Notice / Immediate Effectiveness/to Amend the Fee Schedule to Change the Definition of Net Zero Complex Order

2017-04-18 116 6 2017-03-13 2017-03-17 Securities Exchange Act of 1934 34 80219 80274 Administrative Proceedings AP 4675 4694 Investment Advisers Act of 1940 IA 4663 4668 Investment Company Act of 1940 IC 32530 32535 Initial Decisions (ALJ) ID 1115 1115 Litigation Releases LR 23777 23781 Accounting and Auditing Enforcement Release AAER 3863 3863 34-80219 https://www.sec.gov/rules/sro/ise/2017/34-80219.pdf SR-ISE-2017-22 2017-03-13 Notice / Immediate Effectiveness/to Amend the Fee Schedule to Change the Definition of Net Zero Complex Order SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-14249 82-FR-14249 34-80220 https://www.sec.gov/rules/sro/batsbyx/2017/34-80220.pdf SR-BATSBYX-2017-05 2017-03-13 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.27 to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-14259 82-FR-14259 34-80221 https://www.sec.gov/litigation/admin/2017/34-80221.pdf IA-4664 IC-32531 3-17878 2017-03-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing AP Settled Parthemer, Aaron R. N/A 34-80222 https://www.sec.gov/rules/sro/nyse/2017/34-80222.pdf SR-NYSE-2017-09 2017-03-13 Notice / Immediate Effectiveness/Amending Its Price List SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-14269 82-FR-14269 34-80223 https://www.sec.gov/rules/sro/iex/2017/34-80223.pdf SR-IEX-2016-18 2017-03-13 Order/to: (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 Technical Changes to Conform Certain Terminology SRO Filing Investors Exchange, LLC http://www.federalregister.gov/citation/82-FR-14240 82-FR-14240 34-80224 https://www.sec.gov/rules/sro/bx/2017/34-80224.pdf SR-BX-2017-017 2017-03-13 Notice / Immediate Effectiveness/to Amend the Exchange's Transaction Fees at Rule 7018 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/82-FR-14261 82-FR-14261 34-80225 https://www.sec.gov/rules/sro/ise/2017/34-80225.pdf SR-ISE-2017-02 2017-03-13 Order/to Amend the Exchange Opening Process SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-14243 82-FR-14243 34-80226 https://www.sec.gov/rules/sro/phlx/2017/34-80226.pdf SR-PHLX-2017-22 2017-03-13 Notice / Immediate Effectiveness/to Amend the Data Collection Requirements in Rule 3317 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-14238 82-FR-14238 34-80227 https://www.sec.gov/rules/sro/chx/2017/34-80227.pdf SR-CHX-2017-05 2017-03-13 Notice / Immediate Effectiveness/to Modify the Date of Appendix B Website Data Publication Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/82-FR-14263 82-FR-14263 34-80228 https://www.sec.gov/rules/sro/bx/2017/34-80228.pdf SR-BX-2017-016 2017-03-13 Notice / Immediate Effectiveness/to Amend the Data Reporting Requirements of Rule 4770 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/82-FR-14256 82-FR-14256 34-80229 https://www.sec.gov/rules/sro/nasdaq/2017/34-80229.pdf SR-NASDAQ-2017-024 2017-03-13 Notice / Immediate Effectiveness/to Amend the Data Collection Requirements in Rule 4470 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-14272 82-FR-14272 34-80230 https://www.sec.gov/rules/sro/miax/2017/34-80230.pdf SR-MIAX-2017-12 2017-03-13 Notice / Immediate Effectiveness/to Amend MIAX Options Rule 515, Execution of Orders and Quotes SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/82-FR-14251 82-FR-14251 34-80231 https://www.sec.gov/litigation/admin/2017/34-80231.pdf IA-4666 3-17880 2017-03-13 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hixson, Jeremy S. N/A 34-80232 https://www.sec.gov/litigation/admin/2017/34-80232.pdf 3-15654 2017-03-13 Order Directing Disbursement of Fair Fund Orders G-Trade Services LLC Convergex Global Markets Limited Convergex Execution