Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2017

2017-01-17 115 13 2016-12-12 2016-12-16 Securities Act of 1933 33 10266 10273 Securities Exchange Act of 1934 34 79524 79587 Administrative Proceedings AP 4430 4460 Investment Advisers Act of 1940 IA 4587 4590 Investment Company Act of 1940 IC 32389 32394 Initial Decisions (ALJ) ID 1087 1091 Litigation Releases LR 23702 23702 33-10266 https://www.sec.gov/rules/other/2016/33-10266.pdf 34-79544 2016-12-14 Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2017 Orders PCAOB's 2017 Budget and Accounting Support Fee http://www.federalregister.gov/citation/81-FR-92885 81-FR-92885 33-10267 https://www.sec.gov/litigation/admin/2016/33-10267.pdf 34-79571 3-17726 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Nguyen, Lan Phuong Esq. N/A 33-10268 https://www.sec.gov/litigation/admin/2016/33-10268.pdf 34-79573 3-17727 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Muellerleile, Michael J. Esq. M2 Law Professional Corp. N/A 33-10269 https://www.sec.gov/litigation/admin/2016/33-10269.pdf 34-79574 3-17728 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Felix, Joel N/A 33-10270 https://www.sec.gov/litigation/admin/2016/33-10270.pdf 34-79575 3-17729 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Empire Stock Transfer Inc. Blevins, Matthew J. N/A 33-10271 https://www.sec.gov/rules/other/2016/33-10271.pdf NO FILE NUMBER 2016-12-16 Order Granting a Waiver from Being an Ineligible Issuer Orders Deutsche Bank Aktiengesellschaft N/A 33-10272 https://www.sec.gov/litigation/admin/2016/33-10272.pdf 34-79576 IA-4590 3-17730 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Deutsche Bank Securities Inc. N/A 33-10273 https://www.sec.gov/rules/other/2016/33-10273.pdf 3-17730 2016-12-16 Order Granting a Waiver from Being an Ineligible Issuer Orders Deutsche Bank Aktiengesellschaft N/A 34-79524 https://www.sec.gov/rules/sro/nysearca/2016/34-79524.pdf SR-NYSEARCA-2016-156 2016-12-12 Notice / Immediate Effectiveness/to Amend Commentary .02 to Rule 6.72 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-91220 81-FR-91220 34-79525 https://www.sec.gov/rules/sro/nysemkt/2016/34-79525.pdf SR-NYSEMKT-2016-111 2016-12-12 Notice / Immediate Effectiveness/to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-91230 81-FR-91230 34-79526 https://www.sec.gov/rules/sro/batsedgx/2016/34-79526.pdf SR-BATSEDGX-2016-71 2016-12-12 Notice / Immediate Effectiveness/to Rule 21.5 of Bats EDGX Exchange, Inc. to Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91235 81-FR-91235 34-79527 https://www.sec.gov/rules/sro/iex/2016/34-79527.pdf SR-IEX-2016-19 2016-12-12 Notice / Immediate Effectiveness/to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Any Nominee for Director or Sitting Director in Connection with Their Candidacy for or Service On the Companies� Board of Directors. SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-91211 81-FR-91211 34-79528 https://www.sec.gov/rules/sro/dtc/2016/34-79528.pdf SR-DTC-2016-007 SR-FICC-2016-005 SR-NSCC-2016-003 2016-12-12 Notice / Order Accelerating /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-91232 81-FR-91232 34-79529 https://www.sec.gov/litigation/admin/2016/34-79529.pdf 2016-12-12 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hass, Pamela M. N/A 34-79530 https://www.sec.gov/rules/sro/ise/2016/34-79530.pdf SR-ISE-2016-29 2016-12-12 Notice /to Amend ISE Rule 723 and to Make Pilot Program Permanent SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-91221 81-FR-91221 34-79531 https://www.sec.gov/rules/sro/box/2016/34-79531.pdf SR-BOX-2016-58 2016-12-12 Notice /to Amend Interpretive