Notice of meeting

2017-05-28 116 12 2017-04-24 2017-04-28 Securities Act of 1933 33 10350 10351 Securities Exchange Act of 1934 34 80511 80559 Administrative Proceedings AP 4762 4778 Investment Advisers Act of 1940 IA 4691 4694 Investment Company Act of 1940 IC 32611 32616 Initial Decisions (ALJ) ID 1127 1128 Litigation Releases LR 23811 23819 Accounting and Auditing Enforcement Release AAER 3867 3868 33-10350 https://www.sec.gov/rules/other/2017/33-10350.pdf 34-80512 265-27 2017-04-24 Notice of meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/82-FR-19413 82-FR-19413 33-10351 https://www.sec.gov/litigation/opinions/2017/33-10351.pdf 34-80526 IA-4692 IC-32612 3-16801 2017-04-25 Order Denying Respondents' Motion for Leave to File Supplemental Brief Orders Bennett, Dawn J. Bennett Group Financial Services, LLC N/A 34-80511 https://www.sec.gov/rules/sro/batsbzx/2017/34-80511.pdf SR-BATSBZX-2016-30 2017-04-24 Order Granting Petition for Review and Scheduling Filing of Statements SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-19770 82-FR-19770 34-80512 https://www.sec.gov/rules/other/2017/33-10350.pdf 33-10350 265-27 2017-04-24 Notice of meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/82-FR-19413 82-FR-19413 34-80513 https://www.sec.gov/litigation/admin/2017/34-80513.pdf 3-17940 2017-04-24 Order of Forthwith Suspension Orders Galanis, Jareb M. Esq. N/A 34-80514 https://www.sec.gov/rules/sro/iex/2017/34-80514.pdf SR-IEX-2017-11 2017-04-24 Notice /to Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/82-FR-19763 82-FR-19763 34-80515 https://www.sec.gov/rules/sro/nysearca/2017/34-80515.pdf SR-NYSEARCA-2017-45 2017-04-24 Notice / Immediate Effectiveness/to Reflect a Change in the Index Methodology Applicable to the Virtus Enhanced U.S. Equity ETF under NYSE Arca Equities Rule 5.2(j)(3) SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-19778 82-FR-19778 34-80516 https://www.sec.gov/rules/sro/nysearca/2017/34-80516.pdf SR-NYSEARCA-2017-43 2017-04-24 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/82-FR-19775 82-FR-19775 34-80517 https://www.sec.gov/rules/sro/ficc/2017/34-80517.pdf SR-FICC-2017-010 2017-04-24 Notice /to Amend the Mortgage-Backed Securities Division Rules Concerning Use of Clearing Fund for Losses, Liabilities or Temporary Needs For Funds Incident to the Clearance and Settlement Business and Make Other Related Changes SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-19771 82-FR-19771 34-80518 https://www.sec.gov/litigation/suspensions/2017/34-80518.pdf 500-1 2017-04-24 Trading Suspension Trading Suspensions Axesstel, Inc. N/A 34-80519 https://www.sec.gov/litigation/admin/2017/34-80519.pdf 3-17941 2017-04-24 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Axesstel, Inc. N/A 34-80520 https://www.sec.gov/rules/sro/ficc-an/2017/34-80520.pdf SR-FICC-2017-802 2017-04-25 Notice / Advance Notice/Extension of Review Period of Advance 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-20404 82-FR-20404 34-80521 https://www.sec.gov/rules/other/2017/34-80521.pdf 2017-8 2017-04-25 Whistleblower - Redacted Other Redacted N/A 34-80522 https://www.sec.gov/rules/sro/c2/2017/34-80522.pdf SR-C2-2017-009 2017-04-25 Order/to Amend the Bylaws and Certificate of Incorporation SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-20409 82-FR-20409 34-80523 https://www.sec.gov/rules/sro/cboe/2017/34-80523.pdf