2017-01-25
115
14
2016-12-19
2016-12-23
Securities Act of 1933
33
10274
10275*
Securities Exchange Act of 1934
34
79588
79690*
Administrative Proceedings
AP
4461
4483
Investment Advisers Act of 1940
IA
4591
4593
Investment Company Act of 1940
IC
32395
32401
Initial Decisions (ALJ)
ID
1092
1095
Litigation Releases
LR
23703
23710
Accounting and Auditing Enforcement Release
AAER
3835
3837
33-10075
https://www.sec.gov/rules/final/2016/33-10075.pdf
34-77757
https://www.sec.gov/rules/final/2016/33-10075.pdf
34-79237
https://www.sec.gov/rules/interim/2016/34-79237.pdf
33-10075A
https://www.sec.gov/rules/final/2016/33-10075a.pdf
34-77757
S7-12-14
2016-12-21
Final rule; technical correction
Final Rule
Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act
http://www.federalregister.gov/citation/81-FR-95458
81-FR-95458
33-10274
https://www.sec.gov/litigation/admin/2016/33-10274.pdf
34-79605
3-15619
2016-12-19
Order Making Findings and Imposing a Cease-and-Desist order
AP Settled
Doxey, Joseph P.
N/A
33-10275
https://www.sec.gov/rules/other/2016/33-10275.pdf
2016-12-21
Order Granting a Waiver
Orders
Goldman, Sachs & Co.
Goldman Sachs Group, Inc.
N/A
34-77757A
https://www.sec.gov/rules/final/2016/33-10075a.pdf
33-10075
S7-12-14
2016-12-21
Final rule; technical correction
Final Rule
Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act
http://www.federalregister.gov/citation/81-FR-95458
81-FR-95458
34-79237A
https://www.sec.gov/rules/interim/2016/34-79237a.pdf
NO FILE NUMBER
2016-12-19
Notice regarding expired temporary rule./Final Rule/Interim Final Temporary Rule 608T Regarding the Consolidated Audit Trail
Final Rule
34 Act; Rule 608T
http://www.federalregister.gov/citation/81-FR-94251
81-FR-94251
34-79588
https://www.sec.gov/litigation/admin/2016/34-79588.pdf
3-17680
2016-12-19
Order Making Findings and Revoking Registration
AP Settled
Kogeto, Inc.
N/A
34-79589
https://www.sec.gov/rules/sro/cboe/2016/34-79589.pdf
SR-CBOE-2016-086
2016-12-19
Notice / Immediate Effectiveness/Relating to the Debit/Credit Price Reasonability Checks for Complex Orders
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-94469
81-FR-94469
34-79590
https://www.sec.gov/rules/sro/c2/2016/34-79590.pdf
SR-C2-2016-024
2016-12-19
Notice / Immediate Effectiveness/Relating to the Debit/Credit Price Reasonability Check for Complex Orders
SRO Filing
C2 Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-94434
81-FR-94434
34-79591
https://www.sec.gov/rules/sro/cboe/2016/34-79591.pdf
SR-CBOE-2016-076
SR-C2-2016-022
2016-12-19
Notice / Immediate Effectiveness/in Connection with a Proposed Corporate Transaction Involving CBOE Holdings, Inc. and Bats Global Markets, Inc.
SRO Filing
Chicago Board Options Exchange, Incorporated
C2 Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-94458
81-FR-94458
34-79592
https://www.sec.gov/rules/sro/nscc-an/2016/34-79592.pdf
SR-NSCC-2016-803
2016-12-19
Notice / Advance Notice/to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of �Off-the-Market Transactions,� and Make Other Changes
SRO Filing
National Securities Clearing Corporation
http://www.federalregister.gov/citation/81-FR-94448
81-FR-94448
34-79593
https://www.sec.gov/litigation/admin/2016/34-79593.pdf
3-17736
2016-12-19
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
NeuStar, Inc.
N/A
34-79594
https://www.sec.gov/rules/sro/nysearca/2016/34-79594.pdf
SR-NYSEARCA-2016-164
2016-12-19
Notice / Immediate Effectiveness/Amending NYSE Arca Rule 3.2 and NYSE Arca Equities Rules 1.1, 3.2, 10.3, 10.8, 10.13, and 14
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-94473
81-FR-94473
34-79595
https://www.sec.gov/rules/sro/batsedgx/2016/34-79595.pdf
SR-BATSEDGX-2016-73
2016-12-19
Notice / Immediate Effectiveness/to Amend the Market Data Section of its Fee Schedule to Adopt Fees for EDGX Summary Depth and Amend Fees for EDGX Depth
SRO Filing
Bats EDGX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-94442
81-FR-94442
34-79596
https://www.sec.gov/rules/sro/batsedga/2016/34-79596.pdf
SR-BATSEDGA-2016-34
2016-12-19
Notice / Immediate Effectiveness/to Amend Rule 11.8, Order Types, and Rule 11.11, Routing to Away Trading Centers, to Enhance the Exchange�s Midpoint Routing Functionality
SRO Filing
Bats EDGA Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-94454
81-FR-94454
34-79597
https://www.sec.gov/rules/sro/nysearca/2016/34-79597.pdf
SR-NYSEARCA-2016-165
2016-12-19
Notice / Immediate Effectiveness/Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-94460
81-FR-94460
34-79598
https://www.sec.gov/rules/sro/nscc/2016/34-79598.pdf
SR-NSCC-2016-005
2016-12-19
Order/to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of �Off-the-Market Transactions,� and Make Other Changes
SRO Filing
National Securities Clearing Corporation
http://www.federalregister.gov/citation/81-FR-94462
81-FR-94462
34-79599
https://www.sec.gov/rules/sro/nysemkt/2016/34-79599.pdf
SR-NYSEMKT-2016-120
2016-12-19
Notice /Amending Rule 971.1NY and to Make Permanent the Aspects of Customer Best Execution Auction that Are Subject to a Pilot
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-94437
81-FR-94437
34-79600
https://www.sec.gov/rules/sro/batsbzx/2016/34-79600.pdf
SR-BATSBZX-2016-91
2016-12-19
Notice / Immediate Effectiveness/to Adopt a Participant Fee Applicable to Options Members of its Equity Options Platform
SRO Filing
Bats BZX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-94468
81-FR-94468
34-79601
https://www.sec.gov/litigation/admin/2016/34-79601.pdf
3-17070
2016-12-19
Order Making Findings, and Imposing Remedial Sanctions
AP Settled
3C Advisors & Associates, Inc.
