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

2017-06-06 116 13 2017-05-01 2017-05-05 Securities Act of 1933 33 10352 10353 Securities Exchange Act of 1934 34 80560 80618 Administrative Proceedings AP 4779 4789 Investment Advisers Act of 1940 IA 4695 4702 Investment Company Act of 1940 IC 32617 32627 Initial Decisions (ALJ) ID 1129 1129 Litigation Releases LR 23820 23825 Accounting and Auditing Enforcement Release AAER 3869 3869 33-10352 https://www.sec.gov/litigation/admin/2017/33-10352.pdf 34-80564 AAER-3869 3-17956 2017-05-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled MagnaChip Semiconductor Corp. Sakai, Margaret Hye-Ryoung CPA N/A 33-10353 https://www.sec.gov/litigation/opinions/2017/33-10353.pdf 34-80618 IC-32627 3-16227 3-16229 2017-05-05 Notice That Initial Decision Has Become Final Initial Decision Middlebury Securities, LLC Osborn, Gregory N/A 34-80560 https://www.sec.gov/litigation/admin/2017/34-80560.pdf 3-17953 2017-05-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Barclays Capital Inc. N/A 34-80561 https://www.sec.gov/litigation/admin/2017/34-80561.pdf IC-32617 3-17954 2017-05-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lee, Yoon Soek N/A 34-80562 https://www.sec.gov/litigation/admin/2017/34-80562.pdf IC-32618 3-17955 2017-05-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Wong, David F. N/A 34-80563 https://www.sec.gov/rules/sro/ficc/2017/34-80563.pdf SR-FICC-2017-003 2017-05-01 Order/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-21284 82-FR-21284 34-80564 https://www.sec.gov/litigation/admin/2017/33-10352.pdf 33-10352 AAER-3869 3-17956 2017-05-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled MagnaChip Semiconductor Corp. Sakai, Margaret Hye-Ryoung CPA N/A 34-80565 https://www.sec.gov/litigation/admin/2017/34-80565.pdf 3-17957 2017-05-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Jones, Michael Andre N/A 34-80566 https://www.sec.gov/rules/sro/iceeu/2017/34-80566.pdf SR-ICEEU-2017-003 2017-05-01 Notice / Designation of Longer Period for Commission Action/Relating to the CDS End-of-Day Price Discovery Policy SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/82-FR-21287 82-FR-21287 34-80567 https://www.sec.gov/rules/exorders/2017/34-80567.pdf TP 17-08 2017-05-01 Order/Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M Orders Alpha Architect Value Momentum Trend ETF http://www.federalregister.gov/citation/82-FR-21280 82-FR-21280 34-80568 https://www.sec.gov/litigation/admin/2017/34-80568.pdf 3-17959 2017-05-01 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Reyftmann, Gregory N/A 34-80569 https://www.sec.gov/rules/sro/ise/2017/34-80569.pdf SR-ISE-2017-34 2017-05-01 Notice / Immediate Effectiveness/Regarding Quote Mitigation SRO Filing Nasdaq ISE, LLC http://www.federalregister.gov/citation/82-FR-21278 82-FR-21278 34-80570 https://www.sec.gov/rules/sro/miax/2017/34-80570.pdf SR-MIAX-2017-16 2017-05-01 Notice /to Amend MIAX Options Rule 515A, MIAX Price Improvement Mechanism ('PRIME') and PRIME Solicitation Mechanism SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/82-FR-21288 82-FR-21288 34-80571 https://www.sec.gov/rules/other/2017/34-80571.pdf 2017-9 2017-05-02 Order Determining Whistleblower Award Claim Orders Redacted N/A 34-80572 https://www.sec.gov/litigation/admin/2017/34-80572.pdf 3-17961 2017-05-02 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Burke, David