Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order

2017-02-27 115 19 2017-01-23 2017-01-27 Securities Act of 1933 33 10286 10296 Securities Exchange Act of 1934 34 79852 79892 Trust Indenture Act of 1939 39 2514 2514 Administrative Proceedings AP 4537 4564 Investment Advisers Act of 1940 IA 4621 4628 Investment Company Act of 1940 IC 32430 32457 Initial Decisions (ALJ) ID 1105 1106 Litigation Releases LR 23724 23732 Accounting and Auditing Enforcement Release AAER 3853 3856 33-10286 https://www.sec.gov/litigation/admin/2017/33-10286.pdf 34-79857 AAER-3855 3-17807 2017-01-23 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Overseas Shipholding Group, Inc. Itkin, Myles R. N/A 33-10287 https://www.sec.gov/litigation/opinions/2017/33-10287.pdf 34-79858 3-17013 2017-01-23 Opinion Opinions Perres, Allen M. N/A 33-10288 https://www.sec.gov/litigation/admin/2017/33-10288.pdf 3-17808 2017-01-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Citigroup Global Markets, Inc. N/A 33-10289 https://www.sec.gov/rules/other/2017/33-10289.pdf 3-17808 2017-01-24 Order Granting a Waiver from Being Ineligible Issuers Orders Citigroup, Inc. Citigroup Global Markets Holdings, Inc. N/A 33-10290 https://www.sec.gov/litigation/admin/2017/33-10290.pdf 3-17809 2017-01-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Morgan Stanley Smith Barney LLC N/A 33-10291 https://www.sec.gov/litigation/admin/2017/33-10291.pdf 34-79870 IA-4623 IC-32434 3-17319 2017-01-24 Order Making Findings, and Imposing Remedial Sanctions AP Settled Helen, Jan Ernest N/A 33-10292 https://www.sec.gov/rules/other/2017/33-10292.pdf 34-79872 265-27 2017-01-25 Notice of Meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/82-FR-8779 82-FR-8779 33-10293 https://www.sec.gov/litigation/admin/2017/33-10293.pdf 34-79877 IC-32451 3-17813 2017-01-25 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Meyers Associates, LP Telfer, John Windsor Street Capital, L.P. N/A 33-10294 https://www.sec.gov/litigation/admin/2017/33-10294.pdf 3-17814 2017-01-25 Order Fixing Time and Place of Public Hearings Orders Infeed Medica Corp. N/A 33-10295 https://www.sec.gov/rules/final/2017/33-10295.pdf 34-79878 39-2514 IC-32452 3-NO FILE NUMBER 2017-01-26 Final Rule/Adoption of the Update EDGAR Filer Manual Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/82-FR-9680 82-FR-9680 33-10296 https://www.sec.gov/litigation/opinions/2017/33-10296.pdf 34-79886 3-16509 2017-01-26 Order Denying Request to Exceed Word Limit Orders Daspin, Edward M. N/A 34-79852 https://www.sec.gov/litigation/suspensions/2017/34-79852.pdf 2017-01-23 Trading Suspension Trading Suspensions PixarBio Corporation N/A 34-79853 https://www.sec.gov/rules/other/2017/34-79853.pdf 2017-6 2017-01-23 Whistleblower Orders Redacted N/A 34-79854 https://www.sec.gov/litigation/admin/2017/34-79854.pdf IA-4621 3-17804 2017-01-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Plate, Ane N/A 34-79855 https://www.sec.gov/litigation/admin/2017/34-79855.pdf AAER-3853 3-17805 2017-01-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled McGuire, Shelly R. CPA N/A 34-79856 https://www.sec.gov/litigation/admin/2017/34-79856.pdf AAER-3854 2017-01-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Jones, Donald P. CPA N/A 34-79857 https://www.sec.gov/litigation/admin/2017/33-10286.pdf 33-10286 AAER-3855 3-17807 2017-01-23 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Overseas Shipholding Group, Inc. Itkin, Myles R. N/A 34-79858 https://www.sec.gov/litigation/opinions/2017/33-10287.pdf 33-10287 3-17013 2017-01-23 Opinion Opinions Perres, Allen