N/A
34-79602
https://www.sec.gov/litigation/admin/2016/34-79602.pdf
3-17070
2016-12-19
Order Making Findings, and Imposing Remedial Sanctions and a Cease and Desist
AP Settled
Jones, Stephen
N/A
34-79603
https://www.sec.gov/rules/sro/batsbyx/2016/34-79603.pdf
SR-BATSBYX-2016-41
2016-12-19
Notice / Immediate Effectiveness/to Amend Rule 11.9, Orders and Modifiers, and Rule 11.13, Order Execution and Routing, to Enhance the Exchange�s Midpoint Routing Functionality
SRO Filing
Bats BYX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-94440
81-FR-94440
34-79604
https://www.sec.gov/rules/other/2016/34-79604.pdf
2017-4
2016-12-19
Order Determining WhistleBlower Award Claim
Orders
Redacted
N/A
34-79605
https://www.sec.gov/litigation/admin/2016/33-10274.pdf
33-10274
3-15619
2016-12-19
Order Making Findings and Imposing a Cease-and-Desist order
AP Settled
Doxey, Joseph P.
N/A
34-79606
https://www.sec.gov/litigation/admin/2016/34-79606.pdf
3-17737
2016-12-20
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
Morgan Stanley & Co. LLC
N/A
34-79607
https://www.sec.gov/litigation/admin/2016/34-79607.pdf
3-17739
2016-12-20
Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing a Cease-And-Desist Order
AP Settled
SandRidge Energy, Inc.
N/A
34-79608
https://www.sec.gov/rules/sro/chx/2016/34-79608.pdf
SR-CHX-2016-16
2016-12-20
Order / Instituting Proceedings to/to Adopt the CHX Liquidity Taking Access Delay
SRO Filing
Chicago Stock Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-95238
81-FR-95238
34-79609
https://www.sec.gov/rules/sro/bx/2016/34-79609.pdf
SR-BX-2016-072
2016-12-20
Notice / Immediate Effectiveness/to Delay the Implementation of the Limit Order Protection
SRO Filing
NASDAQ BX, Inc.
http://www.federalregister.gov/citation/81-FR-95241
81-FR-95241
34-79610
https://www.sec.gov/rules/sro/cboe/2016/34-79610.pdf
SR-CBOE-2016-090
2016-12-20
Notice / Immediate Effectiveness/Relating to Compression of S&P 500(R) Index Options Positions
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-95219
81-FR-95219
34-79611
https://www.sec.gov/rules/sro/nysemkt/2016/34-79611.pdf
SR-NYSEMKT-2016-99
2016-12-20
Notice / Designation of Longer Period for Commission Action to/Amending Rule 104 � Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-95205
81-FR-95205
34-79612
https://www.sec.gov/rules/sro/nyse/2016/34-79612.pdf
SR-NYSE-2016-71
2016-12-20
Notice / Designation of Longer Period for Commission Action/Amending Rule 104 to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-95205
81-FR-95205
34-79613
https://www.sec.gov/rules/sro/box/2016/34-79613.pdf
SR-BOX-2016-50
2016-12-20
Notice / Designation of Longer Period for Commission Action/to Amend Rule 5050 Series of Options Contracts Open for Trading to Provide for the Listing and Trading on the Exchange of RealDayTM Options Pursuant to a Pilot Program
SRO Filing
BOX Options Exchange LLC
http://www.federalregister.gov/citation/81-FR-95206
81-FR-95206
34-79614
https://www.sec.gov/rules/sro/phlx/2016/34-79614.pdf
SR-PHLX-2016-121
2016-12-20
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-95206
81-FR-95206
34-79615
https://www.sec.gov/rules/sro/bx/2016/34-79615.pdf
SR-BX-2016-069
2016-12-20
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-95232
81-FR-95232
34-79616
https://www.sec.gov/rules/sro/nasdaq/2016/34-79616.pdf
SR-NASDAQ-2016-171
2016-12-20
Notice / Immediate Effectiveness/to Amend 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-95243
81-FR-95243
34-79617
https://www.sec.gov/rules/sro/nasdaq/2016/34-79617.pdf
SR-NASDAQ-2016-168
2016-12-20
Notice / Immediate Effectiveness/to Amend the Exchange Data Fees at Rule 7052
SRO Filing
The NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-95213
81-FR-95213
34-79618
https://www.sec.gov/rules/sro/batsbzx/2016/34-79618.pdf
SR-BATSBZX-2016-88
2016-12-20
Notice / Immediate Effectiveness/to BZX Rule 14.11(i), Managed Fund Shares, to List Shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETFs
SRO Filing
Bats BZX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-95252
81-FR-95252
34-79619
https://www.sec.gov/rules/sro/nasdaq/2016/34-79619.pdf
SR-NASDAQ-2016-178
2016-12-20
Notice / Immediate Effectiveness/to SQF Ports
SRO Filing
The NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-95250
81-FR-95250
34-79620
https://www.sec.gov/rules/sro/finra/2016/34-79620.pdf
SR-FINRA-2016-046
2016-12-20
Notice / Immediate Effectiveness/Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/81-FR-95247
81-FR-95247
34-79621
https://www.sec.gov/rules/sro/cboe/2016/34-79621.pdf
SR-CBOE-2016-089
2016-12-20
Notice / Immediate Effectiveness/to Extend the Credit Option Margin Pilot Program through July 18, 2017
SRO Filing
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/81-FR-95236
81-FR-95236
34-79622
https://www.sec.gov/rules/sro/ise/2016/34-79622.pdf
SR-ISE-2016-30
2016-12-20
Notice / Immediate Effectiveness/to Amend ISE Rule 803 at Supplementary Material .02 in Connection with Business Continuity and Disaster Recovery Plans
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/81-FR-95260
81-FR-95260
34-79623
https://www.sec.gov/rules/sro/batsbyx/2016/34-79623.pdf
SR-BATSBYX-2016-39
2016-12-20
Notice / Immediate Effectiveness/to Amend the Market Data Section of its Fee Schedule to Adopt Fees for BYX Summary Depth and Amend Fees for BYX Depth
SRO Filing
Bats BYX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-95226
81-FR-95226
34-79624
https://www.sec.gov/rules/sro/isemercury/2016/34-79624.pdf
SR-ISEMERCURY-2016-24
2016-12-20
Notice / Immediate Effectiveness/to amend ISE Mercury Rule 803 at Supplementary Material .02 in Connection with Business Continuity and Disaster Recovery Plans
SRO Filing
ISE Mercury, LLC
http://www.federalregister.gov/citation/81-FR-95211
81-FR-95211
34-79625
https://www.sec.gov/litigation/admin/2016/34-79625.pdf
3-17525
2016-12-20
Order Making Findings, and Imposing Remedial Sanctions
AP Settled
Milligan, Robert D.