Michael N/A 34-80573 https://www.sec.gov/rules/sro/gemx/2017/34-80573.pdf SR-GEMX-2017-04 2017-05-02 Notice / Immediate Effectiveness/Regarding Quote Mitigation SRO Filing Nasdaq GEMX, LLC http://www.federalregister.gov/citation/82-FR-21437 82-FR-21437 34-80574 https://www.sec.gov/rules/sro/ficc/2017/34-80574.pdf SR-FICC-2017-005 2017-05-02 Order/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-21439 82-FR-21439 34-80575 https://www.sec.gov/litigation/admin/2017/34-80575.pdf IC-32623 3-17962 2017-05-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Zhang, Lu N/A 34-80576 https://www.sec.gov/rules/sro/nysearca/2017/34-80576.pdf SR-NYSEARCA-2017-47 2017-05-02 Notice / Immediate Effectiveness/Amending NYSE Arca Equities Rule 7.35 to Specify Order Handling for an IPO Auction SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-21434 82-FR-21434 34-80577 https://www.sec.gov/rules/sro/nysemkt/2017/34-80577.pdf SR-NYSEMKT-2017-04 2017-05-02 Order/Relating to Market Makers Applicable When the Exchange Transitions Trading to Pillar, the Exchange's New Trading Technology Platform SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-21446 82-FR-21446 34-80578 https://www.sec.gov/litigation/admin/2017/34-80578.pdf 3-17965 2017-05-02 Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities AP Settled Sanomedics, Inc. N/A 34-80579 https://www.sec.gov/rules/sro/nysearca/2017/34-80579.pdf SR-NYSEARCA-2016-120 2017-05-02 Order/to List and Trade Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund under Commentary .02 to NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-21443 82-FR-21443 34-80580 https://www.sec.gov/rules/sro/batsbzx/2017/34-80580.pdf SR-BATSBZX-2017-25 2017-05-03 Notice / Immediate Effectiveness/to Amend Rule 11.22, Data Products, to Adopt a New Market Data Product Known as the ETF Implied Liquidity Feed SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/82-FR-21585 82-FR-21585 34-80581 https://www.sec.gov/rules/sro/phlx/2017/34-80581.pdf SR-PHLX-2017-04 2017-05-03 Order / Instituting Proceedings to/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-21587 82-FR-21587 34-80582 https://www.sec.gov/litigation/admin/2017/34-80582.pdf 3-16670 2017-05-03 Order Authorizing the Transfer of Remaining Funds and Any Future Funds Returned to the Fair Fund to the United States Treasury and Terminating the Fair Fund Orders AlphaBridge Capital Management, LLC Kutzen, Thomas T. Carino, Michael J. N/A 34-80583 https://www.sec.gov/rules/sro/iex/2017/34-80583.pdf SR-IEX-2017-10 2017-05-03 Notice /Related to Auctions in IEX-Listed Securities, Dissemination of Auction-Related Market Data, and Provisions Governing Trading Halts and Pauses SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/82-FR-21634 82-FR-21634 34-80584 https://www.sec.gov/rules/sro/nysearca/2017/34-80584.pdf SR-NYSEARCA-2017-44 2017-05-03 Notice /to List and Trade Shares of the IQ Municipal Insured ETF; IQ Municipal Short Duration ETF; and IQ Municipal Intermediate ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-21573 82-FR-21573 34-80585 https://www.sec.gov/rules/sro/nasdaq/2017/34-80585.pdf SR-NASDAQ-2017-041 2017-05-03 Notice / Immediate Effectiveness/to Amend the Exchange's Fees at Rule 7047 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-21581 82-FR-21581 34-80586 https://www.sec.gov/litigation/opinions/2017/34-80586.pdf 3-17934 2017-05-03 Order Denying Stay Orders