02 115 11 2016-11-28 2016-12-02 Securities Act of 1933 33 10260 10260 Securities Exchange Act of 1934 34 79403 79461 Administrative Proceedings AP 4389 4413 Investment Advisers Act of 1940 IA 4574 4582 Investment Company Act of 1940 IC 32373 32377 Initial Decisions (ALJ) ID 1084 1086 Litigation Releases LR 23695 23698 Accounting and Auditing Enforcement Release AAER 3833 3833 33-10260 https://www.sec.gov/litigation/opinions/2016/33-10260.pdf 34-79413 3-16509 2016-11-28 Order Granting Petition for Review and Scheduling Briefs AP Litigated Edward M. Daspin, a/k/a "Edward (Ed) Michael" N/A 34-79403 https://www.sec.gov/rules/sro/batsedgx/2016/34-79403.pdf SR-BATSEDGX-2016-65 2016-11-28 Notice / Immediate Effectiveness/to Make a Ministerial Change to Exchange Rules 11.8, 11.14, and 11.22. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-87109 81-FR-87109 34-79404 https://www.sec.gov/rules/sro/nysearca/2016/34-79404.pdf SR-NYSEARCA-2016-149 2016-11-28 Notice /Amending Rule 6.91NY SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-87094 81-FR-87094 34-79405 https://www.sec.gov/rules/sro/miax/2016/34-79405.pdf SR-MIAX-2016-44 2016-11-28 Notice / Immediate Effectiveness/to Amend Exchange Rule 518, Complex Orders SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-87086 81-FR-87086 34-79406 https://www.sec.gov/rules/sro/cboe/2016/34-79406.pdf SR-CBOE-2016-080 2016-11-28 Notice /to Amend Rule 6.53C SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-87102 81-FR-87102 34-79407 https://www.sec.gov/rules/sro/phlx/2016/34-79407.pdf SR-PHLX-2016-114 2016-11-28 Notice / Immediate Effectiveness/to Amend 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-87089 81-FR-87089 34-79408 https://www.sec.gov/rules/sro/nasdaq/2016/34-79408.pdf SR-NASDAQ-2016-159 2016-11-28 Notice / Immediate Effectiveness/to Amend 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-87106 81-FR-87106 34-79409 https://www.sec.gov/rules/sro/bx/2016/34-79409.pdf SR-BX-2016-061 2016-11-28 Notice / Immediate Effectiveness/to Amend 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-87091 81-FR-87091 34-79410 https://www.sec.gov/rules/sro/nms/2016/34-79410.pdf 4-631 2016-11-28 Joint Industry Plan/Notice /Twelfth Amendment to the NMS Plan to Address Extraordinary Market Volatility SRO Filing Bats EDGA Exchange, Inc. Bats BZX Exchange, Inc. Bats BYX Exchange, Inc. Bats EDGX Exchange, Inc. Chicago Stock Exchange, Inc. Financial Industry Regulatory Authority, Inc. Investors Exchange LLC NASDAQ BX, Inc. NASDAQ PHLX LLC The Nasdaq Stock Market LLC National Stock Exchange, Inc. New York Stock Exchange, LLC NYSE MKT LLC NYSE Arca, Inc. Joint Industry Plan http://www.federalregister.gov/citation/81-FR-87114 81-FR-87114 34-79411 https://www.sec.gov/rules/sro/batsedgx/2016/34-79411.pdf SR-BATSEDGX-2016-66 2016-11-28 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Fee Schedule SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/81-FR-87111 81-FR-87111 34-79412 https://www.sec.gov/rules/sro/batsedga/2016/34-79412.pdf SR-BATSEDGA-2016-28 2016-11-28 Notice / Immediate Effectiveness/to Make a Ministerial Change to Exchange Rules 11.10, 11.14, and 11.21. SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-87112 81-FR-87112 34-79413 https://www.sec.gov/litigation/opinions/2016/33-10260.pdf 33-10260 3-16509 2016-11-28 Order Granting Petition for Review and Scheduling Briefs AP Litigated Edward M. Daspin, a/k/a "Edward (Ed) Michael" N/A 