N/A
34-79626
https://www.sec.gov/rules/sro/isegemini/2016/34-79626.pdf
SR-ISEGEMINI-2016-24
2016-12-20
Notice / Immediate Effectiveness/to Amend Exchange Rules in Connection with Business Continuity and Disaster Recovery Plans Testing Requirements
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/81-FR-95216
81-FR-95216
34-79627
https://www.sec.gov/litigation/admin/2016/34-79627.pdf
3-17570
2016-12-21
Notice That Initial Decision Has Become Final
Notice
Medient Studios, Inc. a/k/a Moon River Studios, Inc.
N/A
34-79628
https://www.sec.gov/litigation/admin/2016/34-79628.pdf
3-17590
2016-12-21
Notice That Initial Decision Has Become Final
Notice
Telestone Technologies Corp.
US Fuel Corp.
Victory Eagle Resources Corp.
N/A
34-79629
https://www.sec.gov/litigation/admin/2016/34-79629.pdf
3-17518
2016-12-21
Notice That Initial Decision Has Become Final
Notice
Multi-Corp. International, Inc.
Sky Harvest Energy Corp.
N/A
34-79630
https://www.sec.gov/litigation/admin/2016/34-79630.pdf
3-17564
2016-12-21
Notice That Initial Decision Has Become Final
Notice
Amarillo Mesquite Grill, inc.
Global Opportunity Fund LP.
Healthrenu Medical, Inc.
Hynes & Howes Insurance Counselors, Inc.
N/A
34-79631
https://www.sec.gov/litigation/admin/2016/34-79631.pdf
3-17123
2016-12-21
Notice That Initial Decision Has Become Final
Notice
Ceyoniq AG n/k/a Ceyoniq INC.
N/A
34-79632
https://www.sec.gov/litigation/admin/2016/34-79632.pdf
3-17513
2016-12-21
Notice That Initial Decision Has Become Final
Notice
Fairfield Minerals, Ltd
Metal Storm Limited
N/A
34-79633
https://www.sec.gov/litigation/admin/2016/34-79633.pdf
3-17543
2016-12-21
Notice That Initial Decision Has Become Final
Notice
Affordable Green Homes International and TMP Land Mortgage Fund, LTD., a California Limited Partnership
N/A
34-79634
https://www.sec.gov/litigation/admin/2016/34-79634.pdf
3-17519
2016-12-21
Notice That Initial Decision Has Become Final
Notice
Grace Development, Inc.
Luxeyard, Inc.