Material to Rule 7150 (Price Improvement Period �PIP�) and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period �COPIP�) to Make Permanent the Pilot Programs that Permit the Exchange to Have No Minimum Size Requirement for Orders Entered into the PIP (�PIP Pilot Program�) and COPIP (�COPIP Pilot Program�) SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-91227 81-FR-91227 34-79532 https://www.sec.gov/rules/sro/nasdaq/2016/34-79532.pdf SR-NASDAQ-2016-166 2016-12-12 Notice / Immediate Effectiveness/to Amend the Exchange�s Transaction Fees at Chapter XV, Section 2 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-91216 81-FR-91216 34-79533 https://www.sec.gov/rules/sro/batsbzx/2016/34-79533.pdf SR-BATSBZX-2016-82 2016-12-13 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91990 81-FR-91990 34-79534 https://www.sec.gov/rules/sro/batsbyx/2016/34-79534.pdf SR-BATSBYX-2016-37 2016-12-13 Notice / Immediate Effectiveness/to amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91965 81-FR-91965 34-79535 https://www.sec.gov/rules/sro/ficc/2016/34-79535.pdf SR-FICC-2016-008 2016-12-13 Notice / Immediate Effectiveness/to Modify the MBSD Schedule of Charges Dealer Account Group SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-91964 81-FR-91964 34-79536 https://www.sec.gov/rules/sro/batsedga/2016/34-79536.pdf SR-BATSEDGA-2016-30 2016-12-13 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.21(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91993 81-FR-91993 34-79537 https://www.sec.gov/rules/sro/batsedgx/2016/34-79537.pdf SR-BATSEDGX-2016-70 2016-12-13 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.22(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91971 81-FR-91971 34-79538 https://www.sec.gov/rules/sro/chx/2016/34-79538.pdf SR-CHX-2016-21 2016-12-13 Notice / Immediate Effectiveness/to Modify the Website Data Publication Requirements and Clarify Certain Data Reporting Obligations Related to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91979 81-FR-91979 34-79539 https://www.sec.gov/rules/sro/isemercury/2016/34-79539.pdf SR-ISEMERCURY-2016-25 2016-12-13 Notice /Amend ISE Mercury Rule 723 and to Make Pilot Program Permanent SRO Filing ISE Mercury LLC http://www.federalregister.gov/citation/81-FR-91982 81-FR-91982 34-79540 https://www.sec.gov/rules/sro/cboe/2016/34-79540.pdf SR-CBOE-2016-082 2016-12-13 Notice /to Rules Regarding the Responsibility for Ensuring Compliance with Open Outcry Priority and Allocation Requirements and Trade-Through Prohibitions SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-91967 81-FR-91967 34-79541 https://www.sec.gov/rules/sro/isegemini/2016/34-79541.pdf SR-ISEGEMINI-2016-23 2016-12-13 Notice /Amend ISE Gemini Rule 723 and to Make Pilot Program Permanent SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-91974 81-FR-91974 34-79542 https://www.sec.gov/litigation/admin/2016/34-79542.pdf 3-17721 2016-12-13 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Ben Franklin Retail Stores, Inc. Enrotek Corp. Spectre Gaming, Inc. N/A 34-79543 https://www.sec.gov/rules/other/2016/34-79543.pdf 10-227 2016-12-13 Findings, Opinion, and Order of the Commission Orders MIAX PEARL, LLC http://www.federalregister.gov/citation/81-FR-92901 81-FR-92901 34-79544 https://www.sec.gov/rules/other/2016/33-10266.pdf 33-10266 2016-12-14 Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2017 Orders PCAOB's 2017 Budget and Accounting Support Fee http://www.federalregister.gov/citation/81-FR-92885 81-FR-92885 34-79545 https://www.sec.gov/rules/sro/phlx/2016/34-79545.pdf SR-PHLX-2016-118 2016-12-14 Notice / Immediate Effectiveness/to