34-79414 https://www.sec.gov/litigation/admin/2016/34-79414.pdf 3-17350 2016-11-29 Notice That Initial Decision Has Become Final Notice Algorex Corporation Canadian Piper Air Corp. Capital and Services, Inc. NP Energy Corporation N/A 34-79415 https://www.sec.gov/litigation/admin/2016/34-79415.pdf 3-17366 2016-11-29 Notice That Initial Decision Has Become Final Notice Capitol City Bancshares, Inc. Powder River Coal Corp. N/A 34-79416 https://www.sec.gov/litigation/suspensions/2016/34-79416.pdf 500-1 2016-11-29 Trading Suspension Trading Suspensions Odyssey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A 34-79417 https://www.sec.gov/litigation/admin/2016/34-79417.pdf 3-17698 2016-11-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Odyssey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A 34-79418 https://www.sec.gov/litigation/admin/2016/34-79418.pdf 3-17375 2016-11-29 Notice That Initial Decision Has Become Final Notice Ameralink, Inc. Basin Industries, Inc. Clinicorp, Inc. (n/k/a Trident Medical Concepts, Inc.) Claire Coast Corporation N/A 34-79419 https://www.sec.gov/litigation/admin/2016/34-79419.pdf 3-17381 2016-11-29 Notice That Initial Decision Has Become Final Notice Safecode Drug Technologies Corp. N/A 34-79420 https://www.sec.gov/rules/sro/bx/2016/34-79420.pdf SR-BX-2016-062 2016-11-29 Notice / Immediate Effectiveness/to Amend Chapter VI, Section 5 to Extend the Penny Pilot Program SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-87639 81-FR-87639 34-79421 https://www.sec.gov/rules/sro/box/2016/34-79421.pdf SR-BOX-2016-48 2016-11-29 Notice /to Adopt Rules for an Open-Outcry Trading Floor SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-87607 81-FR-87607 34-79422 https://www.sec.gov/rules/sro/nms/2016/34-79422.pdf 4-533 2016-11-29 Notice / Immediate Effectiveness/Joint Industry Plan Amendment to the NMS Plan for the Selection and Reservation of Securities Symbols to Add as a Party Thereto SRO Filing Investors Exchange, LLC http://www.federalregister.gov/citation/81-FR-87645 81-FR-87645 34-79423 https://www.sec.gov/rules/sro/cboe/2016/34-79423.pdf SR-CBOE-2016-078 2016-11-29 Notice / Amendment No./Relating to Disaster Recovery SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-87641 81-FR-87641 34-79424 https://www.sec.gov/rules/sro/finra/2016/34-79424.pdf SR-FINRA-2016-042 2016-11-29 Notice / Immediate Effectiveness/to Amend FINRA Rule 6191 to Modify the Website Data Publication Requirements Relating to 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-87603 81-FR-87603 34-79425 https://www.sec.gov/rules/sro/phlx/2016/34-79425.pdf SR-PHLX-2016-115 2016-11-29 Notice / Immediate Effectiveness/to Extend the Penny Pilot Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-87633 81-FR-87633 34-79426 https://www.sec.gov/alj/aljdec/2016/34-79426.pdf 3-17252 2016-11-29 Notice That Initial Decision Has Become Final Notice Von Hase, Stephan N/A 34-79427 https://www.sec.gov/litigation/admin/2016/34-79427.pdf 3-16652 3-16892 2016-11-29 Order Approving a Plan of Distribution Enforcement Case Wilson, Michael S. CPA Budden, James T. Budden, Alexander W. Cotterman-Wilson CPA's Inc N/A 34-79428 https://www.sec.gov/rules/sro/nasdaq/2016/34-79428.pdf SR-NASDAQ-2016-161 2016-11-30 Notice /to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757 SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-87628 81-FR-87628 34-79429 https://www.sec.gov/rules/sro/box/2016/34-79429.pdf