SR-CBOE-2017-017 2017-04-25 Order/to Amend the Bylaws and Certificate of Incorporation SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-20399 82-FR-20399 34-80524 https://www.sec.gov/rules/sro/ficc/2017/34-80524.pdf SR-FICC-2017-002 2017-04-25 Notice / Designation of Longer Period for Commission Action/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-20685 82-FR-20685 34-80525 https://www.sec.gov/rules/sro/ise/2017/34-80525.pdf SR-ISE-2017-33 2017-04-25 Notice / Immediate Effectiveness/to Delay the Implementation of Simultaneous Complex Order Auctions SRO Filing Nasdaq ISE, LLC http://www.federalregister.gov/citation/82-FR-20405 82-FR-20405 34-80526 https://www.sec.gov/litigation/opinions/2017/33-10351.pdf 33-10351 IA-4692 IC-32612 3-16801 2017-04-25 Order Denying Respondents' Motion for Leave to File Supplemental Brief Orders Bennett, Dawn J. Bennett Group Financial Services, LLC N/A 34-80527 https://www.sec.gov/litigation/admin/2017/34-80527.pdf 3-17944 2017-04-25 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Smith, Harold Ray N/A 34-80528 https://www.sec.gov/litigation/admin/2017/34-80528.pdf 3-11359 2017-04-25 Order Directing Transfer of Remaining Funds and any Future Funds Received by the Fair Fund to the U.S Treasury, Discharging the Fund Administrator, and Terminating the Fair Fund Orders Alliance Capital Management, L.P. N/A 34-80529 https://www.sec.gov/rules/sro/batsbzx/2017/34-80529.pdf SR-BATSBZX-2017-14 2017-04-26 Order/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-20506 82-FR-20506 34-80530 https://www.sec.gov/rules/sro/ise/2017/34-80530.pdf SR-ISE-2017-32 2017-04-26 Notice /to Harmonize the Corporate Governance Framework with that of The NASDAQ Stock Market LLC, NASDAQ PHLX LLC, and NASDAQ BX, Inc. SRO Filing Nasdaq ISE, LLC http://www.federalregister.gov/citation/82-FR-20508 82-FR-20508 34-80531 https://www.sec.gov/rules/sro/occ/2017/34-80531.pdf SR-OCC-2017-002 2017-04-26 Order/Concerning Changes to The Options Clearing Corporation's Management Structure SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/82-FR-20502 82-FR-20502 34-80532 https://www.sec.gov/litigation/admin/2017/34-80532.pdf 3-17945 2017-04-26 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Prospect Ventures, Inc. StarNet Pacific Co. Ltd. Sunburst Acquisitions V, Inc. Sunburst Acquisitions VI, Inc. N/A 34-80533 https://www.sec.gov/litigation/admin/2017/34-80533.pdf 3-17733 2017-04-26 Order Making Findings, and Imposing Remedial Sanctions And A Cease-And-Desist Order AP Settled Wilson-Davis & Company, Inc. N/A 34-80534 https://www.sec.gov/rules/sro/nysearca/2017/34-80534.pdf SR-NYSEARCA-2017-41 2017-04-26 Notice / Immediate Effectiveness/to Reflect Changes in the Name of, the Investment Objective for, and the Means of Achieving the Investment Objective Applicable to the PIMCO Total Return Active Exchange-Traded Fund SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-20525 82-FR-20525 34-80535 https://www.sec.gov/litigation/admin/2017/34-80535.pdf 3-16846 2017-04-27 Notice of Proposed Plan of Distribution and Opportunity for Comment; Proposed Plan Notice UBS Financial Services Inc. of Puerto Rico N/A 34-80536 https://www.sec.gov/rules/exorders/2017/34-80536.pdf NO FILE NUMBER 2017-04-27 Order Granting Application for a Conditional Exemption Pursuant to Section 36(a) from Certain Requirements of Rule 6a-2 Orders