Solutions LLC N/A 34-80233 https://www.sec.gov/litigation/admin/2017/34-80233.pdf 3-16575 2017-03-13 Notice of Proposed Plan of Distribution and Opportunity for Comment Orders Laphen, Michael Computer Sciences Corporation Mancuso, Michael Banks, Wayne Zilmer, Claus Wakefield, Paul N/A 34-80234 https://www.sec.gov/rules/sro/ficc/2017/34-80234.pdf SR-FICC-2017-002 2017-03-14 Notice /to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-14401 82-FR-14401 34-80235 https://www.sec.gov/rules/sro/ficc/2017/34-80235.pdf SR-FICC-2017-001 2017-03-14 Notice / Designation of Longer Period for Commission Action to/(1) Implement the Margin Proxy, (2) Modify the Calculation of the Coverage Charge in Circumstances Where the Margin Proxy Applies, and (3) Make Certain Technical Corrections SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-14394 82-FR-14394 34-80236 https://www.sec.gov/rules/sro/ficc/2017/34-80236.pdf SR-FICC-2017-003 2017-03-14 Notice /to Expand the Types of Entities That Are Eligible to Participate in Fixed Income Clearing Corporation as Sponsored Members and Make Other Changes SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-14265 82-FR-14265 34-80237 https://www.sec.gov/rules/sro/nasdaq/2017/34-80237.pdf SR-NASDAQ-2017-025 2017-03-14 Notice /to List and Trade Exchange-Traded Managed Funds SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/82-FR-14395 82-FR-14395 34-80238 https://www.sec.gov/litigation/admin/2017/34-80238.pdf AAER-3863 2017-03-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hedayati, Nima N/A 34-80239 https://www.sec.gov/rules/sro/isegemini/2017/34-80239.pdf SR-ISEGEMINI-2017-14 2017-03-14 Notice / Immediate Effectiveness/to Amend Supplementary Material .03 to Rule 713 SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/82-FR-14413 82-FR-14413 34-80240 https://www.sec.gov/rules/sro/17d-2/2017/34-80240.pdf 4-709 2017-03-14 Notice /Proposed Amended Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and BOX Options Exchange LLC Notice Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 http://www.federalregister.gov/citation/82-FR-14560 82-FR-14560 34-80241 https://www.sec.gov/rules/sro/phlx/2017/34-80241.pdf SR-PHLX-2017-04 2017-03-14 Notice / Designation of Longer Period for Commission Action to/Permit the Listing and Trading of P.M.-settled NASDAQ-100 Index¿ Options on a Pilot Basis SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-14393 82-FR-14393 34-80242 https://www.sec.gov/rules/sro/batsbzx/2017/34-80242.pdf SR-BATSBZX-2017-19 2017-03-14 Notice / Immediate Effectiveness/Related to Fees SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-14410 82-FR-14410 34-80243 https://www.sec.gov/rules/sro/phlx/2017/34-80243.pdf SR-PHLX-2017-23 2017-03-14 Notice / Immediate Effectiveness/to Amend the Address of the Exchange and its Shareholder SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-14392 82-FR-14392 34-80244 https://www.sec.gov/rules/sro/phlx/2017/34-80244.pdf SR-PHLX-2017-24 2017-03-14 Notice / Immediate Effectiveness/to Amend Pricing for NDX and MNX SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-14388 82-FR-14388 34-80245 https://www.sec.gov/rules/other/2017/34-80245.pdf 265-29 2017-03-14 Notice of meeting. Notice Equity Market Structure Advisory Committee http://www.federalregister.gov/citation/82-FR-14394 82-FR-14394 34-80246 https://www.sec.gov/rules/sro/box/2017/34-80246.pdf SR-BOX-2017-09 2017-03-15 Notice / Immediate Effectiveness/to Amend the Fee Schedule on the BOX Market LLC ('BOX') Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/82-FR-14555 82-FR-14555 34-80247 https://www.sec.gov/rules/sro/box/2017/34-80247.pdf SR-BOX-2017-08 2017-03-15 Notice / Immediate Effectiveness/to Amend BOX Rule 7170 (Nullification and Adjustment