SR-BOX-2016-55 2016-11-30 Notice / Immediate Effectiveness/to Amend Rule 7260 by Extending the Penny Pilot Program through June 30, 2017 SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-87991 81-FR-87991 34-79430 https://www.sec.gov/rules/sro/batsbyx/2016/34-79430.pdf SR-BATSBYX-2016-36 2016-11-30 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Fee Schedule SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-87993 81-FR-87993 34-79431 https://www.sec.gov/rules/sro/nasdaq/2016/34-79431.pdf SR-NASDAQ-2016-120 2016-11-30 Order / Instituting Proceedings to/to Amend Rules 7034 and 7051 to Establish the Third Party Connectivity Service SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-87981 81-FR-87981 34-79432 https://www.sec.gov/rules/sro/miax/2016/34-79432.pdf SR-MIAX-2016-45 2016-11-30 Notice / Immediate Effectiveness/to Amend Exchange Rule 510 to Extend the Penny Pilot Program SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-87990 81-FR-87990 34-79433 https://www.sec.gov/rules/sro/nasdaq/2016/34-79433.pdf SR-NASDAQ-2016-160 2016-11-30 Notice / Immediate Effectiveness/to Amend Chapter VI, Section 5 to Extend the Penny Pilot Program SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-87995 81-FR-87995 34-79434 https://www.sec.gov/litigation/admin/2016/34-79434.pdf 3-17700 2016-11-30 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Mars Acquisitions, Inc. SoftNet Technology Corp. N/A 34-79435 https://www.sec.gov/rules/sro/occ/2016/34-79435.pdf SR-OCC-2016-014 2016-11-30 Notice / Order Accelerating /Related to Compliance with Section 871(m) of the Internal Revenue Code SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-87984 81-FR-87984 34-79436 https://www.sec.gov/rules/sro/batsedga/2016/34-79436.pdf SR-BATSEDGA-2016-29 2016-12-01 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Fee Schedule SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-88289 81-FR-88289 34-79437 https://www.sec.gov/rules/sro/batsbzx/2016/34-79437.pdf SR-BATSBZX-2016-78 2016-12-01 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Fee Schedule SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-88277 81-FR-88277 34-79438 https://www.sec.gov/rules/sro/batsedgx/2016/34-79438.pdf SR-BATSEDGX-2016-67 2016-12-01 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Equity Options Fee Schedule SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-88281 81-FR-88281 34-79439 https://www.sec.gov/rules/sro/icc/2016/34-79439.pdf SR-ICC-2016-014 2016-12-01 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-88291 81-FR-88291 34-79440 https://www.sec.gov/litigation/admin/2016/34-79440.pdf 3-14854 2016-12-01 Order Approving Plan of Distribution and Authorizing Transfer of Fair Fund Enforcement Case GMB Capital Management LLC (Currently known as) Clear Stream Investments Bitran, Gabriel Bitran, Marco GMB Capital Partners LLC N/A 34-79441 https://www.sec.gov/rules/sro/c2/2016/34-79441.pdf SR-C2-2016-023 2016-12-01 Notice / Immediate Effectiveness/Relating to the Penny Pilot Program SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-88282 81-FR-88282 34-79442 https://www.sec.gov/rules/sro/cboe/2016/34-79442.pdf SR-CBOE-2016-083 2016-12-01 Notice / Immediate Effectiveness/Relating to the Penny Pilot Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-88293 81-FR-88293 34-79443 https://www.sec.gov/rules/sro/nysemkt/2016/34-79443.pdf SR-NYSEMKT-2016-109 2016-12-01 Notice / Immediate Effectiveness/Amending