New York Stock Exchange LLC NYSE MKT LLC NYSE Arca, Inc. NYSE National, Inc. http://www.federalregister.gov/citation/82-FR-20671 82-FR-20671 34-80537 https://www.sec.gov/rules/sro/occ-an/2017/34-80537.pdf SR-OCC-2017-802 2017-04-27 Notice of No Objection to Advance Notice/Concerning Enhancements to OCC's Stock Loan Programs SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/82-FR-20645 82-FR-20645 34-80538 https://www.sec.gov/litigation/admin/2017/34-80538.pdf 3-17947 2017-04-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Cervino, Christopher N/A 34-80539 https://www.sec.gov/litigation/admin/2017/34-80539.pdf IA-4694 3-17948 2017-04-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Khan, Abida N/A 34-80540 https://www.sec.gov/rules/sro/nasdaq/2017/34-80540.pdf SR-NASDAQ-2017-039 2017-04-27 Notice /to List and Trade the Guggenheim Limited Duration ETF SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-20673 82-FR-20673 34-80541 https://www.sec.gov/rules/sro/nysearca/2017/34-80541.pdf SR-NYSEARCA-2017-48 2017-04-27 Notice /Relating to the Listing and Trading of Shares of the Franklin Liberty Intermediate Municipal Opportunities ETF and Franklin Liberty Municipal Bond ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-20656 82-FR-20656 34-80542 https://www.sec.gov/rules/sro/nyse/2017/34-80542.pdf SR-NYSE-2017-18 2017-04-27 to Adopt an Annual Fee Cap for Acquisition Companies SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-20643 82-FR-20643 34-80543 https://www.sec.gov/litigation/admin/2017/34-80543.pdf 3-12238 2017-04-27 Order Authorizing The Transfer To The U.S. Treasury Of The Remaining Funds And Any Funds Returned To The Fair Fund In The Future, Discharging The Fund Administrator, and Terminating The Fair Fund Orders Bear, Stearns & Co., Inc. Bear, Stearns Securities Corp. N/A 34-80544 https://www.sec.gov/litigation/admin/2017/34-80544.pdf 3-16852 2017-04-27 Third Extension Order Orders Jiang, Jason Focus Media Holdings Ltd. N/A 34-80545 https://www.sec.gov/rules/sro/iex/2017/34-80545.pdf SR-IEX-2017-03 2017-04-27 Notice / Order Accelerating /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-20648 82-FR-20648 34-80546 https://www.sec.gov/rules/sro/ficc-an/2017/34-80546.pdf SR-FICC-2017-803 2017-04-27 Notice of Filing and No Objection to Advance Notice /to Establish the Centrally Cleared Institutional Triparty Service and Make Other Changes SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-20652 82-FR-20652 34-80547 https://www.sec.gov/litigation/admin/2017/34-80547.pdf AAER-3867 3-17949 2017-04-28 Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing A Cease-And-Desist Order AP Settled Wentlent, Mark N/A 34-80548 https://www.sec.gov/litigation/admin/2017/34-80548.pdf AAER-3868 3-17950 2017-04-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Pruitt, David CPA N/A 34-80549 https://www.sec.gov/rules/sro/nms/2017/34-80549.pdf 4-631 2017-04-28 Notice / Immediate Effectiveness/Fourteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility SRO Filing Bats BYX Exchange, Inc. Bats EDGA Exchange, Inc. Bats EDGX Exchange, Inc. Chicago Stock Exchange, Inc. Financial Industry Regulatory Authority, Inc. Investors Exchange LLC NASDAQ BX, Inc. NASDAQ PHLX LLC The Nasdaq Stock Market LLC NYSE National, Inc. New York Stock Exchange LLC NYSE MKT LLC NYSE Arca, Inc. Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-20928 82-FR-20928 34-80550 https://www.sec.gov/rules/sro/nysemkt/2017/34-80550.pdf SR-NYSEMKT-2016-99 2017-04-28 Notice / Designation of Longer Period for Commission Action/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/82-FR-20926 82-FR-20926 34-80551 https://www.sec.gov/rules/sro/finra/2017/34-80551.pdf SR-FINRA-2017-006 2017-04-28 Order/to Amend Rule 6191 to Implement an Anonymous, Grouped Masking Methodology for Over-the-Counter Activity in Connection with Website Data Publication of Appendix B Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/82-FR-20948 82-FR-20948 34-80552 https://www.sec.gov/rules/sro/nyse/2017/34-80552.pdf SR-NYSE-2016-71 2017-04-28 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 New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-20927 82-FR-20927 34-80553 https://www.sec.gov/rules/sro/nysearca/2017/34-80553.pdf SR-NYSEARCA-2017-36 2017-04-28 Notice /to Adopt a New NYSE Arca Equities Rule 8.900 and to List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-20932 82-FR-20932 34-80554 https://www.sec.gov/rules/sro/c2/2017/34-80554.pdf SR-C2-2017-016 2017-04-28 Notice / Immediate Effectiveness/Related to Rule 6.13 SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-20951 82-FR-20951 34-80555 https://www.sec.gov/rules/sro/occ/2017/34-80555.pdf SR-OCC-2017-004 2017-04-28 Order/Concerning Enhancements to OCC's Stock Loan Programs SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/82-FR-20945 82-FR-20945 34-80556 https://www.sec.gov/alj/aljorders/2017/34-80556.pdf NO FILE NUMBER 2017-04-28 AP Status Report for October 1, 2016 through March 31, 2017 Notice AP Status Report N/A 34-80557 https://www.sec.gov/litigation/admin/2017/34-80557.pdf 3-17952 2017-04-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lebenthal & Co., LLC N/A 34-80558 https://www.sec.gov/rules/sro/nasdaq/2017/34-80558.pdf SR-NASDAQ-2016-120 2017-04-28 Notice / Order Accelerating /to Establish the Third Party Connectivity Service SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/82-FR-20923 82-FR-20923 34-80559 https://www.sec.gov/litigation/admin/2017/34-80559.pdf 3-16575 2017-04-28 Order Approving a Plan of Distribution Orders Computer Sciences Corporation Laphen, Michael W. Mancuso, Michael J. Wakefield, Paul Zilmer, Claus Banks, Wayne A. N/A AP-4762 https://www.sec.gov/alj/aljorders/2017/ap-4762.pdf 3-17935 2017-04-24 Order Scheduling Hearing and Designating Presiding Judge Orders Biovest International, Inc. Olie, Inc. (N/K/A Syndicate Business Development Corp.) Stargate Entertainment, Inc. Three Sigma Ventures, Inc. N/A AP-4763 https://www.sec.gov/alj/aljorders/2017/ap-4763.pdf 3-17874 3-17875 2017-04-24 Order Directing Division of Enforcement to File Supplemental Declaration of Service and Rescheduling Prehearing Conference Orders Harris, Talman Alfaya, Victor N/A AP-4764 https://www.sec.gov/alj/aljorders/2017/ap-4764.pdf 3-17928 2017-04-24 Order Postponing Hearing and Scheduling Prehearing Conference Orders Solar Shore One, Inc. Solar Shore Two, Inc. Soular Energy, Inc. University General Health System, Inc. N/A AP-4765 https://www.sec.gov/alj/aljorders/2017/ap-4765.pdf 3-17398 2017-04-25 Order on Continued Stay Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4766 https://www.sec.gov/alj/aljorders/2017/ap-4766.pdf 3-17883 2017-04-25 Order Postponing Hearing and Scheduling Prehearing Conference