N/A
34-79635
https://www.sec.gov/rules/sro/phlx/2016/34-79635.pdf
SR-PHLX-2016-124
2016-12-21
Notice / Immediate Effectiveness/to Delay the Implementation of the Limit Order Protection for Members Accessing PSX
SRO Filing
NASDAQ PHLX LLC
http://www.federalregister.gov/citation/81-FR-95657
81-FR-95657
34-79636
https://www.sec.gov/rules/sro/batsbzx/2016/34-79636.pdf
SR-BATSBZX-2016-87
2016-12-21
Notice / Immediate Effectiveness/to Amend the Market Data Section of its Fee Schedule to Adopt Fees for BZX Summary Depth and Amend Fees for BZX Depth
SRO Filing
Bats BZX Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-95693
81-FR-95693
34-79637
https://www.sec.gov/rules/sro/nyse/2016/34-79637.pdf
SR-NYSE-2016-86
2016-12-21
Notice / Immediate Effectiveness/Amending Rule 123D and the Listed Company Manual
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-95677
81-FR-95677
34-79638
https://www.sec.gov/rules/sro/nyse/2016/34-79638.pdf
SR-NYSE-2016-85
2016-12-21
Notice / Immediate Effectiveness/to (1) Change How Orders Would be Processed When the Protected Best Bid (�PBB�) Is Higher Than the Protected Best Offer (�PBO�) (The �PBBO�) in Certain Circumstances, and (2) Adopt a Limit Order Price Protection Mechanism
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-95658
81-FR-95658
34-79639
https://www.sec.gov/rules/sro/nyse/2016/34-79639.pdf
SR-NYSE-2016-88
2016-12-21
Notice / Immediate Effectiveness/to Adopt a Trading License Fee for Calendar Year 2017
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-95676
81-FR-95676
34-79640
https://www.sec.gov/rules/sro/nysemkt/2016/34-79640.pdf
SR-NYSEMKT-2016-117
2016-12-21
Notice / Immediate Effectiveness/to (1) Change How Orders Would Be Processed When the Protected Best Bid (�PBB�) Is Higher Than the Protected Best Offer (�PBO�) (The �PBBO�) in Certain Circumstances, and (2) Adopt a Limit Order Price Protection Mechanism
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-95699
81-FR-95699
34-79641
https://www.sec.gov/rules/sro/nasdaq/2016/34-79641.pdf
SR-NASDAQ-2016-179
2016-12-21
Notice / Immediate Effectiveness/to Delay the Implementation of the Limit Order Protection
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-95703
81-FR-95703
34-79642
https://www.sec.gov/rules/sro/nysemkt/2016/34-79642.pdf
SR-NYSEMKT-2016-118
2016-12-21
Notice / Immediate Effectiveness/Amending Rule 123D - Equities and the Listed Company Manual
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-95719
81-FR-95719
34-79643
https://www.sec.gov/rules/sro/ficc-an/2016/34-79643.pdf
SR-FICC-2016-801
2016-12-21
Notice / Advance Notice/to Implement a Change to the Methodology Used in the MBSD VaR Model
SRO Filing
Fixed Income Clearing Corporation
http://www.federalregister.gov/citation/81-FR-95669
81-FR-95669
34-79644
https://www.sec.gov/rules/sro/isegemini/2016/34-79644.pdf
SR-ISEGEMINI-2016-22
2016-12-21
Notice / Immediate Effectiveness/to Adjust Qualifying Tier Thresholds and Fees and Rebates
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/81-FR-95710
81-FR-95710
34-79645
https://www.sec.gov/rules/sro/nysemkt/2016/34-79645.pdf
SR-NYSEMKT-2016-52
SR-NYSEARCA-2016-103
2016-12-21
Notice / Designation of Longer Period for Commission Action/to Extend the Time Within Which a Member, Member Organization, an ATP Holder, an OTP Holder, or an OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration (�Form U5�) and Any Amendments Thereto
SRO Filing
NYSE MKT LLC
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-95679
81-FR-95679
34-79646
https://www.sec.gov/rules/sro/box/2016/34-79646.pdf
SR-BOX-2016-59
2016-12-21
Notice / Immediate Effectiveness/to Adopt Rule 3220, Disruptive Quoting and Trading Activity Prohibited and Rule 12160, Expedited Suspension Proceeding
SRO Filing
BOX Options Exchange LLC
http://www.federalregister.gov/citation/81-FR-95713
81-FR-95713
34-79647
https://www.sec.gov/alj/aljdec/2016/34-79647.pdf
3-17218
2016-12-21
Notice That Initial Decision Has Become Final
Notice
Powell, Daniel Christian Stanley
N/A
34-79648
https://www.sec.gov/rules/sro/finra/2016/34-79648.pdf
SR-FINRA-2016-047
2016-12-21
Notice /to Amend FINRA Rules to conform to the Commission�s Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from T+3 to T+2
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/81-FR-95705
81-FR-95705
34-79649
https://www.sec.gov/rules/sro/nasdaq/2016/34-79649.pdf
SR-NASDAQ-2016-172
2016-12-21
Notice / Immediate Effectiveness/to Modify Administrative Charges for Distributors of Proprietary Data Feed Products
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-95666
81-FR-95666
34-79650
https://www.sec.gov/litigation/admin/2016/34-79650.pdf
AAER-3835
3-17742
2016-12-21
Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
Jack Henry & Associates, Inc.
N/A
34-79651
https://www.sec.gov/rules/sro/nysemkt/2016/34-79651.pdf
SR-NYSEMKT-2016-121
2016-12-21
Notice / Immediate Effectiveness/Modifying the NYSE Amex Options Fee Schedule
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-95691
81-FR-95691
34-79652
https://www.sec.gov/rules/sro/iex/2016/34-79652.pdf
SR-IEX-2016-21
2016-12-21
Notice / Immediate Effectiveness/to Require that an Issuer of Securities Listed under Chapter 16 Notify IEX about Certain Changes to the Index, Portfolio, or Reference Asset Underlying the Security
SRO Filing
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-95664
81-FR-95664
34-79653
https://www.sec.gov/litigation/admin/2016/34-79653.pdf
3-17659
2016-12-22
Order Making Findings and Revoking Registration
AP Settled
Bill the Butcher, Inc.
Hitor Group, Inc.
Xun Energy, Inc.
N/A
34-79654
https://www.sec.gov/rules/sro/phlx/2016/34-79654.pdf
SR-PHLX-2016-122
2016-12-22
Notice / Immediate Effectiveness/to Modify Administrative Charges for Distributors of Proprietary Data Feed Products
SRO Filing
NASDAQ PHLX LLC
http://www.federalregister.gov/citation/81-FR-96410
81-FR-96410
34-79655
https://www.sec.gov/rules/sro/nscc/2016/34-79655.pdf
SR-NSCC-2016-008
2016-12-22
Notice /to Reflect Updates to the Consolidated Trade Summary, Eliminate Re-Pricing in the Foreign Security Accounting Operation and Make Other Changes
SRO Filing
National Securities Clearing Corporation
http://www.federalregister.gov/citation/81-FR-96146
81-FR-96146
34-79656
https://www.sec.gov/litigation/admin/2016/34-79656.pdf
3-17743
2016-12-22
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
AFN, Inc.
Allen Energy Company
American Cascade Energy, Inc.
Millenia Hope, Inc. (n/k/a Clubs Choice Holdings, Inc.)