Amend 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-92916 81-FR-92916 34-79546 https://www.sec.gov/rules/sro/nasdaq/2016/34-79546.pdf SR-NASDAQ-2016-165 2016-12-14 Notice / Immediate Effectiveness/to Amend Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-92932 81-FR-92932 34-79547 https://www.sec.gov/rules/sro/nysearca/2016/34-79547.pdf SR-NYSEARCA-2016-161 2016-12-14 Notice / Immediate Effectiveness/Amending NYSE Arca Rule 10.17 and NYSE Arca Equities Rule 10.15 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-92892 81-FR-92892 34-79548 https://www.sec.gov/rules/sro/cboe/2016/34-79548.pdf SR-CBOE-2016-085 2016-12-14 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-92883 81-FR-92883 34-79549 https://www.sec.gov/rules/sro/bx/2016/34-79549.pdf SR-BX-2016-067 2016-12-14 Notice / Immediate Effectiveness/to Amend 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-92886 81-FR-92886 34-79550 https://www.sec.gov/rules/sro/nysearca/2016/34-79550.pdf SR-NYSEARCA-2016-120 2016-12-14 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund under Commentary .02 to NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-92892 81-FR-92892 34-79551 https://www.sec.gov/rules/sro/nasdaq/2016/34-79551.pdf SR-NASDAQ-2016-131 2016-12-14 Notice / Designation of Longer Period for Commission Action/to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-92885 81-FR-92885 34-79552 https://www.sec.gov/rules/sro/batsbzx/2016/34-79552.pdf SR-BATSBZX-2016-61 2016-12-14 Notice / Designation of Longer Period for Commission Action/to Amend Exchange Rule 11.23, Auctions, 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 SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-92928 81-FR-92928 34-79553 https://www.sec.gov/litigation/admin/2016/34-79553.pdf 3-13675 2016-12-14 Order Directing Disbursement of Fair Fund and Vacating Prior Order of Disbursement Orders Value Line, Inc. Value Line Securities, Inc. Buttner, Jean Bernhard Buttner Henigson, David N/A 34-79554 https://www.sec.gov/rules/sro/nasdaq/2016/34-79554.pdf SR-NASDAQ-2016-141 2016-12-14 Notice / Designation of Longer Period for Commission Action/to Amend Rule 4702 to Adopt a New Retail Post-Only Order SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-92927 81-FR-92927 34-79555 https://www.sec.gov/rules/sro/c2/2016/34-79555.pdf SR-C2-2016-020 2016-12-14 Order/Approving a Proposed Rule Change Relating to Price Protection Mechanisms and Risk Controls SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-92928 81-FR-92928 34-79556 https://www.sec.gov/rules/sro/nasdaq/2016/34-79556.pdf SR-NASDAQ-2016-167 2016-12-14 Notice / Immediate Effectiveness/to Modify Distributor Fees for ITTO and BONO Data Feeds SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-92935 81-FR-92935 34-79557 https://www.sec.gov/rules/sro/box/2016/34-79557.pdf SR-BOX-2016-57 2016-12-14 Notice / Immediate Effectiveness/to Detail How Complex Orders Will Execute Through the Solicitation Auction Mechanism SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-92919 81-FR-92919 34-79558 https://www.sec.gov/rules/sro/nysemkt/2016/34-79558.pdf SR-NYSEMKT-2016-114 2016-12-14 Notice / Immediate Effectiveness/Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-92889 81-FR-92889 34-79559 https://www.sec.gov/rules/sro/nysemkt/2016/34-79559.pdf SR-NYSEMKT-2016-115 2016-12-14 Notice / Immediate Effectiveness/Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-92923 81-FR-92923 34-79560 https://www.sec.gov/rules/sro/cboe/2016/34-79560.pdf SR-CBOE-2016-081 2016-12-14 Notice / Immediate Effectiveness/to Move the Website and Vendor Through Which It Sells and Disseminates