Gadelkareen, Ahmed N/A 34-80587 https://www.sec.gov/litigation/admin/2017/34-80587.pdf 3-17820 2017-05-03 Notice That Initial Decision Has Become Final Initial Decision Delverton Resorts International Inc. N/A 34-80588 https://www.sec.gov/litigation/admin/2017/34-80588.pdf 3-17822 2017-05-03 Notice That Initial Decision Has Become Final Initial Decision Fibercorp International, Inc Hygenics Pharmaceuticals, Inc. Investors Trust, Inc. N/A 34-80589 https://www.sec.gov/litigation/admin/2017/34-80589.pdf 3-17698 2017-05-03 Notice That Initial Decision Has Become Final Initial Decision Portus Corporation N/A 34-80590 https://www.sec.gov/rules/sro/nysemkt/2017/34-80590.pdf SR-NYSEMKT-2017-01 2017-05-04 Order/to Adopt New Equity Trading Rules to Transition Trading on the Exchange from a Floor-Based Market with a Parity Allocation Model to a Fully Automated Market with a Price-Time Priority Model on the Exchange's New Trading Technology Platform, Pillar SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-21843 82-FR-21843 34-80591 https://www.sec.gov/rules/sro/nasdaq/2017/34-80591.pdf SR-NASDAQ-2017-025 2017-05-04 Order/to List and Trade Shares of the Hartford Global Impact NextShares" Fund Under Nasdaq Rule 5745 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-21839 82-FR-21839 34-80592 https://www.sec.gov/rules/sro/pearl/2017/34-80592.pdf SR-PEARL-2017-19 2017-05-04 Notice / Immediate Effectiveness/to Amend the MIAX PEARL Fee Schedule SRO Filing MIAX PEARL, LLC http://www.federalregister.gov/citation/82-FR-21855 82-FR-21855 34-80593 https://www.sec.gov/rules/sro/nasdaq/2017/34-80593.pdf SR-NASDAQ-2017-042 2017-05-04 Notice / Immediate Effectiveness/to Amend Rule 4702 (Order Types) and Rule 4703 (Order Attributes) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-21860 82-FR-21860 34-80594 https://www.sec.gov/rules/sro/bx/2017/34-80594.pdf SR-BX-2017-021 2017-05-04 Notice / Immediate Effectiveness/to Amend Rule 4703 (Order Attributes) SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/82-FR-21858 82-FR-21858 34-80595 https://www.sec.gov/rules/sro/cboe/2017/34-80595.pdf SR-CBOE-2017-035 2017-05-04 Notice / Immediate Effectiveness/Relating to Compression Forums SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-21866 82-FR-21866 34-80596 https://www.sec.gov/rules/other/2017/34-80596.pdf 2017-10 2017-05-04 Order Determining Whistleblower Award Claims Orders Redacted N/A 34-80597 https://www.sec.gov/rules/sro/nscc/2017/34-80597.pdf SR-NSCC-2017-001 2017-05-04 Order/to Describe the Illiquid Charge that May Be Imposed on Members SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/82-FR-21863 82-FR-21863 34-80598 https://www.sec.gov/rules/sro/dtc/2017/34-80598.pdf SR-DTC-2017-001 2017-05-04 Order/to Establish a Sub-Account for Use with the DTCC Euroclear Global Collateral Ltd Collateral Management Service and Provide for the Authorization of a Representative to Receive Information About the Sub-Account SRO Filing Depository Trust Company http://www.federalregister.gov/citation/82-FR-21837 82-FR-21837 34-80599 https://www.sec.gov/litigation/opinions/2017/34-80599.pdf 3-17937 2017-05-04 Order Granting Motion to Withdraw Application for Review Orders Zipper, Bruce M. N/A 34-80600 https://www.sec.gov/litigation/suspensions/2017/34-80600.pdf 500-1 2017-05-04 Trading Suspension Trading Suspensions Valmie Resources, Inc. N/A 34-80601 https://www.sec.gov/litigation/admin/2017/34-80601.pdf 