M. N/A 34-79859 https://www.sec.gov/rules/sro/batsbzx/2017/34-79859.pdf SR-BATSBZX-2016-42 2017-01-23 Notice / Withdrawal /to Amend the Options Regulatory Fee SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-8632 82-FR-8632 34-79860 https://www.sec.gov/rules/sro/batsedgx/2017/34-79860.pdf SR-BATSEDGX-2016-33 2017-01-23 Notice / Withdrawal /to Adopt an Options Regulatory Fee SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/82-FR-8631 82-FR-8631 34-79861 https://www.sec.gov/rules/sro/c2/2017/34-79861.pdf SR-C2-2017-004 2017-01-23 Notice / Immediate Effectiveness/Relating to the Give Up of a Clearing Trading Permit Holder SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-8636 82-FR-8636 34-79862 https://www.sec.gov/rules/sro/nasdaq/2017/34-79862.pdf SR-NASDAQ-2017-003 2017-01-23 Notice / Immediate Effectiveness/Relating to the Listing and Trading of the Shares of the Gabelli All Cap NextShares of the Gabelli NextShares Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-8645 82-FR-8645 34-79863 https://www.sec.gov/rules/sro/nasdaq/2017/34-79863.pdf SR-NASDAQ-2017-004 2017-01-23 Notice / Immediate Effectiveness/to Amend the Exchange�s Data Fees at Rule 7023 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-8632 82-FR-8632 34-79864 https://www.sec.gov/rules/sro/nysearca/2017/34-79864.pdf SR-NYSEARCA-2016-97 2017-01-23 Notice / Withdrawal /Relating to the Listing and Trading of Shares of the PowerShares Government Collateral Pledge Portfolio under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-8641 82-FR-8641 34-79865 https://www.sec.gov/rules/sro/batsbzx/2017/34-79865.pdf SR-BATSBZX-2017-03 2017-01-23 Notice / Immediate Effectiveness/to Convert the Listing of the Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF and the SPDR DoubleLine Emerging Markets Fixed Income ETF, Both of Which are a Series of the SSGA Active Trust, Pursuant to BZX Rule 14.11(i), Managed Fund Shares/Notice / Immediate Effectiveness/to Convert the Listing of the Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF and the SPDR DoubleLine Emerging Markets Fixed Income ETF, Both of Which are a Series of the SSGA Active Trust, Pursuant to BZX Rule 14.11(i), Managed Fund Shares SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-8642 82-FR-8642 34-79866 https://www.sec.gov/litigation/admin/2017/34-79866.pdf 3-16398 2017-01-24 Order Approving a Plan of Distribution Orders Sandra Dyche Fair Fund N/A 34-79867 https://www.sec.gov/litigation/admin/2017/34-79867.pdf IA-4622 IC-32430 3-17810 2017-01-24 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Block , Geoffrey J. N/A 34-79868 https://www.sec.gov/rules/sro/ficc/2017/34-79868.pdf SR-FICC-2016-007 2017-01-24 Order/to Implement a Change to the Methodology Used in the MBSD VaR Model SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-8780 82-FR-8780 34-79869 https://www.sec.gov/rules/sro/box/2017/34-79869.pdf SR-BOX-2017-02 2017-01-24 Notice / Immediate Effectiveness/to amend Rule 7130 (Execution and Price/Time Priority) to include a Participant ID, if elected, to be included in BOX�s proprietary High Speed Vendor Feed ("HSVF") for orders exposed pursuant to Rule 7130(b)(3)(ii) SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/82-FR-8777 82-FR-8777 34-79870 https://www.sec.gov/litigation/admin/2017/33-10291.pdf 33-10291 IA-4623 IC-32434 3-17319 2017-01-24 Order Making Findings, and Imposing Remedial Sanctions AP Settled Helen, Jan Ernest N/A 34-79871 https://www.sec.gov/litigation/opinions/2017/34-79871.pdf 3-17758 2017-01-24 Order Scheduling Briefs Orders Reinhart, Cynthia C. CPA