N/A
34-79657
https://www.sec.gov/litigation/admin/2016/34-79657.pdf
3-17744
2016-12-22
Order Instituting Administrative Proceedings and Notice of Hearing
AP Litigated
PAB Bankshares, Inc.
USABG Corp.
N/A
34-79658
https://www.sec.gov/rules/sro/nysemkt/2016/34-79658.pdf
SR-NYSEMKT-2016-119
2016-12-22
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 MKT LLC
http://www.federalregister.gov/citation/81-FR-96143
81-FR-96143
34-79659
https://www.sec.gov/rules/sro/nyse/2016/34-79659.pdf
SR-NYSE-2016-87
2016-12-22
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
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-96076
81-FR-96076
34-79660
https://www.sec.gov/rules/sro/phlx/2016/34-79660.pdf
SR-PHLX-2016-120
2016-12-22
Notice /to Permit Phlx to Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC
SRO Filing
NASDAQ PHLX LLC
http://www.federalregister.gov/citation/81-FR-96060
81-FR-96060
34-79661
https://www.sec.gov/rules/sro/bx/2016/34-79661.pdf
SR-BX-2016-068
2016-12-22
Notice /to Permit BX to Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC
SRO Filing
NASDAQ BX, Inc.
http://www.federalregister.gov/citation/81-FR-96100
81-FR-96100
34-79662
https://www.sec.gov/rules/sro/nasdaq/2016/34-79662.pdf
SR-NASDAQ-2016-169
2016-12-22
Notice /to Permit The Nasdaq Options Market LLC to Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC
SRO Filing
Nasdaq Stock Market LLC
http://www.federalregister.gov/citation/81-FR-96087
81-FR-96087
34-79663
https://www.sec.gov/rules/sro/isemercury/2016/34-79663.pdf
SR-ISEMERCURY-2016-22
2016-12-22
Notice /to Permit Nasdaq Execution Services, LLC to become an Affiliated Member of the Exchange to Perform Certain Routing and Other Functions
SRO Filing
ISE Mercury, LLC
http://www.federalregister.gov/citation/81-FR-96089
81-FR-96089
34-79664
https://www.sec.gov/rules/sro/isegemini/2016/34-79664.pdf
SR-ISEGEMINI-2016-16
2016-12-22
Notice /to Permit Nasdaq Execution Services, LLC to become an Affiliated Member of the Exchange to Perform Certain Routing and Other Functions
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/81-FR-96136
81-FR-96136
34-79665
https://www.sec.gov/rules/sro/ise/2016/34-79665.pdf
SR-ISE-2016-27
2016-12-22
Notice /to Amend the Exchange�s Rules Regarding Routing of Orders, Cancellation of Orders, and Handling of Error Positions, and Permit Nasdaq Execution Services, LLC to become an Affiliated Member of the Exchange to Perform Certain Routing and Other Functions
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/81-FR-96092
81-FR-96092
34-79666
https://www.sec.gov/rules/sro/miax/2016/34-79666.pdf
SR-MIAX-2016-47
2016-12-22
Notice / Immediate Effectiveness/to Amend Its Fee Schedule to Modify the Exchange�s Connectivity Fees
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/81-FR-96133
81-FR-96133
34-79667
https://www.sec.gov/rules/sro/bx/2016/34-79667.pdf
SR-BX-2016-071
2016-12-22
Notice / Immediate Effectiveness/to Modify Administrative Charges for Distributors of Proprietary Data Feed Products
SRO Filing
NASDAQ BX, Inc
http://www.federalregister.gov/citation/81-FR-96152
81-FR-96152
34-79668
https://www.sec.gov/litigation/admin/2016/34-79668.pdf
AAER-3836
3-17745
2016-12-22
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
Saraf, Alok CA
N/A
34-79669
https://www.sec.gov/litigation/admin/2016/34-79669.pdf
AAER-3837
3-17746
2016-12-22
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
AP Settled
Wipro Limited
Komandur, Badree ACA
Arunachalam, Satish CA
N/A
34-79670
https://www.sec.gov/rules/sro/iex/2016/34-79670.pdf
SR-IEX-2016-22
2016-12-22
Notice / Immediate Effectiveness/Related to Retention of Jurisdiction Over Members and Persons Associated with Members Upon Termination, Revocation, or Cancellation of Membership or Association Thereof.
SRO Filing
Investors Exchange LLC
http://www.federalregister.gov/citation/81-FR-96074
81-FR-96074
34-79671
https://www.sec.gov/rules/sro/nyse/2016/34-79671.pdf
SR-NYSE-2016-90
2016-12-22
Notice /in Connection with the Proposed Acquisition of National Stock Exchange, Inc. by the Exchange�s Parent the NYSE Group, Inc. to Amend Certain Organizational documents of NYSE Group, NYSE Holdings LLC, Intercontinental Exchange Holdings, Inc., and Intercontinental Exchange, Inc
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-96124
81-FR-96124
34-79672
https://www.sec.gov/rules/sro/nysemkt/2016/34-79672.pdf
SR-NYSEMKT-2016-63
2016-12-22
Notice / Amendment No./Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-96080
81-FR-96080
34-79673
https://www.sec.gov/rules/sro/nysearca/2016/34-79673.pdf
SR-NYSEARCA-2016-89
2016-12-22
Notice / Amendment No./Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees
SRO Filing
NYSE Arca, Inc
http://www.federalregister.gov/citation/81-FR-96107
81-FR-96107
34-79674
https://www.sec.gov/rules/sro/nyse/2016/34-79674.pdf
SR-NYSE-2016-45
2016-12-22
Notice /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-96053
81-FR-96053
34-79675
https://www.sec.gov/rules/sro/nysemkt/2016/34-79675.pdf
SR-NYSEMKT-2016-122
2016-12-22
Notice /in Connection with the Proposed Acquisition of National Stock Exchange, Inc. by the NYSE Group, Inc.