of Options Transactions) to add IM-7170-4 SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/82-FR-14589 82-FR-14589 34-80248 https://www.sec.gov/rules/sro/isegemini/2017/34-80248.pdf SR-ISEGEMINI-2017-13 2017-03-15 Notice / Immediate Effectiveness/to Rename the Exchange SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/82-FR-14547 82-FR-14547 34-80249 https://www.sec.gov/rules/sro/ise/2017/34-80249.pdf SR-ISE-2017-23 2017-03-15 Notice / Immediate Effectiveness/to Amend the Exchange's Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-14586 82-FR-14586 34-80250 https://www.sec.gov/litigation/opinions/2017/34-80250.pdf IA-4667 3-17210 2017-03-15 Order Granting Petition for Review and Scheduling Briefs Orders White, Paul Leon II N/A 34-80251 https://www.sec.gov/rules/sro/pearl/2017/34-80251.pdf SR-PEARL-2017-11 2017-03-15 Notice / Immediate Effectiveness/to Amend MIAX PEARL Rules 100, 404, 515, 529, 601 and the Title Pages of Chapter VIII and Chapter XI SRO Filing MIAX PEARL, LLC http://www.federalregister.gov/citation/82-FR-14558 82-FR-14558 34-80252 https://www.sec.gov/rules/sro/nysearca/2017/34-80252.pdf SR-NYSEARCA-2017-26 2017-03-15 Notice / Immediate Effectiveness/to Amend the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-14552 82-FR-14552 34-80253 https://www.sec.gov/rules/sro/ficc/2017/34-80253.pdf SR-FICC-2017-004 2017-03-15 Notice / Immediate Effectiveness/to Describe the Intraday Mark-to-Market Charge SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-14581 82-FR-14581 34-80254 https://www.sec.gov/rules/sro/nysearca/2017/34-80254.pdf SR-NYSEARCA-2016-96 2017-03-15 Notice / Order Accelerating /as Modified by Amendment No. 3, to Amend NYSE Arca Equities Rule 8.700 and to List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-14548 82-FR-14548 34-80255 https://www.sec.gov/rules/sro/finra/2017/34-80255.pdf SR-FINRA-2017-003 2017-03-15 Order/to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/82-FR-14563 82-FR-14563 34-80256 https://www.sec.gov/rules/sro/batsbyx/2017/34-80256.pdf SR-BATSBYX-2017-02 SR-BATSBZX-2017-08 SR-BATSEDGA-2017-03 SR-BATSEDGX-2017-08 SR-BOX-2017-07 SR-C2-2017-007 SR-CBOE-2017-012 SR-CHX-2017-03 SR-ISE-2017-08 SR-IEX-2017-04 SR-ISEGEMINI-2017-04 SR-ISEMERCURY-2017-03 SR-MIAX-2017-03 SR-PEARL-2017-04 SR-BX-2017-007 SR-NASDAQ-2017-008 SR-PHLX-2017-07 SR-NYSE-2017-01 SR-NYSEARCA-2017-04 SR-NYSEARCA-2017-03 SR-NYSEMKT-2017-02 SR-NSX-2017-03 2017-03-15 Order/to Adopt Consolidated Audit Trail Compliance Rules SRO Filing Bats BYX Exchange, Inc. Bats BZX Exchange, Inc. Bats EDGA Exchange, Inc. Bats EDGX Exchange, Inc. BOX Options Exchange LLC C2 Options Exchange, Incorporated Chicago Board Options Exchange, Incorporated Chicago Stock Exchange, Inc. International Securities Exchange, LLC Investors Exchange LLC ISE Gemini, LLC ISE Mercury, LLC Miami International Securities Exchange LLC MIAX PEARL, LLC NASDAQ BX, Inc. The NASDAQ Stock Market LLC NASDAQ PHLX LLC The New York Stock Exchange LLC NYSE Arca, Inc. NYSE MKT LLC NYSE National, Inc. (f/k/a National Stock Exchange, Inc.) http://www.federalregister.gov/citation/82-FR-14526 82-FR-14526 34-80257 https://www.sec.gov/rules/sro/iex/2017/34-80257.pdf SR-IEX-2017-03 2017-03-16 Notice / Designation of Longer Period for Commission Action to/Amend IEX Rule 16.135 to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/82-FR-14779 82-FR-14779 34-80258 https://www.sec.gov/rules/sro/nysearca/2017/34-80258.pdf SR-NYSEARCA-2017-28 2017-03-16 Notice / Immediate Effectiveness/to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-14775 82-FR-14775 34-80259 https://www.sec.gov/rules/other/2017/34-80259.pdf 4-707 2017-03-16 Notice /Proposed Minor Rule Violation Plan Notice ISE Mercury, LLC