N/A 34-79872 https://www.sec.gov/rules/other/2017/33-10292.pdf 33-10292 265-27 2017-01-25 Notice of Meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/82-FR-8779 82-FR-8779 34-79873 https://www.sec.gov/rules/sro/cboe/2017/34-79873.pdf SR-CBOE-2017-007 2017-01-25 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-8883 82-FR-8883 34-79874 https://www.sec.gov/rules/sro/nasdaq/2017/34-79874.pdf SR-NASDAQ-2016-141 2017-01-25 Notice / Withdrawal /to Amend Rule 4702 to Adopt a New Retail Post-Only Order SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/82-FR-8887 82-FR-8887 34-79875 https://www.sec.gov/litigation/admin/2017/34-79875.pdf 3-17812 2017-01-25 Order of Forthwith Suspension Orders Medina, Richard Jr., Esq. N/A 34-79876 https://www.sec.gov/rules/sro/nasdaq/2017/34-79876.pdf SR-NASDAQ-2016-131 2017-01-25 Order/to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/82-FR-8888 82-FR-8888 34-79877 https://www.sec.gov/litigation/admin/2017/33-10293.pdf 33-10293 IC-32451 3-17813 2017-01-25 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Meyers Associates, LP Telfer, John Windsor Street Capital, L.P. N/A 34-79878 https://www.sec.gov/rules/final/2017/33-10295.pdf 33-10295 39-2514 IC-32452 3-NO FILE NUMBER 2017-01-26 Final Rule/Adoption of the Update EDGAR Filer Manual Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/82-FR-9680 82-FR-9680 34-79879 https://www.sec.gov/litigation/admin/2017/34-79879.pdf IA-4625 3-17815 2017-01-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Palestra Capital Management LLC N/A 34-79880 https://www.sec.gov/litigation/admin/2017/34-79880.pdf AAER-3856 3-17816 2017-01-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Anderson Bradshaw PLLC Anderson, Russell CPA Chen, Sandra CPA Denney, William CPA N/A 34-79881 https://www.sec.gov/litigation/admin/2017/34-79881.pdf 3-16398 2017-01-26 Order Directing Disbursement of Fair Fund Orders Sandra Dyche Fair Fund N/A 34-79882 https://www.sec.gov/litigation/admin/2017/34-79882.pdf IA-4626 3-17817 2017-01-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Citigroup Global Markets Inc. N/A 34-79883 https://www.sec.gov/rules/sro/iex/2017/34-79883.pdf SR-IEX-2016-18 2017-01-26 Notice / Designation of Longer Period for Commission Action/(i) Amend Rules 11.190(a)(3) and 11.190(b)(8) to Modify the operation of the Primary Peg Order Type; (ii) Amend Rule 11.190(h)(3)(C)(ii) and (D)(ii) Regarding Price Sliding in Locked and Crossed Markets to Simplify the Price Sliding Process for Both Primary Peg Orders and Discretionary Peg Orders Resting on or Posting to the Order Book; and (iii) Make Minor Housekeeping Changes to Conform Certain Terminology SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/82-FR-9083 82-FR-9083 34-79884 https://www.sec.gov/rules/sro/batsbzx/2017/34-79884.pdf SR-BATSBZX-2016-61 2017-01-26 Order/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/82-FR-8968 82-FR-8968 34-79885 https://www.sec.gov/rules/sro/nysearca/2017/34-79885.pdf SR-NYSEARCA-2016-100 2017-01-26 Order/to List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund under NYSE Arca Equities Rule 5.2(j)(3) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-8963 82-FR-8963 34-79886 https://www.sec.gov/litigation/opinions/2017/33-10296.pdf 33-10296 3-16509 2017-01-26 Order Denying Request to Exceed Word Limit Orders Daspin, Edward M. N/A 34-79887 https://www.sec.gov/rules/sro/ise/2017/34-79887.pdf SR-ISE-2017-02 2017-01-27 Notice /to Amend the Opening Process SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-9090 82-FR-9090 34-79888 