Open and Close Volume Data on the CBOE SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-92925 81-FR-92925 34-79561 https://www.sec.gov/rules/sro/nysemkt/2016/34-79561.pdf SR-NYSEMKT-2016-58 2016-12-15 Notice / Withdrawal /Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-93715 81-FR-93715 34-79562 https://www.sec.gov/rules/sro/isegemini/2016/34-79562.pdf SR-ISEGEMINI-2016-20 2016-12-15 Notice / Immediate Effectiveness/to Remove Direct Debit for Market Data Products SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-93722 81-FR-93722 34-79563 https://www.sec.gov/rules/sro/ise/2016/34-79563.pdf SR-ISE-2016-28 2016-12-15 Notice / Immediate Effectiveness/to Remove Direct Debit for Market Data Products SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-93718 81-FR-93718 34-79564 https://www.sec.gov/rules/sro/nysemkt/2016/34-79564.pdf SR-NYSEMKT-2016-116 2016-12-15 Notice / Immediate Effectiveness/Extending Its Program that Allows Transactions to Take Place at a Price that is Below $1 Per Option Contract until July 5, 2017 SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-93716 81-FR-93716 34-79565 https://www.sec.gov/rules/sro/nysearca/2016/34-79565.pdf SR-NYSEARCA-2016-163 2016-12-15 Notice / Immediate Effectiveness/Extending Its Program that Allows Transactions to Take Place at a Price that is Below $1 Per Option Contract until July 5, 2017 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-93723 81-FR-93723 34-79566 https://www.sec.gov/litigation/admin/2016/34-79566.pdf 3-17723 2016-12-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Deucher, Chad N/A 34-79567 https://www.sec.gov/litigation/admin/2016/34-79567.pdf 3-17724 2016-12-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Clatfelter, Richard N/A 34-79568 https://www.sec.gov/litigation/admin/2016/34-79568.pdf IA-4588 IC-32394 3-17217 2016-12-15 Order Making Findings, and Imposing Remedial Sanctions AP Settled TPG Advisors, LLC (d/b/a The Phillips Group Advisors) Phillips, Larry M. N/A 34-79569 https://www.sec.gov/litigation/admin/2016/34-79569.pdf 3-17632 2016-12-15 Order Making Findings, and Imposing Remedial Sanctions AP Settled Leonard, John M. N/A 34-79570 https://www.sec.gov/rules/sro/finra/2016/34-79570.pdf SR-FINRA-2016-045 2016-12-15 Notice / Immediate Effectiveness/to Rule 4554 Reporting Requirements for Alternative Trading Systems SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-93720 81-FR-93720 34-79571 https://www.sec.gov/litigation/admin/2016/33-10267.pdf 33-10267 3-17726 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Nguyen, Lan Phuong Esq. N/A 34-79572 https://www.sec.gov/litigation/suspensions/2016/34-79572.pdf 500-1 2016-12-16 Trading Suspension Trading Suspensions American Energy Development Corp. N/A 34-79573 https://www.sec.gov/litigation/admin/2016/33-10268.pdf 33-10268 3-17727 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Muellerleile, Michael J. Esq. M2 Law Professional Corp. N/A 34-79574 https://www.sec.gov/litigation/admin/2016/33-10269.pdf 33-10269 3-17728 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Felix, Joel N/A 34-79575 https://www.sec.gov/litigation/admin/2016/33-10270.pdf 33-10270 3-17729 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Empire Stock Transfer Inc. Blevins, Matthew J. N/A 34-79576 https://www.sec.gov/litigation/admin/2016/33-10272.pdf 33-10272 IA-4590 3-17730 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Deutsche Bank Securities Inc. N/A 34-79577 https://www.sec.gov/rules/other/2016/34-79577.pdf 601-01 2016-12-16 to Modify an Existing Exemption from Clearing Agency Registration Orders Euroclear Bank SA/NV