Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed with the Commission

2017-02-22 115 15 2016-12-26 2016-12-30 Securities Exchange Act of 1934 34 79691 79717 Administrative Proceedings AP 4484 4496 Investment Advisers Act of 1940 IA 4594 4598 Investment Company Act of 1940 IC 32402 32407 Initial Decisions (ALJ) ID 1096 1099 Litigation Releases LR 23711 23714 Accounting and Auditing Enforcement Release AAER 3838 3840 34-79691 https://www.sec.gov/litigation/admin/2016/34-79691.pdf AAER-3838 3-9135 2016-12-27 Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed with the Commission Orders Greifeld, Philip M. CPA N/A 34-79692 https://www.sec.gov/litigation/admin/2016/34-79692.pdf 3-17747 2016-12-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Rose, Brian C. N/A 34-79693 https://www.sec.gov/litigation/admin/2016/34-79693.pdf 3-17748 2016-12-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated McGregor, Robert S. N/A 34-79694 https://www.sec.gov/litigation/admin/2016/34-79694.pdf 3-17749 2016-12-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Smith, Jason B. N/A 34-79695 https://www.sec.gov/litigation/admin/2016/34-79695.pdf 3-17750 2016-12-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Loveall, Brent A. N/A 34-79696 https://www.sec.gov/rules/sro/cboe/2016/34-79696.pdf SR-CBOE-2016-093 2016-12-27 Notice /to Amend Rule 6.54 SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-173 82-FR-173 34-79697 https://www.sec.gov/rules/sro/cboe/2016/34-79697.pdf SR-CBOE-2016-088 2016-12-27 Notice /Related to the Nullification and Adjustment of Options Transactions SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-167 82-FR-167 34-79698 https://www.sec.gov/litigation/admin/2016/34-79698.pdf AAER-3839 3-17753 2016-12-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Loppert, David A. N/A 34-79699 https://www.sec.gov/rules/sro/batsedga/2016/34-79699.pdf SR-BATSEDGA-2016-32 2016-12-28 Notice / Immediate Effectiveness/to Amend the Market Data Section of its Fee Schedule to Adopt Fees for EDGA Summary Depth and Amend Fees for EDGA Depth SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/82-FR-892 82-FR-892 34-79700 https://www.sec.gov/litigation/opinions/2016/34-79700.pdf 3-17262 2016-12-28 Opinion Opinions MKM Partners, LLC N/A 34-79701 https://www.sec.gov/rules/sro/nasdaq/2016/34-79701.pdf SR-NASDAQ-2016-175 2016-12-29 Notice / Immediate Effectiveness/to Amend Rule 7022(d) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-1381 82-FR-1381 34-79702 https://www.sec.gov/litigation/admin/2016/34-79702.pdf AAER-3840 3-17754 2016-12-29 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled General Cable Corporation N/A 34-79703 https://www.sec.gov/litigation/admin/2016/34-79703.pdf 3-17755 2016-12-29 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled General Cable Corporation N/A 34-79704 https://www.sec.gov/litigation/admin/2016/34-79704.pdf 3-17756 2016-12-29 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Zimmer, Karl J. N/A 34-79705 https://www.sec.gov/rules/sro/nysearca/2016/34-79705.pdf SR-NYSEARCA-2016-169 2016-12-29 Notice / Immediate Effectiveness/Amending NYSE Arca Equities Rule 7.35(a)(10)(A) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-1419 82-FR-1419 34-79706 https://www.sec.gov/rules/sro/nasdaq/2016/34-79706.pdf SR-NASDAQ-2016-180 2016-12-29 Notice / Immediate Effectiveness/Relating to the Listing and Trading of the Shares of the First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-1390 82-FR-1390 34-79707 https://www.sec.gov/rules/other/2016/34-79707.pdf 600-36 2016-12-29 Order/Granting Application for Registration as a Clearing Agency and Request for Exemptive Relief Orders Banque Centrale de Compensaiton d/b/a LCH SA http://www.federalregister.gov/citation/82-FR-1398 82-FR-1398 34-79708 https://www.sec.gov/litigation/admin/2016/34-79708.pdf 3-17757 2016-12-29 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Calleja, Rafael Antonio Jr. N/A 34-79709 https://www.sec.gov/rules/sro/cboe/2016/34-79709.pdf SR-CBOE-2016-092 2016-12-29 Notice / Immediate Effectiveness/Relating to Fees for the Complex Order Book Data Feed SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-1387 82-FR-1387 34-79710 https://www.sec.gov/rules/sro/nyse/2016/34-79710.pdf SR-NYSE-2016-89 2016-12-29 Notice / Immediate Effectiveness/to Amend its Price List SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-1395 82-FR-1395 34-79711 https://www.sec.gov/rules/sro/c2/2016/34-79711.pdf SR-C2-2016-025 2016-12-29 Notice / Immediate Effectiveness/Relating to Fees for C2 Real-Time Data Feeds SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-1415 82-FR-1415 34-79712 https://www.sec.gov/rules/sro/cboe/2016/34-79712.pdf SR-CBOE-2016-091 2016-12-29 Notice /Related to a Change to the Trading Symbol for P.M.