https://www.sec.gov/litigation/admin/2017/34-79888.pdf 3-14982 2017-01-27 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice Wells Fargo Brokerage Services, LLC n/k/a Wells Fargo Securities LLC McMurtry, Shawn Patrick N/A 34-79889 https://www.sec.gov/rules/sro/icc/2017/34-79889.pdf SR-ICC-2017-001 2017-01-27 Notice / Immediate Effectiveness/to Implement Collateral Fee Changes SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/82-FR-9089 82-FR-9089 34-79890 https://www.sec.gov/alj/aljdec/2017/34-79890.pdf 3-17577 2017-01-27 Notice That Initial Decision Has Become Final Notice Seibert, Robert N/A 34-79891 https://www.sec.gov/rules/sro/box/2017/34-79891.pdf SR-BOX-2017-03 2017-01-27 Notice / Immediate Effectiveness/to Amend Rule 8040 (Obligations of Market Makers) SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/82-FR-9101 82-FR-9101 34-79892 https://www.sec.gov/rules/sro/icc/2017/34-79892.pdf SR-ICC-2016-014 2017-01-27 Order/to Provide for the Clearance of Additional Credit Default Swap Contracts SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/82-FR-9086 82-FR-9086 39-2514 https://www.sec.gov/rules/final/2017/33-10295.pdf 33-10295 34-79878 IC-32452 3-NO FILE NUMBER 2017-01-26 Final Rule/Adoption of the Update EDGAR Filer Manual Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/82-FR-9680 82-FR-9680 AP-4537 https://www.sec.gov/alj/aljorders/2017/ap-4537.pdf 3-17747 2017-01-23 Order Postponing Hearing and Scheduling Prehearing Conference Orders Rose, Brain C. N/A AP-4538 https://www.sec.gov/alj/aljorders/2017/ap-4538.pdf 3-17733 2017-01-23 Order Staying the Proceeding Orders Wilson-Davis & Company, Inc. N/A AP-4539 https://www.sec.gov/alj/aljorders/2017/ap-4539.pdf 3-16227 3-16229 2017-01-23 Order Orders Middlebury Securities, LLC Osborn, Gregory N/A AP-4540 https://www.sec.gov/alj/aljorders/2017/ap-4540.pdf 3-17749 2017-01-23 Order Postponing Hearing Orders Smith, Jason B. N/A AP-4541 https://www.sec.gov/alj/aljorders/2017/ap-4541.pdf 3-17674 2017-01-23 Order Extending Deadline For Reply to Motion For Ruling on The Pleadings Orders Kon, Alexander N/A AP-4542 https://www.sec.gov/alj/aljorders/2017/ap-4542.pdf 3-17387 2017-01-23 Order Regarding Subpoena Directed to Joseph Ferraro Orders Lathen, Donald F. JR Eden Arc Capital Advisors, LLC Eden Arc Capital Management, LLC N/A AP-4543 https://www.sec.gov/alj/aljorders/2017/ap-4543.pdf 3-16554 2017-01-24 Order Denying Respondents' Motion For Reconsideration Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4544 https://www.sec.gov/alj/aljorders/2017/ap-4544.pdf 3-17748 2017-01-24 Order Postponing Hearing Orders McGregor, Robert S. N/A AP-4545 https://www.sec.gov/alj/aljorders/2017/ap-4545.pdf 3-16554 2017-01-24 Order on Division's Subpoena to Produce Documents Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4546 https://www.sec.gov/alj/aljorders/2017/ap-4546.pdf 3-17184 2017-01-25 Correction Order Orders Gibson, Christopher M. N/A AP-4547 https://www.sec.gov/alj/aljorders/2017/ap-4547.pdf 3-17699 2017-01-25 Order to Show Cause Orders Neman, Shervin Newman Financial, Inc. N/A AP-4548 https://www.sec.gov/alj/aljorders/2017/ap-4548.pdf 3-16227 3-16229 2017-01-25 Order Orders Middlebury Securities, LLC Osborn, Gregory N/A AP-4549 https://www.sec.gov/alj/aljorders/2017/ap-4549.pdf 3-16554 2017-01-25 Order Regarding Division's Motions to Strike Orders Gray Financial Group, Inc. Gray, Laurence O. Hubgard, Robert C. 