http://www.federalregister.gov/citation/81-FR-93994 81-FR-93994 34-79578 https://www.sec.gov/litigation/admin/2016/34-79578.pdf 3-17731 2016-12-16 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Barkley, Byron B. Davis, Paul N. N/A 34-79579 https://www.sec.gov/litigation/admin/2016/34-79579.pdf 3-17732 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Kerrigone, Anthony B. N/A 34-79580 https://www.sec.gov/litigation/admin/2016/34-79580.pdf 3-17733 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Wilson-Davis & Company, Inc. N/A 34-79581 https://www.sec.gov/litigation/admin/2016/34-79581.pdf 3-17735 2016-12-16 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Myers, Jo Ann Pickett, Hollis W. Jr. N/A 34-79582 https://www.sec.gov/rules/sro/nyse/2016/34-79582.pdf SR-NYSE-2016-70 2016-12-16 Notice / Immediate Effectiveness/to Adopt a Fee Cap Specific to Investment Management Entities and Their Eligible Portfolio Companies SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-93976 81-FR-93976 34-79583 https://www.sec.gov/rules/sro/phlx/2016/34-79583.pdf SR-PHLX-2016-104 2016-12-16 Order/to Amend Phlx Rule 748, Supervision SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-93986 81-FR-93986 34-79584 https://www.sec.gov/rules/sro/phlx/2016/34-79584.pdf SR-PHLX-2016-119 2016-12-16 Notice / Filing of Amendment No. /Amendment No. 1 Thereto, to Amend the PIXL Price Improvement Auction in Phlx Rule 1080(n) and to Make Pilot Program Permanent SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-93979 81-FR-93979 34-79585 https://www.sec.gov/rules/sro/batsbzx/2016/34-79585.pdf SR-BATSBZX-2016-68 SR-BATSBYX-2016-29 SR-BATSEDGA-2016-24 SR-BATSEDGX-2016-60 2016-12-16 Order/in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc. SRO Filing Bats BZX Exchange, Inc. Bats BYX Exchange, Inc. Bats EDGA Exchange, Inc. Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-93988 81-FR-93988 34-79586 https://www.sec.gov/rules/sro/nysearca/2016/34-79586.pdf SR-NYSEARCA-2013-107 2016-12-16 Order/Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchange's Retail Liquidity Program Until June 30, 2017 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-93719 81-FR-93719 34-79587 https://www.sec.gov/rules/sro/nyse/2016/34-79587.pdf SR-NYSE-2011-55 2016-12-16 Order/Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until June 30, 2017 SRO Filing New Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-93975 81-FR-93975 AP-4430 https://www.sec.gov/alj/aljorders/2016/ap-4430.pdf 3-17715 2016-12-12 Order Scheduling Hearing and Designating Presiding Judge Orders Sen Yu International Holding, Inc. N/A AP-4431 https://www.sec.gov/alj/aljorders/2016/ap-4431.pdf 3-17716 2016-12-12 Order Scheduling Hearing and Designating Presiding Judge Orders Baker, Robert Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. N/A AP-4432 https://www.sec.gov/alj/aljorders/2016/ap-4432.pdf 3-17692 2016-12-12 Order to Show Cause, Postponing Hearing and Scheduling Prehearing Conference Orders All-Pro Products, Inc. Cashtek Corp. Gotham Apparel Corp. Lafayette Industries, Inc. N/A AP-4433 https://www.sec.gov/alj/aljorders/2016/ap-4433.pdf 3-17690 2016-12-12 Order to Show Cause, Postponing Hearing, and Scheduling Prehearing Conference Orders MGN Techonologies, Inc. N/A AP-4434 https://www.sec.gov/alj/aljorders/2016/ap-4434.pdf 3-17574 2016-12-12 Order Following Prehearing Conference Orders Accel Brands, Inc. N/A AP-4435 https://www.sec.gov/alj/aljorders/2016/ap-4435.pdf 3-17686 2016-12-12 Order Postponing Hearing and Scheduling Prehearing Conference Orders Lee, James Y. N/A AP-4436 https://www.sec.gov/alj/aljorders/2016/ap-4436.pdf 