http://www.federalregister.gov/citation/82-FR-14556 82-FR-14556 34-80260 https://www.sec.gov/rules/sro/nscc/2017/34-80260.pdf SR-NSCC-2017-001 2017-03-16 Notice /to Describe the Illiquid Charge that May Be Imposed on Members SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/82-FR-14781 82-FR-14781 34-80261 https://www.sec.gov/litigation/admin/2017/34-80261.pdf 2017-03-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Phoenix Hydro International, Inc. Shallbetter Industries, Inc. Vanport Acquisition II, Corp. Vanport Acquisition III, Corp. N/A 34-80262 https://www.sec.gov/rules/sro/nysemkt/2017/34-80262.pdf SR-NYSEMKT-2017-15 2017-03-16 Notice / Immediate Effectiveness/Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-14779 82-FR-14779 34-80263 https://www.sec.gov/litigation/admin/2017/34-80263.pdf IA-4668 3-17883 2017-03-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Nadel, Warren D. N/A 34-80264 https://www.sec.gov/rules/sro/cboe/2017/34-80264.pdf SR-CBOE-2017-021 2017-03-16 Notice / Immediate Effectiveness/Related to Complex Orders SRO Filing Chicago Board Options Exchange http://www.federalregister.gov/citation/82-FR-14768 82-FR-14768 34-80265 https://www.sec.gov/rules/sro/nysearca/2017/34-80265.pdf SR-NYSEARCA-2017-05 2017-03-16 Notice / Designation of Longer Period for Commission Action/Relating to the Listing and Trading of Shares of the Direxion Daily Crude Oil Bull 3x Shares and Direxion Daily Crude Oil Bear 3x Shares under NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-14778 82-FR-14778 34-80266 https://www.sec.gov/rules/sro/pearl/2017/34-80266.pdf SR-PEARL-2017-12 2017-03-17 Notice / Immediate Effectiveness/to Amend MIAX PEARL Rules 517A, Aggregate Risk Manager for EEMs ('ARM-E'), and 517B, Aggregate Risk Manager for Market Makers ('ARM-M') SRO Filing MIAX PEARL, LLC http://www.federalregister.gov/citation/82-FR-14922 82-FR-14922 34-80267 https://www.sec.gov/rules/sro/ise/2017/34-80267.pdf SR-ISE-2017-24 2017-03-17 Notice / Immediate Effectiveness/to Amend the Schedule of Fees to Modify the Member Order Routing Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-14929 82-FR-14929 34-80268 https://www.sec.gov/rules/sro/nysemkt/2017/34-80268.pdf SR-NYSEMKT-2017-05 2017-03-17 Notice / Designation of Longer Period for Commission Action/Amending Rules 7.29E and 1.1E to Provide for a Delay Mechanism SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-14932 82-FR-14932 34-80269 https://www.sec.gov/rules/sro/iceeu/2017/34-80269.pdf SR-ICEEU-2017-003 2017-03-17 Notice /Security-Based Swap Submission or Advance Notice Relating to the CDS End-of-Day Price Discovery Policy SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/82-FR-14925 82-FR-14925 34-80270 https://www.sec.gov/rules/sro/cboe/2017/34-80270.pdf SR-CBOE-2016-082 2017-03-17 Order / Instituting Proceedings to/Related to Rules Regarding the Responsibility for Ensuring Compliance with Priority and Allocation Requirements and Trade-Through Prohibitions in Open Outcry Trading SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-14926 82-FR-14926 34-80271 https://www.sec.gov/rules/sro/nysearca/2017/34-80271.pdf SR-NYSEARCA-2017-24 2017-03-17 Notice /Amending Rule 6.80 to Make Permanent A Program that Allows Transactions to Take Place at A Price that is below $1 Per Option Contract SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-14934 82-FR-14934 34-80272 https://www.sec.gov/rules/sro/nysemkt/2017/34-80272.pdf SR-NYSEMKT-2017-13 2017-03-17 Notice /Amending Rule 968NY to Make Permanent A Program that Allows Transactions to Take Place at A Price that is Below $1 Per Option Contract SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-14936 82-FR-14936 34-80273 https://www.sec.gov/litigation/admin/2017/34-80273.pdf 3-17628 