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N/A AP-4555 https://www.sec.gov/alj/aljorders/2017/ap-4555.pdf 3-17811 2017-01-27 Order Scheduling Hearing and Designating Presiding Judge Orders Black, Hans Peter Interinvest Corporation, Inc. N/A AP-4556 https://www.sec.gov/alj/aljorders/2017/ap-4556.pdf 3-17814 2017-01-27 Order Designating Presiding Judge Orders Infeed Medica Corp. N/A AP-4557 https://www.sec.gov/alj/aljorders/2017/ap-4557.pdf 3-17813 2017-01-27 Order Scheduling Hearing and Designating Presiding Judge Orders Windsor Street Capital, L.P. (f/k/a/ Meyers Associates, L.P. Telfer, John David N/A AP-4558 https://www.sec.gov/alj/aljorders/2017/ap-4558.pdf 3-16839 2017-01-27 Order Dismissing Proceeding Orders Bartholomew, Daniel R. Hjelvik, Karl I. N/A AP-4559 https://www.sec.gov/alj/aljorders/2017/ap-4559.pdf 3-17747 2017-01-27 Order to Show Cause and Postponing Prehearing Conference Orders Rose, Brian C. N/A AP-4560 https://www.sec.gov/alj/aljorders/2017/ap-4560.pdf 3-17614 2017-01-27 Order Orders Balter, Laurence I. N/A AP-4561 https://www.sec.gov/alj/aljorders/2017/ap-4561.pdf 3-17342 2017-01-27 Order Orders RD Legal Capital, LLC Dersovitz, Roni N/A AP-4562 https://www.sec.gov/alj/aljorders/2017/ap-4562.pdf 3-16554 2017-01-27 Order Postponing Hearing and Setting Schedule for Briefing on Waiver of a Attorney-Client Privilege Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4563 https://www.sec.gov/alj/aljorders/2017/ap-4563.pdf 3-17716 2017-01-27 Order Directing Parties to Hold a Prehearing Conference Orders Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. N/A AP-4564 https://www.sec.gov/alj/aljorders/2017/ap-4564.pdf 3-17387 2017-01-27 Order Regarding the Division's Motion to Compel or Preclude, and Following Further in Camera Review Orders Lathen, Donald ("Jay") F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A IA-4621 https://www.sec.gov/litigation/admin/2017/34-79854.pdf 34-79854 3-17804 2017-01-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Plate, Ane N/A IA-4622 https://www.sec.gov/litigation/admin/2017/34-79867.pdf 34-79867 IC-32430 3-17810 2017-01-24 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Block , Geoffrey J. N/A IA-4623 https://www.sec.gov/litigation/admin/2017/33-10291.pdf 33-10291 34-79870 IC-32434 3-17319 2017-01-24 Order Making Findings, and Imposing Remedial Sanctions AP Settled Helen, Jan Ernest N/A IA-4624 https://www.sec.gov/litigation/admin/2017/ia-4624.pdf 3-17811 2017-01-24 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Interinvest Corporation, Inc. Black, Hans Peter N/A IA-4625 https://www.sec.gov/litigation/admin/2017/34-79879.pdf 34-79879 3-17815 2017-01-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Palestra Capital Management LLC N/A IA-4626 https://www.sec.gov/litigation/admin/2017/34-79882.pdf 34-79882 3-17817 2017-01-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Citigroup Global Markets Inc. N/A IA-4627 https://www.sec.gov/litigation/admin/2017/ia-4627.pdf 3-17661 2017-01-27 Order Making Findings, and Imposing Remedial Sanctions AP Settled Altholtz, Harvey N/A IA-4628 https://www.sec.gov/alj/aljdec/2017/ia-4628.pdf 3-17395 2017-01-27 Notice That Initial Decision Has Become Final Notice Jones, Anthony Tyrone Jr. N/A IC-32430 https://www.sec.gov/litigation/admin/2017/34-79867.pdf 34-79867 IA-4622 3-17810 2017-01-24 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Block , Geoffrey J. N/A IC-32431 https://www.sec.gov/rules/ic/2017/ic-32431.pdf 812-14655 2017-01-24 Order Granting Exemptions Orders Morgan Stanley ETF Trust, et al. N/A IC-32432 https://www.sec.gov/rules/ic/2017/ic-32432.pdf 812-14389 2017-01-24 Notice of Application Notice Aspiration Funds and Aspiration Fund Adviser, LLC http://www.federalregister.gov/citation/82-FR-8779 