3-17676 2016-12-12 Order Orders OTC Global Partners, LLC N/A AP-4437 https://www.sec.gov/alj/aljorders/2016/ap-4437.pdf 3-17674 2016-12-12 Order Granting Motion to Extend Filing Orders Kon, Alexander N/A AP-4438 https://www.sec.gov/alj/aljorders/2016/ap-4438.pdf 3-17650 2016-12-12 Scheduling Order Orders Lawler, Joe N/A AP-4439 https://www.sec.gov/alj/aljorders/2016/ap-4439.pdf 3-17528 2016-12-12 Order Scheduling Prehearing Conference Orders Kazinec, Aaron Nash N/A AP-4440 https://www.sec.gov/alj/aljorders/2016/ap-4440.pdf 3-17387 2016-12-13 Order Regarding Mediation Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4441 https://www.sec.gov/alj/aljorders/2016/ap-4441.pdf 3-17559 2016-12-13 Order Granting Respondents' Unopposed Motion for Extension Orders Rose, Sheldon MKJJ Consulting LLC N/A AP-4442 https://www.sec.gov/alj/aljorders/2016/ap-4442.pdf 3-16554 2016-12-13 Order Denying Without Prejudice Respondents' Motion to Reconsider Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4443 https://www.sec.gov/alj/aljorders/2016/ap-4443.pdf 3-17699 2016-12-13 Order Postponing Hearing and Directing Division to Confer with Respondent's Counselor Orders Neman, Shervin Neman Financial, Inc. N/A AP-4444 https://www.sec.gov/alj/aljorders/2016/ap-4444.pdf 3-17698 2016-12-13 Order Scheduling Prehearing Conference Orders Odessey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A AP-4445 https://www.sec.gov/alj/aljorders/2016/ap-4445.pdf 3-17721 2016-12-14 Order Scheduling Hearing and Designating Presiding Judge Orders Ben Franklin Retail Stores, Inc. Enrotek Corp. Spectre Gaming, Inc. N/A AP-4446 https://www.sec.gov/alj/aljorders/2016/ap-4446.pdf 3-17550 2016-12-14 Scheduling Order Orders Ditommaso, Tod A. N/A AP-4447 https://www.sec.gov/alj/aljorders/2016/ap-4447.pdf 3-17387 2016-12-14 Order Denying Reconsideration And Regarding Defense-Strategy Documents Orders Lathen, Donald F. (Jay) Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4448 https://www.sec.gov/alj/aljorders/2016/ap-4448.pdf 3-16649 2016-12-14 Order Granting Part Division's Motion in Limine Regarding Investigation and Due Process Evidence Orders Ironridge Global Partners, LLC Ironridge Global IV, LTD. N/A AP-4449 https://www.sec.gov/alj/aljorders/2016/ap-4449.pdf 3-16649 2016-12-14 Order Denying Respondents' Combined Motions in Limine and Denying the Division's Motion in Limine Regarding Rebuttal Experts Orders Ironridge Global Partners, LLC Ironridge Global IV, Ltd N/A AP-4450 https://www.sec.gov/alj/aljorders/2016/ap-4450.pdf 3-17528 2016-12-14 Order Following Prehearing Conference Orders Kazinec, Aaron Nash N/A AP-4451 https://www.sec.gov/alj/aljorders/2016/ap-4451.pdf 3-17657 2016-12-14 Order on Prehearing Schedule Orders Smith, Gregory J. N/A AP-4452 https://www.sec.gov/alj/aljorders/2016/ap-4452.pdf 3-16649 2016-12-14 Order Scheduling Prehearing Conference Orders Ironridge Global Partners, LLC Ironridge Global IV, LLC N/A AP-4453 https://www.sec.gov/alj/aljorders/2016/ap-4453.pdf 3-17685 2016-12-14 Order Postponing Hearing and Scheduling Prehearing Conference Orders Holt, Mark D. N/A AP-4454 https://www.sec.gov/alj/aljorders/2016/ap-4454.pdf 3-17716 2016-12-15 Protective Order Orders Baker, Robert L. Herrear, Jacob B. Bowen, Michael D. Ballard, Terrence A. N/A AP-4455 https://www.sec.gov/alj/aljorders/2016/ap-4455.pdf 3-16349 2016-12-16 Order Regarding Hearing Location Orders Duka, Barbara N/A AP-4456 https://www.sec.gov/alj/aljorders/2016/ap-4456.pdf 3-17387 2016-12-16 Order Granting Joint Motion for Mediation Orders Lathen, Donald F. ("Jay") Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4457 