Request for Comment on Industry Guide 3, Statistical Disclosure By Bank Holding Companies

2017-05-24 116 11 2017-04-17 2017-04-21 Securities Act of 1933 33 10349 10349 Securities Exchange Act of 1934 34 80465 80510 Administrative Proceedings AP 4753 4761 Investment Advisers Act of 1940 IA 4688 4690 Investment Company Act of 1940 IC 32599 32610 Initial Decisions (ALJ) ID 1123 1126 Litigation Releases LR 23808 23810 Accounting and Auditing Enforcement Release AAER 3866 3866 33-10349 https://www.sec.gov/rules/other/2017/33-10349.pdf 34-80479 S7-02-17 2017-04-18 Request for Comment on Industry Guide 3, Statistical Disclosure By Bank Holding Companies Ext. of Comment Period 33 Act; 34 Act; Industry Guide 3, Statistical Disclosure by Bank Holding Companies http://www.federalregister.gov/citation/82-FR-18877 82-FR-18877 34-80465 https://www.sec.gov/rules/sro/nasdaq/2017/34-80465.pdf SR-NASDAQ-2017-015 2017-04-17 Notice / Designation of Longer Period for Commission Action/to Adopt Rule 7017 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-18784 82-FR-18784 34-80466 https://www.sec.gov/rules/sro/phlx/2017/34-80466.pdf SR-PHLX-2017-29 2017-04-17 Notice / Immediate Effectiveness/Relating to Customer Rebates and Pricing for Multiply Listed Options SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-18784 82-FR-18784 34-80467 https://www.sec.gov/rules/sro/chx/2017/34-80467.pdf SR-CHX-2017-06 2017-04-17 Notice /to Shorten the Standard Settlement Cycle from Three Business Days After the Trade Date to Two Business Days After the Trade Date SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/82-FR-18800 82-FR-18800 34-80468 https://www.sec.gov/rules/sro/pearl/2017/34-80468.pdf SR-PEARL-2017-18 2017-04-17 Notice / Immediate Effectiveness/to Amend the MIAX PEARL Fee Schedule SRO Filing MIAX PEARL, LLC http://www.federalregister.gov/citation/82-FR-18792 82-FR-18792 34-80469 https://www.sec.gov/litigation/admin/2017/34-80469.pdf 3-16203 2017-04-17 Order Approving a Plan of Distribution Orders Coronati, Anthony Bidtoask LLC N/A 34-80470 https://www.sec.gov/rules/sro/cboe/2017/34-80470.pdf SR-CBOE-2017-030 2017-04-17 Notice / Immediate Effectiveness/to Amend the MDX Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-18802 82-FR-18802 34-80471 https://www.sec.gov/litigation/opinions/2017/34-80471.pdf 3-14104R 2017-04-17 Order Scheduling Briefs on Remand Orders Sharemaster N/A 34-80472 https://www.sec.gov/rules/sro/cboe/2017/34-80472.pdf SR-CBOE-2017-028 2017-04-17 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-18797 82-FR-18797 34-80473 https://www.sec.gov/rules/sro/c2/2017/34-80473.pdf SR-C2-2017-015 2017-04-17 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-18790 82-FR-18790 34-80474 https://www.sec.gov/rules/sro/phlx/2017/34-80474.pdf SR-PHLX-2017-30 2017-04-17 Notice / Immediate Effectiveness/to Amend the Pricing Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-18795 82-FR-18795 34-80475 https://www.sec.gov/rules/sro/bx/2017/34-80475.pdf SR-BX-2017-020 2017-04-17 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-18798 82-FR-18798 34-80476 https://www.sec.gov/litigation/admin/2017/34-80476.pdf 3-17931 2017-04-18 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Churchfield, Jeffory N/A 34-80477 https://www.sec.gov/rules/other/2017/34-80477.pdf 4-707 2017-04-18 Order/Declaring Effective a Minor Rule Violation Plan Orders ISE Mercury, LLC http://www.federalregister.gov/citation/82-FR-18942 82-FR-18942 34-80478 https://www.sec.gov/rules/sro/batsbzx/2017/34-80478.pdf SR-BATSBZX-2017-22 2017-04-18 Notice / Immediate Effectiveness/Related to Fees for Use on Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-18943 82-FR-18943 34-80479 https://www.sec.gov/rules/other/2017/33-10349.pdf 33-10349 S7-02-17 2017-04-18 Request for Comment on Industry Guide 3, Statistical Disclosure By Bank Holding Companies Ext. of Comment Period 33 Act; 34 Act; Industry Guide 3, Statistical Disclosure by Bank Holding Companies http://www.federalregister.gov/citation/82-FR-18877 