82-FR-8779 IC-32433 https://www.sec.gov/rules/ic/2017/ic-32433.pdf 812-14622 3-32433 2017-01-24 Order Granting Exemption Orders DFA Investment Dimensions Group Inc., et al. Dimensional Emerging Markets Value Fund Dimensional Investment Group Inc. The DFA Investment Trust Company Dimensional Fund Advisors LP N/A IC-32434 https://www.sec.gov/litigation/admin/2017/33-10291.pdf 33-10291 34-79870 IA-4623 3-17319 2017-01-24 Order Making Findings, and Imposing Remedial Sanctions AP Settled Helen, Jan Ernest N/A IC-32435 https://www.sec.gov/rules/ic/2017/ic-32435.pdf 812-14729 2017-01-25 Notice Notice Causeway ETMF Trust, et al http://www.federalregister.gov/citation/82-FR-8886 82-FR-8886 IC-32436 https://www.sec.gov/rules/icdereg/2017/ic-32436.pdf 811-22178 2017-01-25 Order Orders Davlin Philanthropic Funds N/A IC-32437 https://www.sec.gov/rules/icdereg/2017/ic-32437.pdf 811-05207 2017-01-25 Order Orders Alliancebernstein Income Fund, Inc. N/A IC-32438 https://www.sec.gov/rules/icdereg/2017/ic-32438.pdf 811-22523 2017-01-25 Order Orders Destra Investment Trust II N/A IC-32439 https://www.sec.gov/rules/icdereg/2017/ic-32439.pdf 811-22785 2017-01-25 Order Orders Realty Capital Income Funds Trust N/A IC-32440 https://www.sec.gov/rules/icdereg/2017/ic-32440.pdf 811-22789 2017-01-25 Order Orders AIP Series Trust N/A IC-32441 https://www.sec.gov/rules/icdereg/2017/ic-32441.pdf 811-02340 2017-01-25 Order Orders Montgomery Street Income Securities, Inc. N/A IC-32442 https://www.sec.gov/rules/icdereg/2017/ic-32442.pdf 811-01920 2017-01-25 Order Orders Stralem Fund N/A IC-32443 https://www.sec.gov/rules/icdereg/2017/ic-32443.pdf 811-22080 2017-01-25 Order Orders First Trust Dividend & Income Fund N/A IC-32444 https://www.sec.gov/rules/icdereg/2017/ic-32444.pdf 811-22588 2017-01-25 Order Orders BPV Family of Funds N/A IC-32445 https://www.sec.gov/rules/icdereg/2017/ic-32445.pdf 811-07066 2017-01-25 Order Orders Western Asset Emerging Markets Income Fund Inc. N/A IC-32446 https://www.sec.gov/rules/icdereg/2017/ic-32446.pdf 811-08338 2017-01-25 Order Orders Western Asset Emerging Markets Floating Rate Fund Inc. N/A IC-32447 https://www.sec.gov/rules/icdereg/2017/ic-32447.pdf 811-07162 2017-01-25 Order Orders Western Asset High Income Fund Inc. N/A IC-32448 https://www.sec.gov/rules/icdereg/2017/ic-32448.pdf 811-07812 2017-01-25 Order Orders Western Asset Municipal Partners Fund II Inc. N/A IC-32449 https://www.sec.gov/rules/icdereg/2017/ic-32449.pdf 811-08359 2017-01-25 Order Orders Westport Funds N/A IC-32450 https://www.sec.gov/rules/icdereg/2017/ic-32450.pdf 811-22552 2017-01-25 Order Orders City National Rochdale International trade Fixed Income Fund N/A IC-32451 https://www.sec.gov/litigation/admin/2017/33-10293.pdf 33-10293 34-79877 3-17813 2017-01-25 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Meyers Associates, LP Telfer, John Windsor Street Capital, L.P. N/A IC-32452 https://www.sec.gov/rules/final/2017/33-10295.pdf 33-10295 34-79878 39-2514 3-NO FILE NUMBER 2017-01-26 Final Rule/Adoption of the Update EDGAR Filer Manual Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/82-FR-9680 82-FR-9680 IC-32453 https://www.sec.gov/rules/ic/2017/ic-32453.pdf 812-14700 2017-01-26 Notice Notice StrongVest ETF Trust, et al. http://www.federalregister.gov/citation/82-FR-8966 82-FR-8966 IC-32454 https://www.sec.gov/rules/ic/2017/ic-32454.pdf 812-13828 2017-01-27 Order Orders Hartford Funds Exchange-Traded Trust, et al. N/A IC-32455 https://www.sec.gov/rules/ic/2017/ic-32455.pdf 812-14675 2017-01-27 Order Orders Krane Funds Advisors, LLC, et