2017-03-17 Extension Order Orders Ernst & Young LLP Fronckiewicz, Craig R. CPA Adams, Sarah E. CPA N/A 34-80274 https://www.sec.gov/rules/sro/ise/2017/34-80274.pdf SR-ISE-2017-27 2017-03-17 Notice / Immediate Effectiveness/Relating to 'Tick-Worse' Functionality SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/82-FR-14932 82-FR-14932 AP-4675 https://www.sec.gov/alj/aljorders/2017/ap-4675.pdf 3-17874 3-17875 2017-03-13 Orders Consolidating Proceedings and Designating Presiding Judge Orders Harris, Talman Alfaya, Victor N/A AP-4676 https://www.sec.gov/alj/aljorders/2017/ap-4676.pdf 3-16554 2017-03-13 Order Granting Extension Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4677 https://www.sec.gov/alj/aljorders/2017/ap-4677.pdf 3-17850 2017-03-13 Post-Hearing Order Orders Hydrocarb Energy Corp. N/A AP-4678 https://www.sec.gov/alj/aljorders/2017/ap-4678.pdf 3-17839 2017-03-13 Order Following Prehearing Conference Orders King, Sylvester Jr. N/A AP-4679 https://www.sec.gov/alj/aljorders/2017/ap-4679.pdf 3-17861 3-17862 3-17863 2017-03-14 Order Finding Service Orders Go EZ Corporation Arc Lifestyle Group Inc. Nova Smart Solutions Inc. N/A AP-4680 https://www.sec.gov/alj/aljorders/2017/ap-4680.pdf 3-17849 2017-03-14 Order Postponing Hearing and Directing Parties to Hold a Prehearing Conference Orders Angel Oak Capital Partners, LLC Peraza Capital & Investment, LLC Prabhu, Sreeniwas Wells, David W. N/A AP-4681 https://www.sec.gov/alj/aljorders/2017/ap-4681.pdf 3-16554 2017-03-14 Order Granting Extension Orders Gray Financial Group, Inc. Gray, Lawrence O. Hubbard, Robert C. IV N/A AP-4682 https://www.sec.gov/alj/aljorders/2017/ap-4682.pdf 3-17865 2017-03-15 Order Postponing Hearing and Scheduling Prehearing Conference Orders Cirtran Corp. Conolog Corp. Blink Technologies, Inc. (f/k/a Epunk, Inc.) World Surveillance Group, Inc. N/A AP-4683 https://www.sec.gov/alj/aljorders/2017/ap-4683.pdf 3-17342 2017-03-15 Order Following Prehearing Conference Orders RD Legal Capital, LLC Dersovitz, Roni N/A AP-4684 https://www.sec.gov/alj/aljorders/2017/ap-4684.pdf 3-17856 2017-03-15 Order Postponing Hearing Orders Gibson, John Austin Jr. N/A AP-4685 https://www.sec.gov/alj/aljorders/2017/ap-4685.pdf 3-17157 2017-03-15 Order on Continued Stay Orders Zoernack, Steven Equitystar Capital Management, LLC N/A AP-4686 https://www.sec.gov/alj/aljorders/2017/ap-4686.pdf 3-17674 2017-03-15 Order Granting Extension of Certain Prehearing Deadlines Orders Kon, Alexander N/A AP-4687 https://www.sec.gov/alj/aljorders/2017/ap-4687.pdf 3-17651 2017-03-16 Order Clarifying Prehearing Schedule Orders Beamish, Adrian D. N/A AP-4688 https://www.sec.gov/alj/aljorders/2017/ap-4688.pdf 3-17860 2017-03-16 Order to Show Cause, Postponing Hearing, and Scheduling Prehearing Conference Orders Myriad Entertainment & Resorts, Inc. National Real Estate Limited Partnership VI Paradise Communications Service N/A AP-4689 https://www.sec.gov/alj/aljorders/2017/ap-4689.pdf 3-17861 3-17862 3-17863 2017-03-16 Post-Hearing Order Orders Go EZ Corporation ARC Lifestyle Group Inc. Nova Smart Solutions Inc. N/A AP-4690 https://www.sec.gov/alj/aljorders/2017/ap-4690.pdf 3-17818 3-17819 2017-03-16 Order Scheduling Prehearing Conference Orders GL Capital Partners, LLC GL Investment Services, LLC N/A AP-4691 https://www.sec.gov/alj/aljorders/2017/ap-4691.pdf 3-17551 2017-03-16 Order Granting Request for Extension Orders Med-X, Inc. N/A AP-4692 https://www.sec.gov/alj/aljorders/2017/ap-4692.pdf 3-17882 2017-03-17 Order Scheduling Hearing and Designating Presiding Judge Orders Shallbetter Industries, Inc. Phoenix Hydro International, Inc. Vanport Acquisition II, Corp. Vanport Acquisition III, Corp N/A AP-4693 https://www.sec.gov/alj/aljorders/2017/ap-4693.pdf 