3-17966 2017-05-04 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Ellis, Thomas G. N/A 34-80602 https://www.sec.gov/litigation/admin/2017/34-80602.pdf 3-17967 2017-05-04 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Oda, Yasuo N/A 34-80603 https://www.sec.gov/litigation/admin/2017/34-80603.pdf IA-4699 IC-32625 3-11645 3-11661 2017-05-05 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PA Fund Management LLC f/k/a Pimco Advisors Fund Management LLC Pea Capital LLC PA Distributors LLC PIMCO Advisors Distributors LLC PIMCO Equity Advisors LLC N/A 34-80604 https://www.sec.gov/litigation/admin/2017/34-80604.pdf IA-4700 IC-32626 3-11661 2017-05-05 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PA Fund Management LLC. PEA Capital LLC PA Distributors LLC. N/A 34-80605 https://www.sec.gov/rules/sro/dtc-an/2017/34-80605.pdf SR-DTC-2017-802 SR-NSCC-2017-802 2017-05-05 Notice / Advance Notice/to Renew the Credit Facility SRO Filing The Depository Trust Company National Securities Clearing Corporation http://www.federalregister.gov/citation/82-FR-21850 82-FR-21850 34-80606 https://www.sec.gov/rules/sro/nysearca/2017/34-80606.pdf SR-NYSEARCA-2017-05 2017-05-05 Order / Instituting Proceedings to/to List and Trade Shares of 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-22042 82-FR-22042 34-80607 https://www.sec.gov/rules/sro/batsedgx/2017/34-80607.pdf SR-BATSEDGX-2017-16 2017-05-05 Notice / Immediate Effectiveness/to Rule 11.13 of Bats EDGX Exchange, Inc. to Authorize the Exchange to Share a User's Risk Settings with the Clearing Firm that Clears Transactions on Behalf of the User SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-22027 82-FR-22027 34-80608 https://www.sec.gov/rules/sro/batsedga/2017/34-80608.pdf SR-BATSEDGA-2017-07 2017-05-05 Notice / Immediate Effectiveness/to Rule 11.13 of Bats EDGA Exchange, Inc. to Authorize the Exchange to Share a User's Risk Settings with the Clearing Firm that Clears Transactions on Behalf of the User SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/82-FR-22030 82-FR-22030 34-80609 https://www.sec.gov/rules/sro/cboe/2017/34-80609.pdf SR-CBOE-2017-019 2017-05-05 Notice / Designation of Longer Period for Commission Action/Related to Complex Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-22035 82-FR-22035 34-80610 https://www.sec.gov/rules/sro/msrb/2017/34-80610.pdf SR-MSRB-2017-01 2017-05-05 Notice / Withdrawal /to Add New MSRB Rule G-49, on Transactions Below the Minimum Denomination of an Issue, to the Rules of the MSRB, and to Rescind Paragraph (f), on Minimum Denominations, from MSRB Rule G-15 SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/82-FR-22044 82-FR-22044 34-80611 https://www.sec.gov/rules/sro/batsbzx/2017/34-80611.pdf SR-BATSBZX-2017-24 2017-05-05 Notice / Immediate Effectiveness/to Rule 11.15 of Bats BZX Exchange, Inc. to Authorize the Exchange to Share a User's Risk Settings with the Clearing Member That Clears Transactions on Behalf of the User SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-22045 82-FR-22045 34-80612 https://www.sec.gov/rules/sro/batsbyx/2017/34-80612.pdf SR-BATSBYX-2017-07 2017-05-05 Notice / Immediate Effectiveness/to Rule 11.15 of Bats BYX Exchange, Inc. to Authorize the Exchange to Share a User's Risk Settings with the Clearing Member that Clears Transactions on Behalf of the User SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-22024 