SRO Filing
NYSE MKT LLC
http://www.federalregister.gov/citation/81-FR-96128
81-FR-96128
34-79676
https://www.sec.gov/rules/sro/nyse/2016/34-79676.pdf
SR-NYSE-2016-72
2016-12-22
Notice /Amending Its Listing Standards for Special Purpose Acquisition Companies
SRO Filing
New York Stock Exchange LLC
http://www.federalregister.gov/citation/81-FR-96150
81-FR-96150
34-79677
https://www.sec.gov/rules/sro/isegemini/2016/34-79677.pdf
SR-ISEGEMINI-2016-17
2016-12-22
Notice /to Amend Various Rules in Connection with a System Migration to Nasdaq INET Technology
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/81-FR-96114
81-FR-96114
34-79678
https://www.sec.gov/rules/sro/nysearca/2016/34-79678.pdf
SR-NYSEARCA-2016-167
2016-12-22
Notice /in Connection with the Proposed Acquisition of National Stock Exchange, Inc. by the Exchange�s Parent the NYSE Group, Inc. to Amend Certain Organizational documents of NYSE Group, NYSE Holdings LLC, Intercontinental Exchange Holdings, Inc., and Intercontinental Exchange, Inc.
SRO Filing
NYSE Arca, Inc
http://www.federalregister.gov/citation/81-FR-96102
81-FR-96102
34-79679
https://www.sec.gov/rules/sro/isegemini/2016/34-79679.pdf
SR-ISEGEMINI-2016-18
2016-12-22
Notice /to Amend the Opening Process
SRO Filing
ISE Gemini, LLC
http://www.federalregister.gov/citation/81-FR-96062
81-FR-96062
34-79680
https://www.sec.gov/litigation/admin/2016/34-79680.pdf
3-17683
2016-12-23
Order Making Findings and Revoking Registration
AP Settled
Harvey Westbury Corp.
InterCore, Inc.
Kalex Corp.
N/A
34-79681
https://www.sec.gov/litigation/admin/2016/34-79681.pdf
3-17698
2016-12-23
Order Making Findings and Revoking Registration
AP Settled
Odyssey Pictures Corporation
N/A
34-79682
https://www.sec.gov/rules/sro/finra/2016/34-79682.pdf
SR-FINRA-2016-048
2016-12-23
Notice / Immediate Effectiveness/to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website
SRO Filing
Financial Industry Regulatory Authority, Inc.
http://www.federalregister.gov/citation/81-FR-96530
81-FR-96530
34-79683
https://www.sec.gov/rules/sro/nysearca/2016/34-79683.pdf
SR-NYSEARCA-2016-82
2016-12-23
Order/to List and Trade Shares of the JPMorgan Diversified Event Driven ETF under NYSE Arca Equities Rule 8.600
SRO Filing
NYSE Arca, Inc.
http://www.federalregister.gov/citation/81-FR-96539
81-FR-96539
34-79684
https://www.sec.gov/rules/sro/nsx/2016/34-79684.pdf
SR-NSX-2016-16
2016-12-23
Notice /in Connection with the Proposed Acquisition of the Exchange by NYSE Group, Inc.
SRO Filing
National Stock Exchange, Inc.
http://www.federalregister.gov/citation/81-FR-96552
81-FR-96552
34-79685
https://www.sec.gov/rules/sro/miax/2016/34-79685.pdf
SR-MIAX-2016-48
2016-12-23
Notice / Immediate Effectiveness/to Amend Its Fee Schedule to Modify the Exchange�s Other Market Participant Transaction Fees
SRO Filing
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/81-FR-96550
81-FR-96550
34-79686
https://www.sec.gov/rules/sro/ise/2016/34-79686.pdf
SR-ISE-2016-31
2016-12-23
Notice /to Amend the Supplementary Material to ISE Rule 1901
SRO Filing
International Securities Exchange, LLC
http://www.federalregister.gov/citation/81-FR-96532
81-FR-96532
34-79687
https://www.sec.gov/rules/sro/nasdaq/2016/34-79687.pdf
SR-NASDAQ-2016-183
2016-12-23
Notice /to Shorten the Settlement Cycle from T+3 to T+2
SRO Filing
NASDAQ Stock Market LLC
http://www.federalregister.gov/citation/81-FR-96545
81-FR-96545
34-79688
https://www.sec.gov/rules/sro/nysearca/2016/34-79688.pdf
SR-NYSEARCA-2016-170
2016-12-23
Notice / Immediate Effectiveness/Amending NYSE Arca Equities Rules 7.11, 7.31, and 7.34
SRO Filing
NYSE Arca, Inc
http://www.federalregister.gov/citation/81-FR-96534
81-FR-96534
34-79689
https://www.sec.gov/litigation/admin/2016/34-79689.pdf
IA-4593
3-17372
2016-12-23
Order Making Findings, and Imposing Remedial Sanctions
AP Settled
Nickles, Richard H.
Island Trader LLC
N/A
34-79690
https://www.sec.gov/rules/sro/bx/2016/34-79690.pdf
SR-BX-2016-073
2016-12-23
Notice / Immediate Effectiveness/to Amend the Exchange�s Transaction Fees at Rule 7019 (Market Data Distributor Fees)
SRO Filing
NASDAQ BX, Inc.
http://www.federalregister.gov/citation/81-FR-96527
81-FR-96527
AP-4461
https://www.sec.gov/alj/aljorders/2016/ap-4461.pdf
3-17683
2016-12-19
Order Following Prehearing Conference
Orders
Intercore, Inc.
Harvey Westbury Corp.
Kalex Corp.
N/A
AP-4462
https://www.sec.gov/alj/aljorders/2016/ap-4462.pdf
3-16383
2016-12-19
Post-Hearing Order
Orders
Hill, Charles L. Jr.