82-FR-18877 34-80480 https://www.sec.gov/litigation/admin/2017/34-80480.pdf 3-17932 2017-04-18 Order of Suspension Orders Shumway , Michael D. N/A 34-80481 https://www.sec.gov/rules/sro/cboe/2017/34-80481.pdf SR-CBOE-2017-010 2017-04-18 Notice / Designation of Longer Period for Commission Action/Related to Unusual Market Conditions and the Requirement to Systemize Non-Electronic Orders Prior to Representation SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-18941 82-FR-18941 34-80482 https://www.sec.gov/rules/sro/gemx/2017/34-80482.pdf SR-GEMX-2017-03 2017-04-18 Notice / Immediate Effectiveness/to Amend the Rulebook and Schedule of Fees to Incorporate Certain Name Changes SRO Filing Nasdaq GEMX, LLC http://www.federalregister.gov/citation/82-FR-18945 82-FR-18945 34-80483 https://www.sec.gov/rules/sro/phlx/2017/34-80483.pdf SR-PHLX-2017-31 2017-04-19 Notice of Filing and immediate Effectiveness of Proposed Rule Change to Amend the Exchange's Fees at Section VIII. SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-19124 82-FR-19124 34-80484 https://www.sec.gov/rules/sro/ficc/2017/34-80484.pdf SR-FICC-2017-011 2017-04-19 Notice / Immediate Effectiveness/to Establish Effective Date of Government Securities Division Margin Proxy Rule Changes SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-19136 82-FR-19136 34-80485 https://www.sec.gov/rules/sro/dtc/2017/34-80485.pdf SR-DTC-2017-005 SR-FICC-2017-009 SR-NSCC-2017-006 2017-04-19 Notice /to Adopt the Clearing Agency Stress Testing Framework (Market Risk) SRO Filing Depository Trust Company Fixed Income Clearing Corporation National Securities Clearing Corporation http://www.federalregister.gov/citation/82-FR-19131 82-FR-19131 34-80486 https://www.sec.gov/rules/sro/nysearca/2017/34-80486.pdf SR-NYSEARCA-2016-177 2017-04-19 Order / Instituting Proceedings to/Relating to the Listing and Trading of Shares of the USCF Canadian Crude Oil Index Fund under NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-19115 82-FR-19115 34-80487 https://www.sec.gov/rules/sro/nasdaq/2017/34-80487.pdf SR-NASDAQ-2017-037 2017-04-19 Notice / Immediate Effectiveness/to Amend Fees at Rule 7030(d)(3) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-19118 82-FR-19118 34-80488 https://www.sec.gov/litigation/admin/2017/34-80488.pdf 3-17906 2017-04-19 Order Granting Motion to Extend Time to File Certified Record Orders ABN AMRO Clearing Chicago LLC N/A 34-80489 https://www.sec.gov/rules/sro/dtc/2017/34-80489.pdf SR-DTC-2017-004 SR-NSCC-2017-005 SR-FICC-2017-008 2017-04-19 Notice / Amendment No./as Modified by Amendments No. 1, to Adopt the Clearing Agency Liquidity Risk Management Framework SRO Filing The Depository Trust Company National Securities Clearing Corporation Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-19120 82-FR-19120 34-80490 https://www.sec.gov/litigation/opinions/2017/34-80490.pdf 3-17909 2017-04-19 Order Denying Stay As Moot Orders North, Thaddeus J. N/A 34-80491 https://www.sec.gov/rules/sro/dtc/2017/34-80491.pdf SR-DTC-2017-003 SR-NSCC-2017-004 SR-FICC-2017-007 2017-04-19 Notice / Amendment No./as Modified by Amendments No. 1, to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan SRO Filing The Depository Trust Company National Securities Clearing Corporation Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-19127 82-FR-19127 34-80492 https://www.sec.gov/litigation/admin/2017/34-80492.pdf 2017-04-19 Extension Order Orders 6D Global Technologies, Inc. N/A 34-80493 https://www.sec.gov/litigation/admin/2017/34-80493.pdf 3-17935 2017-04-20 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Biovest International, Inc. Olie, Inc. (n/k/a Syndicate Business Development Corp.) Three Sigma Ventures, Inc. StarGate Entertainment, Inc. N/A 34-80494 https://www.sec.gov/rules/sro/nysemkt/2017/34-80494.pdf SR-NYSEMKT-2017-21 2017-04-20 Notice / Immediate Effectiveness/to Adopt Rule 994NY, Broadcast Order Liquidity Delivery Mechanism SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-19300 82-FR-19300 34-80495 