Its Rules Governing Business Continuity and Disaster Recovery Planning SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-88304 81-FR-88304 34-79444 https://www.sec.gov/rules/sro/nyse/2016/34-79444.pdf SR-NYSE-2016-81 2016-12-01 Notice / Immediate Effectiveness/Amending Its Rules Governing Business Continuity and Disaster Recovery SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-88306 81-FR-88306 34-79445 https://www.sec.gov/rules/sro/nysearca/2016/34-79445.pdf SR-NYSEARCA-2016-152 2016-12-01 Notice / Immediate Effectiveness/Representation Regarding Investments by PowerShares DB Trust Issued Receipts Listed under Commentary .02 to NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-88302 81-FR-88302 34-79446 https://www.sec.gov/rules/sro/bx/2016/34-79446.pdf SR-BX-2016-065 2016-12-01 Notice / Immediate Effectiveness/to Extend the Pilot Period for the Retail Price Improvement Program Until December 1, 2017 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-88279 81-FR-88279 34-79447 https://www.sec.gov/rules/sro/nasdaq/2016/34-79447.pdf SR-NASDAQ-2016-163 2016-12-01 Notice / Immediate Effectiveness/to Change the Titles of Equities Rule 7015 and Options Chapter XV, Section 3, and to Make Related Changes SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-88311 81-FR-88311 34-79448 https://www.sec.gov/rules/sro/bx/2016/34-79448.pdf SR-BX-2014-048 2016-12-01 Order/Extension to Limited Exemption from Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program Until December 1, 2017 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-88290 81-FR-88290 34-79449 https://www.sec.gov/litigation/admin/2016/34-79449.pdf 3-16877 3-16878 2016-12-01 Extension Order Enforcement Case Richards, Howard Goodland, James Securus Wealth Management, LLC N/A 34-79450 https://www.sec.gov/rules/sro/batsbzx/2016/34-79450.pdf SR-BATSBZX-2016-80 2016-12-01 Notice /to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-88284 81-FR-88284 34-79451 https://www.sec.gov/litigation/admin/2016/34-79451.pdf 3-17703 2016-12-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Flowers, Thomas A. N/A 34-79452 https://www.sec.gov/litigation/admin/2016/34-79452.pdf 3-17683 2016-12-02 Order Making Findings and Revoking Registration Orders Harvey Westbury Corp. N/A 34-79453 https://www.sec.gov/litigation/admin/2016/34-79453.pdf IA-4582 3-17704 2016-12-02 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled McKelvey, Daniel P. N/A 34-79454 https://www.sec.gov/litigation/admin/2016/34-79454.pdf AAER-3833 3-17705 2016-12-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled United Continental Holdings, Inc. N/A 34-79455 https://www.sec.gov/rules/sro/finra/2016/34-79455.pdf SR-FINRA-2016-033 2016-12-02 Order/to Amend Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-88720 81-FR-88720 34-79456 https://www.sec.gov/rules/sro/nasdaq/2016/34-79456.pdf SR-NASDAQ-2016-162 2016-12-02 Notice / Immediate Effectiveness/to Amend the Exchange�s Transaction Fees at Rule 7047 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-88716 81-FR-88716 34-79457 https://www.sec.gov/rules/sro/batsbzx/2016/34-79457.pdf SR-BATSBZX-2016-79 2016-12-02 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Equity Options Fee Schedule SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-88713 81-FR-88713 34-79458 https://www.sec.gov/rules/sro/nyse/2016/34-79458.pdf SR-NYSE-2016-69 2016-12-02 Notice / Immediate Effectiveness/Amending Chapter Nine of