al. Kraneshares Trust SEI Investments Distribution Company N/A IC-32456 https://www.sec.gov/rules/icdereg/2017/ic-32456.pdf 811-05931 811-22978 811-22825 811-08941 811-22809 811-00515 811-22846 811-05850 811-23022 811-22212 811-03231 811-23085 811-21098 811-07396 811-07994 811-22465 811-22745 811-22516 2017-01-27 Notice of application Notice Nuveen New York Performance Plus Municipal Find, Inc. Corsair Opportunity Fund SmartX ETF Trust Vantagepoint Funds Matthews A Share Selections Fund, LLC Wall Street Fund, Inc., The Salient MLP Growth Fund OneAmerica Funds, Inc. First Trust Convertible Securities Income Fund Calvert SAGE Fund SEI Liquid Asset Trust CPG York Driven Strategies, LLC LMP Real Estate Income Fund Western Asset Manged High Income Fund Inc. Western Asset Global Partners Income Fund Inc. Endowment Institutional TEI Fund W, LP American Funds Global High-Income Opportunities Fund GAI Aurora Opportunities Fund, LLC http://www.federalregister.gov/citation/82-FR-9087 82-FR-9087 IC-32457 https://www.sec.gov/rules/ic/2017/ic-32457.pdf 812-14149 2017-01-27 Notice Notice Allstate Assurance Company, et al. http://www.federalregister.gov/citation/82-FR-9083 82-FR-9083 ID-1105 https://www.sec.gov/alj/aljdec/2017/id1105jeg.pdf 3-17715 2017-01-23 Initial Decision of Default Initial Decision Sen Yu International Holdings, Inc. N/A ID-1106 https://www.sec.gov/alj/aljdec/2017/id1106bpm.pdf 3-17184 2017-01-25 Initial Decision Initial Decision Gibson, Christopher M. N/A LR-23724 https://www.sec.gov/litigation/litreleases/2017/lr23724.htm 4:17-CR-00001 2017-01-23 Enforcement Case Krinos, George N. N/A LR-23725 https://www.sec.gov/litigation/litreleases/2017/lr23725.htm 2:17-CV-00393 2017-01-24 Enforcement Case Edwards, Dwayne N/A LR-23726 https://www.sec.gov/litigation/litreleases/2017/lr23726.htm 17-CV-20301-JAL 2017-01-25 Enforcement Case Sandoval Herrera, Mathias F. Cidre, Maria D. CPA Miranda, Jose A. N/A LR-23727 https://www.sec.gov/litigation/litreleases/2017/lr23727.htm 1:17-CV-10125-MLW 2017-01-25 Enforcement Case Strategic Capital Management, LLC Breton, Michael J. CPA N/A LR-23728 https://www.sec.gov/litigation/litreleases/2017/lr23728.htm 1:17-CV-00430 2017-01-26 Enforcement Case Cohen, Michael L. Baros, Vanja N/A LR-23729 https://www.sec.gov/litigation/litreleases/2017/lr23729.htm 1:17-CV-00243 2017-01-27 Enforcement Case Young, Herman Ronnie Jr. d/b/a RaceCycler N/A LR-23730 https://www.sec.gov/litigation/litreleases/2017/lr23730.htm 1:16-CV-10960-ADB 2017-01-27 Enforcement Case Gondolfe, James Cannabiz Mobile, Inc. N/A LR-23731 https://www.sec.gov/litigation/litreleases/2017/lr23731.htm 1:17-CV-0632 2017-01-27 Enforcement Case 875 Holdings, LLC Advance Entertainment, LLC Advance Entertainment II, LLC 127 Holdings, LLC Meli, Joseph Harriton, Matthew 127 Partners, LLC Meli, Jessica N/A LR-23732 https://www.sec.gov/litigation/litreleases/2017/lr23732.htm 17-CV0059 2017-01-27 Enforcement Case JBH Consulting Group, LLC Hudnall, Brian N/A AAER-3853 https://www.sec.gov/litigation/admin/2017/34-79855.pdf 34-79855 3-17805 2017-01-23 AP Settled McGuire, Shelly R. CPA N/A AAER-3854 https://www.sec.gov/litigation/admin/2017/34-79856.pdf 34-79856 2017-01-23 AP Settled Jones, Donald P. CPA N/A AAER-3855 https://www.sec.gov/litigation/admin/2017/33-10286.pdf 33-10286 34-79857 3-17807 2017-01-23 AP Settled Overseas Shipholding Group, Inc. Itkin, Myles R. N/A AAER-3856 https://www.sec.gov/litigation/admin/2017/34-79880.pdf 34-79880 3-17816 2017-01-26 AP Settled Anderson Bradshaw PLLC Anderson, Russell CPA Chen, Sandra CPA Denney, William CPA N/A