https://www.sec.gov/rules/sro/box/2017/34-80495.pdf SR-BOX-2017-12 2017-04-20 Notice / Immediate Effectiveness/to Amend a Prior Rule Change, SR-BOX-2017-08, Which Contained a Portion of Text That Is Not Applicable to BOX SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/82-FR-19297 82-FR-19297 34-80496 https://www.sec.gov/rules/sro/nysearca/2017/34-80496.pdf SR-NYSEARCA-2017-42 2017-04-20 Notice / Immediate Effectiveness/Amending Rule 6.87 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-19282 82-FR-19282 34-80497 https://www.sec.gov/rules/sro/nysemkt/2017/34-80497.pdf SR-NYSEMKT-2017-22 2017-04-20 Notice / Immediate Effectiveness/Amending Rule 975NY SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-19290 82-FR-19290 34-80498 https://www.sec.gov/rules/sro/batsbzx/2017/34-80498.pdf SR-BATSBZX-2017-23 2017-04-20 Notice / Immediate Effectiveness/to Fees for Use on the Exchange's Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-19279 82-FR-19279 34-80499 https://www.sec.gov/litigation/opinions/2017/34-80499.pdf 3-17767 2017-04-20 Order Dismissing Review Proceeding Orders McBarron Capital LLC N/A 34-80500 https://www.sec.gov/rules/sro/nysemkt/2017/34-80500.pdf SR-NYSEMKT-2016-103 2017-04-21 Notice /Allowing the Exchange to Trade, Pursuant to Unlisted Trading Privileges, Any NMS Stock Listed On Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-19416 82-FR-19416 34-80501 https://www.sec.gov/rules/sro/nysearca/2017/34-80501.pdf SR-NYSEARCA-2016-176 2017-04-21 Order / Instituting Proceedings to/Relating to the Listing and Trading of Shares of the EtherIndex Ether Trust Under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-19397 82-FR-19397 34-80502 https://www.sec.gov/rules/sro/nysearca/2017/34-80502.pdf SR-NYSEARCA-2017-06 2017-04-21 Order / Instituting Proceedings to/Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-19398 82-FR-19398 34-80503 https://www.sec.gov/rules/sro/icc/2017/34-80503.pdf SR-ICC-2017-004 2017-04-21 Notice / Immediate Effectiveness/Relating to Clearance of Additional Credit Default Swap Contracts SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/82-FR-19426 82-FR-19426 34-80504 https://www.sec.gov/rules/sro/phlx/2017/34-80504.pdf SR-PHLX-2017-32 2017-04-21 Notice / Immediate Effectiveness/to Amend Rule 1002 of the Exchange's Rules to Establish Certain Exemptions from Exercise Limits SRO Filing NASDAQ PHLX, LLC http://www.federalregister.gov/citation/82-FR-19427 82-FR-19427 34-80505 https://www.sec.gov/rules/sro/batsbzx/2017/34-80505.pdf SR-BATSBZX-2017-14 2017-04-21 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of the Amplify YieldShares Oil Hedged MLP Fund, a Series of the Amplify ETF Trust, under BZX Rule 14.11(i), Managed Fund Shares SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-19413 82-FR-19413 34-80506 https://www.sec.gov/rules/sro/icc/2017/34-80506.pdf SR-ICC-2017-003 2017-04-21 Notice / Designation of Longer Period for Commission Action/Relating to ICC's End-of-Day Price Discovery Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/82-FR-19412 82-FR-19412 34-80507 https://www.sec.gov/litigation/admin/2017/34-80507.pdf AAER-3866 3-17938 2017-04-21 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled McKinnies, Mark CPA N/A 34-80508 https://www.sec.gov/litigation/opinions/2017/34-80508.pdf IA-4689 IC-32609 3-17184 2017-04-21 Order Granting Extension of Time Orders Gibson, Christopher M. N/A 34-80509 https://www.sec.gov/litigation/opinions/2017/34-80509.pdf IA-4690 IC-32610 3-17184 2017-04-21 Order Denying Motion To Stay Administrative Proceeding Orders Gibson, Christopher M. N/A 34-80510 https://www.sec.gov/rules/sro/cboe/2017/34-80510.pdf SR-CBOE-2017-034 2017-04-21 Notice / Immediate Effectiveness/Relating to Rule 5.7 SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-19414 82-FR-19414 AP-4753 https://www.sec.gov/alj/aljorders/2017/ap-4753.pdf 3-17614 2017-04-17 Order Granting Motion to Stay Orders Laurence I. Balter (d/b/a Oracle Investment Research) N/A AP-4754 3-17313 2017-04-17 