https://www.sec.gov/alj/aljorders/2016/ap-4457.pdf 3-17393 2016-12-16 Order Scheduling Oral Argument Orders Peterson, Curtis A. N/A AP-4458 https://www.sec.gov/alj/aljorders/2016/ap-4458.pdf 3-17558 2016-12-16 Order Directing Parties to Confer and File Stipulation Orders Bluforest, Inc. N/A AP-4459 https://www.sec.gov/alj/aljorders/2016/ap-4459.pdf 3-17157 2016-12-16 Order on Continued Stay Orders Zoernack, Steven Equitystar Capital Management, LLC N/A AP-4460 https://www.sec.gov/alj/aljorders/2016/ap-4460.pdf 3-17387 2016-12-16 Third Order Revising Procedural Schedule Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A IA-4587 https://www.sec.gov/litigation/admin/2016/ia-4587.pdf 3-17722 2016-12-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled New Silk Route Advisors, L.P. N/A IA-4588 https://www.sec.gov/litigation/admin/2016/34-79568.pdf 34-79568 IC-32394 3-17217 2016-12-15 Order Making Findings, and Imposing Remedial Sanctions AP Settled TPG Advisors, LLC (d/b/a The Phillips Group Advisors) Phillips, Larry M. N/A IA-4589 https://www.sec.gov/litigation/admin/2016/ia-4589.pdf 3-17725 2016-12-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Narayan, Ash N/A IA-4590 https://www.sec.gov/litigation/admin/2016/33-10272.pdf 33-10272 34-79576 3-17730 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Deutsche Bank Securities Inc. N/A IC-32389 https://www.sec.gov/rules/ic/2016/ic-32389.pdf 812-14663 2016-12-12 Notice of Application Notice Alpha Architect ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-91215 81-FR-91215 IC-32390 https://www.sec.gov/litigation/admin/2016/ic-32390.pdf 3-17720 2016-12-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled State Street Bank and Trust Company N/A IC-32391 https://www.sec.gov/rules/ic/2016/ic-32391.pdf 812-14547 2016-12-13 Order Orders Legg Mason ETF Equity Trust Legg Mason ETF Trust Legg Mason Partners Fund Advisor, LLC Legg Mason Investor Services N/A IC-32392 https://www.sec.gov/rules/ic/2016/ic-32392.pdf 812-14653 2016-12-14 Notice Notice Equus Total Return, Inc. http://www.federalregister.gov/citation/81-FR-92897 81-FR-92897 IC-32393 https://www.sec.gov/rules/ic/2016/ic-32393.pdf 812-14606 2016-12-14 Notice Notice Minnesota Life Insurance Company, et al. http://www.federalregister.gov/citation/81-FR-92891 81-FR-92891 IC-32394 https://www.sec.gov/litigation/admin/2016/34-79568.pdf 34-79568 IA-4588 3-17217 2016-12-15 Order Making Findings, and Imposing Remedial Sanctions AP Settled TPG Advisors, LLC (d/b/a The Phillips Group Advisors) Phillips, Larry M. N/A ID-1087 https://www.sec.gov/alj/aljdec/2016/id1087cff.pdf 3-17577 2016-12-12 Initial Decision/Initial Decision Making Findings and Imposing Sanction by Default Orders Seibert, Robert N/A ID-1088 https://www.sec.gov/alj/aljdec/2016/id1088cff.pdf 3-17395 2016-12-12 Initial Decision Making Findings and Imposing Sanctions by Default Initial Decision Jones, Anthony Tyrone Jr. N/A ID-1089 https://www.sec.gov/alj/aljdec/2016/id1089ce.pdf 3-17104 2016-12-13 Initial Decision Initial Decision BioElecttronics Corp. Ibex, LLC St. John's LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A ID-1090 https://www.sec.gov/alj/aljdec/2016/id1090ce.pdf 3-15764 2016-12-16 Initial Decision Initial Decision McDuff, Gary L. N/A ID-1091 https://www.sec.gov/alj/aljdec/2016/id1091bpm.pdf 3-17659 2016-12-16 Initial Decision on Default as to Bill The Butcher, Inc. Initial Decision Bill the Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A LR-23702 https://www.sec.gov/litigation/litreleases/2016/lr23702.htm 16-CV-12510 2016-12-13 Enforcement Case Cody, Richard G. Boston Investment Partners, LLC N/A