-Settled Options on the Standard & Poor?s 500 Index SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-1383 82-FR-1383 34-79713 https://www.sec.gov/rules/sro/nysearca/2016/34-79713.pdf SR-NYSEARCA-2016-166 2016-12-30 Notice / Immediate Effectiveness/Amending NYSE Arca Equities Rule 7.35(d)(4) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-1772 82-FR-1772 34-79714 https://www.sec.gov/rules/sro/nysearca/2016/34-79714.pdf SR-NYSEARCA-2016-136 2016-12-30 Order/Amending NYSE Arca Equities Rule 7.35 to Provide for Widened Auction Collars for the Core Open Auction on Volatile Trading Days SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-1766 82-FR-1766 34-79715 https://www.sec.gov/rules/sro/nyse/2016/34-79715.pdf SR-NYSE-2016-91 2016-12-30 Notice / Immediate Effectiveness/to Amend the Exchange?s Price List to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange?s Co-Location Services SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-1777 82-FR-1777 34-79716 https://www.sec.gov/rules/sro/nysearca/2016/34-79716.pdf SR-NYSEARCA-2016-168 2016-12-30 Notice / Immediate Effectiveness/to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange's Co-Location Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-1774 82-FR-1774 34-79717 https://www.sec.gov/rules/sro/nysemkt/2016/34-79717.pdf SR-NYSEMKT-2016-123 2016-12-30 Notice / Immediate Effectiveness/to Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange's Co-Location Services SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-1767 82-FR-1767 AP-4484 https://www.sec.gov/alj/aljorders/2016/ap-4484.pdf 3-17104 2016-12-27 Order Regarding Motion to Correct Manifest Errors of Fact Orders BioElectronics Corp. IBEX St. John's LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4485 https://www.sec.gov/alj/aljorders/2016/ap-4485.pdf 3-17747 2016-12-28 Order Scheduling Hearing and Designating Presiding Judge Orders Rose, Brian C. N/A AP-4486 https://www.sec.gov/alj/aljorders/2016/ap-4486.pdf 2016-12-28 Order Scheduling Hearing and Designating Presiding Judge Orders McGregor, Robert S. N/A AP-4487 https://www.sec.gov/alj/aljorders/2016/ap-4487.pdf 2016-12-28 Order Scheduling Hearing and Designating Presiding Judge Orders Smith, Jason B. N/A AP-4488 https://www.sec.gov/alj/aljorders/2016/ap-4488.pdf 3-17686 2016-12-28 Order Following Prehearing Conference Orders Lee, James Y. N/A AP-4489 https://www.sec.gov/alj/aljorders/2016/ap-4489.pdf 3-17751 2016-12-28 Order Scheduling Hearing and Designating Presiding Judge Orders Dekel, Roy N/A AP-4490 https://www.sec.gov/alj/aljorders/2016/ap-4490.pdf 3-17698 2016-12-29 Order Following Prehearing Conference and to Show Cause Orders Odyssey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A AP-4491 https://www.sec.gov/alj/aljorders/2016/ap-4491.pdf 3-17651 2016-12-29 Scheduling and General Prehearing Order Opinions Beamish, Adrian D. CPA N/A AP-4492 https://www.sec.gov/alj/aljorders/2016/ap-4492.pdf 3-17711 2016-12-29 Order to Show Cause and Postponement Order Orders AquaNatural Co. Bullet Sports International Inc. Pearce Systems International, Inc. N/A AP-4493 https://www.sec.gov/alj/aljorders/2016/ap-4493.pdf 3-17393 2016-12-29 Order Following Oral Argument Orders Peterson, Curtis A. N/A AP-4494 https://www.sec.gov/alj/aljorders/2016/ap-4494.pdf 3-17558 2016-12-29 Order Regarding Service and Answer Date Orders Bluforest, Inc. N/A AP-4495 https://www.sec.gov/alj/aljorders/2016/ap-4495.pdf 3-17387 2016-12-29 Order Regarding the Division's Motion to Compel Hinckley Allen Orders Lathen, Donald F. (Jay) Jr. Eden Arc Capital Advisors, LLC Eden Arc Capital Management, LLC N/A AP-4496 https://www.sec.gov/alj/aljorders/2016/ap-4496.pdf 3-17733 2016-12-30 Order Postponing Hearing and Scheduling Prehearing Conference Orders Wilson-Davis & Company, Inc. N/A IA-4594 https://www.sec.gov/litigation/admin/2016/ia-4594.pdf 3-17751 2016-12-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Dekel, Roy N/A IA-4595 https://www.sec.gov/rules/ia/2016/ia-4595.pdf 803-00236 2016-12-28 Order Granting an Exemption Orders Merrill Lynch, Pierce, Fenner & Smith N/A IA-4596 https://www.sec.gov/rules/ia/2016/ia-4596.pdf 803-00237 2016-12-28 Order Granting an Exemption Orders Robert W. Baird & Co. Incorporated N/A IA-4597 https://www.sec.gov/rules/ia/2016/ia-4597.pdf 803-00235 2016-12-28 Order Granting an Exemption Orders UBS Financial Services Inc. 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CPA N/A AAER-3839 https://www.sec.gov/litigation/admin/2016/34-79698.pdf 34-79698 3-17753 2016-12-27 AP Settled Loppert, David A. N/A AAER-3840 https://www.sec.gov/litigation/admin/2016/34-79702.pdf 34-79702 3-17754 2016-12-29 AP Settled General Cable Corporation N/A