N/A
AP-4463
https://www.sec.gov/alj/aljorders/2016/ap-4463.pdf
3-17405
2016-12-19
Order Granting Request for More Time
Orders
Bay City Transfer Agency and Registrar, Inc.
Amersey, Nitin M.
N/A
AP-4464
https://www.sec.gov/alj/aljorders/2016/ap-4464.pdf
3-17650
2016-12-19
Prehearing Order
Orders
Lawler, Joe
N/A
AP-4465
https://www.sec.gov/alj/aljorders/2016/ap-4465.pdf
3-17674
2016-12-19
Order Following Prehearing Conference
Orders
Kon, Alexander
N/A
AP-4466
https://www.sec.gov/alj/aljorders/2016/ap-4466.pdf
3-16554
2016-12-19
Order Denying Respondents' Motion to Compel
Orders
Gray Financial Group, Inc.
Gray, Laurence O.
Hubbard, Robert C. IV
N/A
AP-4467
https://www.sec.gov/alj/aljorders/2016/ap-4467.pdf
3-17651
2016-12-19
Order Denying Respondent's Motion For More Definite Statement
Orders
Beamish, Adrian D. CPA
N/A
AP-4468
https://www.sec.gov/alj/aljorders/2016/ap-4468.pdf
3-17733
2016-12-20
Order Scheduling Hearing and Designating Presiding Judge
Orders
Wilson-Davis & Company, Inc.
N/A
AP-4469
https://www.sec.gov/alj/aljorders/2016/ap-4469.pdf
3-17700
2016-12-20
Order to Show Cause and Postponing Hearing
Orders
Mars Acquisitions, Inc.
Softnet Technology Corp.
N/A
AP-4470
https://www.sec.gov/alj/aljorders/2016/ap-4470.pdf
3-17685
2016-12-20
Order Following Prehearing Conference
Orders
Holt, Mark D.
Holthusen, Mark D.
N/A
AP-4471
https://www.sec.gov/alj/aljorders/2016/ap-4471.pdf
3-17657
2016-12-20
Stay Order
Orders
Smith, Gregory J.
N/A
AP-4472
https://www.sec.gov/alj/aljorders/2016/ap-4472.pdf
3-17676
2016-12-20
Order
Orders
OTC Global Partners, LLC
Dias, Raimundo
N/A
AP-4473
https://www.sec.gov/alj/aljorders/2016/ap-4473.pdf
3-16554
2016-12-20
Order Granting in Part Respondents' Motion for Production
Orders
Gray Financial Group, Inc.
Gray, Laurence O.
Hubbard, Robert C. IV
N/A
AP-4474
https://www.sec.gov/alj/aljorders/2016/ap-4474.pdf
3-17342
2016-12-20
Order
Orders
RD Legal Capital, LLC
Dersovitz, Roni
N/A
AP-4475
https://www.sec.gov/alj/aljorders/2016/ap-4475.pdf
3-17740
2016-12-21
Order Scheduling Hearing and Designating Presiding Judge
Orders
Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.)
Porter, John T.
Duszynski, Thomas F. CPA
N/A
AP-4476
https://www.sec.gov/alj/aljorders/2016/ap-4476.pdf
3-17685
2016-12-21
Order Scheduling Prehearing Conference
Orders
Holt, Mark D.
Holthusen, Mark D.
N/A
AP-4477
https://www.sec.gov/alj/aljorders/2016/ap-4477.pdf
3-17527
2016-12-22
Order Staying Proceeding
Orders
Hahn, Karl E.
N/A
AP-4478
https://www.sec.gov/alj/aljorders/2016/ap-4478.pdf
2016-12-22
Order Following Prehearing Conference
Orders
Snisky, Gary C.
N/A
AP-4479
https://www.sec.gov/alj/aljorders/2016/ap-4479.pdf
3-17387
2016-12-22
Order Regarding the Division's Motion to Compel
Orders
Eden Arc Capital Management, LLC,
Eden Arc Capital Advisors, LLC
Lathen, Donald F. Jr.
N/A
AP-4480
https://www.sec.gov/alj/aljorders/2016/ap-4480.pdf
3-17743
2016-12-23
Order Scheduling Hearing and Designating Presiding Judge
Orders
AFN, Inc.
Allen Energy Company
American Cascade Energy, Inc,
Millenia Hope, Inc.
Clubs Choice Holdings, Inc
N/A
AP-4481
https://www.sec.gov/alj/aljorders/2016/ap-4481.pdf
3-17744
2016-12-23
Order Scheduling Hearing and Designating Presiding Judge
Orders
Pab Bankshares, Inc.
USABG Corp.
N/A
AP-4482
https://www.sec.gov/alj/aljorders/2016/ap-4482.pdf
3-17372
2016-12-23
Order
Orders
Island Trader LLC
Nickles, Richard H.
N/A
AP-4483
https://www.sec.gov/alj/aljorders/2016/ap-4483.pdf
3-17387
2016-12-23
Clarification Order
Orders
Lathen, Donald F. Jr.
Eden Arc Capital Management, LLC
Eden Arc Capital Advisors, LLC
N/A
IA-4591
https://www.sec.gov/litigation/admin/2016/ia-4591.pdf
IC-32397
3-17740
2016-12-20
Order Instituting Administrative and Cease-and-Desist Proceedings
AP Litigated
Augustine Capital Management, LLC f/k/a Augustine Capital Management, Inc.
Porter, John T.
Duszynski, Thomas F. CPA
N/A
IA-4592
https://www.sec.gov/litigation/admin/2016/ia-4592.pdf
3-12837
2016-12-22
Order Granting Consent to Associate and to Serve Or Act in Certain Capacities
Orders
Sapio, Richard
N/A
IA-4593
https://www.sec.gov/litigation/admin/2016/34-79689.pdf
34-79689
3-17372
2016-12-23
Order Making Findings, and Imposing Remedial Sanctions
AP Settled
Nickles, Richard H.