Orders Nadel, Warren D. N/A AP-4767 https://www.sec.gov/alj/aljorders/2017/ap-4767.pdf 3-17886 2017-04-25 Order Following Prehearing Conference Orders Teryl Resources Corp. China Biopharma, Inc. China Linen Textile Industry, Ltd. Scout Exploration, Inc. N/A AP-4768 https://www.sec.gov/alj/aljorders/2017/ap-4768.pdf 3-17868 2017-04-26 Order Canceling Prehearing Conference Orders GCA I Acquisition Corp. International Metals Acquisition Corp. (n/k/a Niagara LaSalle Corp.) Syprus, Inc. (n/k/a Ricky’s Holdings, Inc.) Unity One Capital, Inc. N/A AP-4769 https://www.sec.gov/alj/aljorders/2017/ap-4769.pdf 3-17941 2017-04-26 Order Scheduling Hearing and Designating Presiding Judge Orders Axesstel, Inc. N/A AP-4770 https://www.sec.gov/alj/aljorders/2017/ap-4770.pdf 3-17907 2017-04-26 Order Postponing Hearing Orders Zufelt, Anthony C. N/A AP-4771 https://www.sec.gov/alj/aljorders/2017/ap-4771.pdf 3-17651 2017-04-26 Order Following Prehearing Conference Orders Beamish, Adrian D. CPA N/A AP-4772 https://www.sec.gov/alj/aljorders/2017/ap-4772.pdf 3-17907 2017-04-26 Order Scheduling Prehearing Conference Orders Zufelt, Anthony C. N/A AP-4773 https://www.sec.gov/alj/aljorders/2017/ap-4773.pdf 3-17387 2017-04-26 Order Granting Extension Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4774 https://www.sec.gov/alj/aljorders/2017/ap-4774.pdf 3-17828 2017-04-27 Prehearing Order Orders Herman, Rosalind N/A AP-4775 https://www.sec.gov/alj/aljorders/2017/ap-4775.pdf 3-17945 2017-04-28 Order Scheduling Hearing and Designating Presiding Judge Orders Prospect Ventures, Inc. Starnet Pacific Co. Ltd. Sunburst Acquisitions V, Inc. Sunburst Acquisitions VI, Inc. N/A AP-4776 https://www.sec.gov/alj/aljorders/2017/ap-4776.pdf 3-17947 2017-04-28 Order Scheduling Hearing and Designating Presiding Judge Orders Cervino, Christopher N/A AP-4777 https://www.sec.gov/alj/aljorders/2017/ap-4777.pdf 3-17948 2017-04-28 Order Scheduling Hearing and Designating Presiding Judge Orders Khan, Abida N/A AP-4778 https://www.sec.gov/alj/aljorders/2017/ap-4778.pdf 3-17950 2017-04-28 Order Scheduling Hearing and Designating Presiding Judge Orders Pruitt, David CPA N/A IA-4691 https://www.sec.gov/rules/other/2017/ia-4691.pdf 3-13417 2017-04-26 Order Granting Consent To Associate Orders Silver, Michael L. N/A IA-4692 https://www.sec.gov/litigation/opinions/2017/33-10351.pdf 33-10351 34-80526 IC-32612 3-16801 2017-04-25 Order Denying Respondents' Motion for Leave to File Supplemental Brief Orders Bennett, Dawn J. Bennett Group Financial Services, LLC N/A IA-4693 https://www.sec.gov/litigation/admin/2017/ia-4693.pdf 3-17946 2017-04-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Pinto Ayala, Yul Louis N/A IA-4694 https://www.sec.gov/litigation/admin/2017/34-80539.pdf 34-80539 3-17948 2017-04-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Khan, Abida N/A IC-32611 https://www.sec.gov/rules/ic/2017/ic-32611.pdf 812-14636 2017-04-25 Order Orders Angel Oak Funds Trust, et al. N/A IC-32612 https://www.sec.gov/litigation/opinions/2017/33-10351.pdf 33-10351 34-80526 IA-4692 3-16801 2017-04-25 Order Denying Respondents' Motion for Leave to File Supplemental Brief Orders Bennett, Dawn J. Bennett Group Financial Services, LLC N/A IC-32613 https://www.sec.gov/litigation/admin/2017/ic-32613.pdf 3-17942 2017-04-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order. AP Settled