the NYSE Listed Company Manual SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-88714 81-FR-88714 34-79459 https://www.sec.gov/litigation/opinions/2016/34-79459.pdf 3-16383 2016-12-02 Order Denying Motion to De-Institute Administrative Proceeding Orders Hill, Charles L. Jr. N/A 34-79460 https://www.sec.gov/litigation/admin/2016/34-79460.pdf 3-17706 2016-12-02 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing a Cease-and-Desist Order AP Settled Winters, Marc N/A 34-79461 https://www.sec.gov/litigation/admin/2016/34-79461.pdf 3-17707 2016-12-02 Order of Forthwith Suspension AP Litigated Cole, Bruce A. Esq. N/A AP-4389 https://www.sec.gov/alj/aljorders/2016/ap-4389.pdf 3-17184 2016-11-28 Order Extending Briefing Deadlines Orders Gibson, Christopher M. N/A AP-4390 https://www.sec.gov/alj/aljorders/2016/ap-4390.pdf 3-17551 2016-11-28 Order Regarding Withdrawal Orders Med-X, Inc. N/A AP-4391 https://www.sec.gov/alj/aljorders/2016/ap-4391.pdf 3-17679 2016-11-28 Order Postponing Hearing and Scheduling Prehearing Conference Orders Questrust Ventures, Inc. Zaring Homes, Inc. N/A AP-4392 https://www.sec.gov/alj/aljorders/2016/ap-4392.pdf 3-17574 2016-11-28 Show Cause Order Orders Accel Brands, Inc. 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N/A AP-4398 https://www.sec.gov/alj/aljorders/2016/ap-4398.pdf 3-17664 3-17665 3-17666 3-17667 2016-11-29 Post-Hearing Order to Show Cause Orders Flaster Corporation iLoan Inc. Zubra Inc. Instride Inc. N/A AP-4399 https://www.sec.gov/alj/aljorders/2016/ap-4399.pdf 3-16383 2016-11-29 Order Granting Motion in Limine Orders Hill, Charles L. Jr N/A AP-4400 https://www.sec.gov/alj/aljorders/2016/ap-4400.pdf 3-17649 2016-11-29 Order Following Prehearing Conference and to Show Cause Orders Bionovo, Inc. Interamerican Gaming, Inc. Spot Mobile International Ltd. N/A AP-4401 https://www.sec.gov/alj/aljorders/2016/ap-4401.pdf 3-17659 2016-11-29 Order Following Prehearing Conference and to Show Cause Orders Bill the Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A AP-4402 https://www.sec.gov/alj/aljorders/2016/ap-4402.pdf 3-16554 2016-11-29 Order Regarding Motion to Quash Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. 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Spare Backup, Inc. N/A ID-1086 https://www.sec.gov/alj/aljdec/2016/id1086jeg.pdf 3-17642 2016-12-01 Initial Decision of Default as to Three Respondents Initial Decision Cala Corporation China Huaren Organic Products, Inc. Daystar Technologies, Inc. Hangover Joe's Holding Corp. N/A LR-23695 https://www.sec.gov/litigation/litreleases/2016/lr23695.htm 2:16CV01199-TC 2016-11-30 Enforcement Case Kelley, Andrew D. Shumway, Paul H. Blackbird Capital Partners, LLC N/A LR-23696 https://www.sec.gov/litigation/litreleases/2016/lr23696.htm 16-CV-06606 2016-11-30 Enforcement Case Katzen, Harrison N/A LR-23697 https://www.sec.gov/litigation/litreleases/2016/lr23697.htm 1:16-CV-24678-MGC 2016-12-01 Enforcement Case Onix Capital, LLC Chang-Rajii, Alberto Deep Ocean LLC Next Cab Ventures LLC Next Call Ventures LLC Next Chat Ventures LLC Next Pay Ventures LLC Next Track Ventures LLC Next U Ventures LLC Progressive Power LLC N/A LR-23698 https://www.sec.gov/litigation/litreleases/2016/lr23698.htm 16-CV-24872 2016-12-02 Enforcement Case Calleja, Rafael Antonio Jr. N/A AAER-3833 https://www.sec.gov/litigation/admin/2016/34-79454.pdf 34-79454 3-17705 2016-12-02 AP Settled United Continental Holdings, Inc. N/A