Island Trader LLC
N/A
IC-32395
https://www.sec.gov/rules/ic/2016/ic-32395.pdf
812-14595
2016-12-19
Notice of Application
Notice
Delaware Management Business Trust, et al.
http://www.federalregister.gov/citation/81-FR-94457
81-FR-94457
IC-32396
https://www.sec.gov/rules/ic/2016/ic-32396.pdf
812-14485
2016-12-20
Order
Orders
OWLashares Trust et al.
New Millennium Marco LLC.
OWLshares Advisors
ALPS Distributors, INC.
N/A
IC-32397
https://www.sec.gov/litigation/admin/2016/ia-4591.pdf
IA-4591
3-17740
2016-12-20
Order Instituting Administrative and Cease-and-Desist Proceedings
AP Litigated
Augustine Capital Management, LLC f/k/a Augustine Capital Management, Inc.
Porter, John T.
Duszynski, Thomas F. CPA
N/A
IC-32398
https://www.sec.gov/rules/ic/2016/ic-32398.pdf
812-14603
2016-12-21
Notice of application
Notice
Virtus Alternative Solutions Trust, et al.
http://www.federalregister.gov/citation/81-FR-95690
81-FR-95690
IC-32399
https://www.sec.gov/rules/ic/2016/ic-32399.pdf
812-13603
2016-12-21
Notice of application
Notice
Ares Capital Corporation, et al
http://www.federalregister.gov/citation/81-FR-95680
81-FR-95680
IC-32400
https://www.sec.gov/rules/ic/2016/ic-32400.pdf
812-14676
2016-12-21
Notice of Application
Notice
Transamerica Funds, et al.
http://www.federalregister.gov/citation/81-FR-95663
81-FR-95663
IC-32401
https://www.sec.gov/rules/ic/2016/ic-32401.pdf
812-14690
2016-12-23
Notice of application
Notice
Northern Lights Fund Trust IV
Blue Sky Asset Management LLC
http://www.federalregister.gov/citation/81-FR-96537
81-FR-96537
ID-1092
https://www.sec.gov/alj/aljdec/2016/id1092cff.pdf
3-15936
2016-12-19
Initial Decision Making Findings and Imposing Sanction by Default
Initial Decision
Christopher A.T. Pedras (a/k/a Chris Pedras a/k/a Antone Thomas Pedras)
N/A
ID-1093
https://www.sec.gov/alj/aljdec/2016/id1093ce.pdf
3-17641
2016-12-21
Initial Decision on Default
Initial Decision
Dynamic Response Group, Inc.
Eagle Telephonics, Inc.
Far East Energy Corporation
N/A
ID-1094
https://www.sec.gov/alj/aljdec/2016/id1094bpm.pdf
3-17680
2016-12-21
Initial Decision on Default
Other
Lustros, Inc.
Med-X Systems, Inc.
Kotego Inc.
N/A
ID-1095
https://www.sec.gov/alj/aljdec/2016/id1095bpm.pdf
3-17679
2016-12-22
Initial Decision on Default
Orders
Questrust Ventures, Inc.
Zaring Homes, Inc.
N/A
LR-23703
https://www.sec.gov/litigation/litreleases/2016/lr23703.htm
1:16-CV-02473
2016-12-20
Enforcement Case
Panos, Edward F.
Panos, Allison
N/A
LR-23704
https://www.sec.gov/litigation/litreleases/2016/lr23704.htm
16-CV-06848
2016-12-20
Enforcement Case
Nordlicht, Mark
Platinum Management (NY) LLC (Platinum Management)
Platinum Credit Management LP (Platinum Credit)
Levy, David
Small, Daniel
Landesman, Uri
Mann, Joseph
SanFilippo, Joseph
Shulse, Jeffrey
N/A
LR-23705
https://www.sec.gov/litigation/litreleases/2016/lr23705.htm
1:16-CV-02488
2016-12-21
Enforcement Case
Braskem S.A.
N/A
LR-23706
https://www.sec.gov/litigation/litreleases/2016/lr23706.htm
16-CR-811
2016-12-21
Enforcement Case
Dushek, Charles J.
N/A
LR-23707
https://www.sec.gov/litigation/litreleases/2016/lr23707.htm
3:16-CV-02103
2016-12-21
Enforcement Case
Threshie, John L. Jr.
N/A
LR-23708
https://www.sec.gov/litigation/litreleases/2016/lr23708.htm
1:16-CV-25298
2016-12-22
Enforcement Case
Teva Pharmaceutical Industries Limited
N/A
LR-23709
https://www.sec.gov/litigation/litreleases/2016/lr23709.htm
16-CV-9403-KM-JBC
2016-12-22
Enforcement Case
Chamroonrat, Naris
Plumer, Adam L.
Nonko Trading
N/A
LR-23710
https://www.sec.gov/litigation/litreleases/2016/lr23710.htm
3-16-CV-12510-FDS
2016-12-22
Enforcement Case
Boston Investment Partners, LLC
Cody, Richard G.
N/A
AAER-3835
https://www.sec.gov/litigation/admin/2016/34-79650.pdf
34-79650
3-17742
2016-12-21
AP Settled
Jack Henry & Associates, Inc.
N/A
AAER-3836
https://www.sec.gov/litigation/admin/2016/34-79668.pdf
34-79668
3-17745
2016-12-22
AP Settled
Saraf, Alok CA
N/A
AAER-3837
https://www.sec.gov/litigation/admin/2016/34-79669.pdf
34-79669
3-17746
2016-12-22
AP Settled
Wipro Limited
Komandur, Badree ACA
Arunachalam, Satish CA
N/A