BlackRock Fund Advisors N/A IC-32614 https://www.sec.gov/rules/ic/2017/ic-32614.pdf 812-14694 2017-04-26 Order Orders Winton Diversified Opportunities Fund Winton Capital US LLC N/A IC-32615 https://www.sec.gov/rules/ic/2017/ic-32615.pdf 812-14646 2017-04-27 Notice Notice Commonwealth Annuity and Life Insurance Company, et al. http://www.federalregister.gov/citation/82-FR-20664 82-FR-20664 IC-32616 https://www.sec.gov/rules/icdereg/2017/ic-32616.pdf 811-01436 811-02551 811-22776 811-22773 811-08795 811-05820 811-01911 811-05537 811-22584 811-21455 811-23094 811-03174 811-22840 811-22841 811-05127 2017-04-28 Notice of Applications for Deregistration Notice Capstone Series Fund, Inc. Tax Exempt Municipal Trust Tortoise MLP Growth Fund, Inc. Brookfield Mortgage Opportunity Income Fund Inc. Brookfield High Income Fund Inc. Brookfield Total Return Fund Inc. Schroder Capital Funds (Delaware) Nicholas Money Market Fund, Inc. Guggenheim Equal Weight Enhanced Equity Income Fund Guggenheim Enhanced Equity Strategy Fund Palmer Square Strategic Finance Fund Touchstone Tax-Free Trust EnTrust Multi-Strategy Fund EnTrust Multi-Strategy Master Fund Advance Capital I, Inc. http://www.federalregister.gov/citation/82-FR-20930 82-FR-20930 ID-1127 https://www.sec.gov/alj/aljdec/2017/id1127jeg.pdf 3-17886 2017-04-27 Initial Decision of Default Initial Decision China Biopharma, Inc. China Water Group, Inc. Scout Exploration, Inc. Teryl Resources Corp. N/A ID-1128 https://www.sec.gov/alj/aljdec/2017/id1128cff.pdf 3-17858 2017-04-27 Initial Decision Making and Revoking Registration by Default Orders Sidewinder Explorations Inc. N/A LR-23811 https://www.sec.gov/litigation/litreleases/2017/lr23811.htm 1:17-CV-00464 2017-04-25 Enforcement Case Krimm, Matthew A. Krimm Financial Services, LLC N/A LR-23812 https://www.sec.gov/litigation/litreleases/2017/lr23812.htm 1:17-CV-10707 2017-04-25 Enforcement Case Amell, Kevin J. N/A LR-23813 https://www.sec.gov/litigation/litreleases/2017/lr23813.htm 1:17-CV-02999 2017-04-26 Enforcement Case Hallas, Demitrios N/A LR-23814 https://www.sec.gov/litigation/litreleases/2017/lr23814.htm 1:17-CV-02953 2017-04-26 Enforcement Case Krishnamoorthy , Avaneesh Achar , Shreya N/A LR-23815 https://www.sec.gov/litigation/litreleases/2017/lr23815.htm 16-CV-04291 2017-04-26 Enforcement Case Global Transition Solutions, Inc. Global Transition Solutions, LLC N/A LR-23816 https://www.sec.gov/litigation/litreleases/2017/lr23816.htm 17-CV-00256 2017-04-26 Enforcement Case Andrews, Thomas Edward Christensen, Scott Walter N/A LR-23817 https://www.sec.gov/litigation/litreleases/2017/lr23817.htm 17-CV-02413 2017-04-27 Enforcement Case Jones, Michael Andre N/A LR-23818 https://www.sec.gov/litigation/litreleases/2017/lr23818.htm 1:17-CV-00180 2017-04-28 Enforcement Case Muroff, Serofim Blackhawk Manager, LLC ISR Capital, LLC Equity Recap Account, LLC Riddle, Debra Louise N/A LR-23819 https://www.sec.gov/litigation/litreleases/2017/lr23819.htm 1:17-CV-03117 2017-04-28 Enforcement Case Abdallah, Kamal, aka Kamal Sulleman Zuhdi Administrative Outsource Services, Inc. Abdallah, Zeina Seriaga Investments, Inc. N/A AAER-3867 https://www.sec.gov/litigation/admin/2017/34-80547.pdf 34-80547 3-17949 2017-04-28 AP Settled Wentlent, Mark N/A AAER-3868 https://www.sec.gov/litigation/admin/2017/34-80548.pdf 34-80548 3-17950 2017-04-28 AP Litigated Pruitt, David CPA N/A