ORDER UNDER SEAL Orders Tirrell, William N/A AP-4755 https://www.sec.gov/alj/aljorders/2017/ap-4755.pdf 3-17699 2017-04-19 Order Following Prehearing Conference Orders Neman, Shervin Neman Financial, Inc. N/A AP-4756 https://www.sec.gov/alj/aljorders/2017/ap-4756.pdf 3-17387 2017-04-19 Order Granting Extension Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4757 https://www.sec.gov/alj/aljorders/2017/ap-4757.pdf 3-17897 2017-04-19 Order Postponing Hearing and Scheduling Prehearing Conference Orders International Building Concepts Ltd. (n/k/a Home Builders International, Inc.) RXBAZAAR, Inc. Victory Park Acquisition Corp. I Worldwide Data, Inc. N/A AP-4758 https://www.sec.gov/alj/aljorders/2017/ap-4758.pdf 3-17550 2017-04-19 Prehearing Order Orders Ditomasso, Tod A. N/A AP-4759 https://www.sec.gov/alj/aljorders/2017/ap-4759.pdf 3-17894 2017-04-20 Order Orders Real Hip-Hop Network, Inc. Resource Services, Inc. Surpure, Inc. (f/k/a Pacific Quest Ventures Corp.) Vanport Acquisition IV, Corp., Vanport Acquisition V, Corp. N/A AP-4760 https://www.sec.gov/alj/aljorders/2017/ap-4760.pdf 3-17878 2017-04-21 Stay Order Orders Parthemer, Aaron R. N/A AP-4761 https://www.sec.gov/alj/aljorders/2017/ap-4761.pdf 3-17674 2017-04-21 Stay Order Orders Kon, Alexander N/A IA-4688 https://www.sec.gov/litigation/admin/2017/ia-4688.pdf 3-17933 2017-04-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Varacchi, Mark J. N/A IA-4689 https://www.sec.gov/litigation/opinions/2017/34-80508.pdf 34-80508 IC-32609 3-17184 2017-04-21 Order Granting Extension of Time Orders Gibson, Christopher M. N/A IA-4690 https://www.sec.gov/litigation/opinions/2017/34-80509.pdf 34-80509 IC-32610 3-17184 2017-04-21 Order Denying Motion To Stay Administrative Proceeding Orders Gibson, Christopher M. N/A IC-32599 https://www.sec.gov/rules/ic/2017/ic-32599.pdf 812-14710 2017-04-17 Order Orders Investment Managers Series Trust II, et al. N/A IC-32600 https://www.sec.gov/rules/ic/2017/ic-32600.pdf 812-14677 2017-04-18 Order Orders AB Bond Fund, Inc., et al. N/A IC-32601 https://www.sec.gov/rules/ic/2017/ic-32601.pdf 812-14397 2017-04-18 Order Orders Spinnaker ETF Trust, et al. N/A IC-32602 https://www.sec.gov/rules/ic/2017/ic-32602.pdf 812-14664 2017-04-19 Notice of Application Notice Homestead Funds, Inc. RE Advisers Corporation http://www.federalregister.gov/citation/82-FR-19114 82-FR-19114 IC-32603 https://www.sec.gov/rules/ic/2017/ic-32603.pdf 812-14490 2017-04-19 Order Orders Transamerica Life Insurance Company, et al. N/A IC-32604 https://www.sec.gov/rules/ic/2017/ic-32604.pdf 812-14489 2017-04-19 Order Orders Transamerica Advisors Life insurance Company, et al. N/A IC-32605 https://www.sec.gov/rules/ic/2017/ic-32605.pdf 812-14488 2017-04-19 Order Orders Transamerica Life Insurance Company, et al. N/A IC-32606 https://www.sec.gov/rules/ic/2017/ic-32606.pdf 812-14487 2017-04-19 Order Orders Transamerica Financial Life Insurance Company, et al. N/A IC-32607 https://www.sec.gov/rules/ic/2017/ic-32607.pdf 812-14695 2017-04-20 Notice of Application Notice Formula Folio Investments, LLC Northern Lights Fund Trust http://www.federalregister.gov/citation/82-FR-19289 82-FR-19289 IC-32608 https://www.sec.gov/rules/ic/2017/ic-32608.pdf 812-14750 2017-04-21 Notice Notice TriLine Index Solutions LLC, et al http://www.federalregister.gov/citation/82-FR-19298 82-FR-19298 IC-32609 https://www.sec.gov/litigation/opinions/2017/34-80508.pdf 34-80508 IA-4689 3-17184 2017-04-21 Order Granting Extension of Time Orders Gibson, Christopher M. N/A IC-32610 https://www.sec.gov/litigation/opinions/2017/34-80509.pdf 34-80509 IA-4690 3-17184 2017-04-21 Order Denying Motion To Stay Administrative Proceeding Orders Gibson, Christopher M. N/A ID-1123 https://www.sec.gov/alj/aljdec/2017/id1123jeg.pdf 2017-04-18 Initial Decision Initial Decision Hill, Charles L. 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N/A AAER-3866 https://www.sec.gov/litigation/admin/2017/34-80507.pdf 34-80507 3-17938 2017-04-21 AP Settled McKinnies, Mark CPA N/A