3-17883 2017-03-17 Order Scheduling Hearing and Designating Presiding Judge Orders Nadel, Warren D. N/A AP-4694 https://www.sec.gov/alj/aljorders/2017/ap-4694.pdf 3-17868 2017-03-17 Order Postponing Hearing and Scheduling Prehearing Conference Orders GCA I Acquisition Corp. International Metals Acquisition Corp. (n/k/a Niagara Lasalle Corp.) Unity One Capital, Inc. N/A IA-4663 https://www.sec.gov/litigation/admin/2017/ia-4663.pdf 3-17876 2017-03-13 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Breton, Michael J. CPA N/A IA-4664 https://www.sec.gov/litigation/admin/2017/34-80221.pdf 34-80221 IC-32531 3-17878 2017-03-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing AP Settled Parthemer, Aaron R. N/A IA-4665 https://www.sec.gov/litigation/admin/2017/ia-4665.pdf 3-17879 2017-03-13 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Stifel, Nicolaus & Company, Incorporated N/A IA-4666 https://www.sec.gov/litigation/admin/2017/34-80231.pdf 34-80231 3-17880 2017-03-13 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hixson, Jeremy S. N/A IA-4667 https://www.sec.gov/litigation/opinions/2017/34-80250.pdf 34-80250 3-17210 2017-03-15 Order Granting Petition for Review and Scheduling Briefs Orders White, Paul Leon II N/A IA-4668 https://www.sec.gov/litigation/admin/2017/34-80263.pdf 34-80263 3-17883 2017-03-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Nadel, Warren D. N/A IC-32530 https://www.sec.gov/rules/ic/2017/ic-32530.pdf 812-14590 2017-03-13 Order Orders Blackstone Alternative Investment Funds, et al. N/A IC-32531 https://www.sec.gov/litigation/admin/2017/34-80221.pdf 34-80221 IA-4664 3-17878 2017-03-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing AP Settled Parthemer, Aaron R. N/A IC-32532 https://www.sec.gov/rules/ic/2017/ic-32532.pdf 812-14743 2017-03-13 Order Orders General Electric Company GE Capital International Holdings Limited N/A IC-32533 https://www.sec.gov/rules/ic/2017/ic-32533.pdf 812-14255 2017-03-15 Notice of application Notice Allianz Funds Multi-Strategy Trust http://www.federalregister.gov/citation/82-FR-14580 82-FR-14580 IC-32534 https://www.sec.gov/rules/ic/2017/ic-32534.pdf 812-14724 2017-03-16 Order Orders Brinker Capital Destinations Trust, et al. N/A IC-32535 https://www.sec.gov/rules/ic/2017/ic-32535.pdf 812-14718 2017-03-16 Order Orders Brinker Capital Destinations Trust N/A ID-1115 https://www.sec.gov/alj/aljdec/2017/id1115bpm.pdf 3-17821 2017-03-17 Initial Decision on Default Initial Decision AVT, Inc. Jaguar Acquisition Corporation Liberty Group Holdings, Inc. Med One Oak, Inc. Ocean Power Corp. (n/k/a OPC Liquidation Corp.) N/A LR-23777 https://www.sec.gov/litigation/litreleases/2017/lr23777.htm 1:14-CR-00103 (VMK 2017-03-13 Enforcement Case Webb, Gregory E. N/A LR-23778 https://www.sec.gov/litigation/litreleases/2017/lr23778.htm 2:17-CV-00405 2017-03-15 Enforcement Case Aero Space Port International Chen, Andy Shin Fong North American Foreign Trade Zone Industries, LLC Washington Economic Development Capital I, LLC Washington Economic Development Capital II Moses Lake 96000 Building LLC Sun Basin Orchards, LLC PIA, LLC Chen, John Chen, Tom Chen, Bobby Chen, Heidi EVF, Inc. N/A LR-23779 https://www.sec.gov/litigation/litreleases/2017/lr23779.htm 1:17-CV-10125 2017-03-15 Enforcement Case Strategic Capital Management, LLC Breton, Michael J. CPA N/A LR-23780 https://www.sec.gov/litigation/litreleases/2017/lr23780.htm 17-CIV-1879 2017-03-15 Enforcement Case Alpert, Todd David N/A LR-23781 https://www.sec.gov/litigation/litreleases/2017/lr23781.htm 15-CV-00191-S-LDA 3-17871 2017-03-17 Enforcement Case Churchville, Patrick Evans N/A AAER-3863 https://www.sec.gov/litigation/admin/2017/34-80238.pdf 34-80238 2017-03-14 AP Settled Hedayati, Nima N/A