82-FR-22024 34-80613 https://www.sec.gov/rules/sro/ise/2017/34-80613.pdf SR-ISE-2017-37 2017-05-05 Notice / Immediate Effectiveness/Relating to Complex Order Quoting SRO Filing Nasdaq ISE, LLC http://www.federalregister.gov/citation/82-FR-22022 82-FR-22022 34-80614 https://www.sec.gov/rules/sro/nasdaq/2017/34-80614.pdf SR-NASDAQ-2017-029 2017-05-05 Order/to List and Trade Shares of the Gabelli Small Cap Growth Fund and the Gabelli RBI Fund Under Nasdaq Rule 5745 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-22038 82-FR-22038 34-80615 https://www.sec.gov/rules/sro/nysearca/2017/34-80615.pdf SR-NYSEARCA-2017-24 2017-05-05 Notice / Order Accelerating /Amending Rule 6.80 to Make Permanent a Program that Allows Cabinet Trade Transactions to Take Place at a Price Below $1 Per Option Contract SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-22036 82-FR-22036 34-80616 https://www.sec.gov/rules/sro/nysemkt/2017/34-80616.pdf SR-NYSEMKT-2017-13 2017-05-05 Notice / Order Accelerating /Amending Rule 968NY to Make Permanent a Program that Allows Cabinet Trade Transactions to Take Place at a Price Below $1 Per Option Contract SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-22033 82-FR-22033 34-80617 https://www.sec.gov/litigation/admin/2017/34-80617.pdf 3-17894 2017-05-05 Order Making Findings and Revoking Registration AP Settled 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 34-80618 https://www.sec.gov/litigation/opinions/2017/33-10353.pdf 33-10353 IC-32627 3-16227 3-16229 2017-05-05 Notice That Initial Decision Has Become Final Initial Decision Middlebury Securities, LLC Osborn, Gregory N/A AP-4779 https://www.sec.gov/alj/aljorders/2017/ap-4779.pdf 3-17848 2017-05-01 Order Granting Extension Orders Griffin, James P. N/A AP-4780 https://www.sec.gov/alj/aljorders/2017/ap-4780.pdf 3-17902 2017-05-02 Order Following Prehearing Conference Orders Lynch, John T. Jr. N/A AP-4781 https://www.sec.gov/alj/aljorders/2017/ap-4781.pdf 3-17342 2017-05-02 Post-Hearing Order Orders RD Legal Capital, LLC, Dersovitz, Roni N/A AP-4782 https://www.sec.gov/alj/aljorders/2017/ap-4782.pdf 3-17959 2017-05-02 Order Scheduling Hearing and Designating Presiding Judge Orders Reyftmann, Gregory N/A AP-4783 https://www.sec.gov/alj/aljorders/2017/ap-4783.pdf 3-17550 2017-05-02 Order Orders Ditommaso, Tod A. Esq. N/A AP-4784 https://www.sec.gov/alj/aljorders/2017/ap-4784.pdf 3-17352 2017-05-03 Order Scheduling Prehearing Conference Orders Saving2Retire, LLC Young, Marian Purnell N/A AP-4785 https://www.sec.gov/alj/aljorders/2017/ap-4785.pdf 3-17907 2017-05-03 Order Following Prehearing Conference Orders Zufelt, Anthony C. N/A AP-4786 https://www.sec.gov/alj/aljorders/2017/ap-4786.pdf 3-17928 2017-05-03 Order Following Prehearing Conference and to Show Cause Orders Solar Shore One, Inc. Solar Shore Two, Inc. Soular Energy, Inc. University General Health System, Inc. N/A AP-4787 https://www.sec.gov/alj/aljorders/2017/ap-4787.pdf 3-17950 2017-05-04 Order Postponing Hearing and Scheduling Prehearing Conference Orders Pruitt, David CPA N/A AP-4788 https://www.sec.gov/alj/aljorders/2017/ap-4788.pdf 3-17894 2017-05-05 Order to Show Cause Orders Real Hip-Hop Network, Inc. Resource Services, Inc. Surpure, Inc. (f/k/a Pacific Quest Ventures Corp.) N/A AP-4789 https://www.sec.gov/alj/aljorders/2017/ap-4789.pdf 3-17897 2017-05-05 Order Following Prehearing Conference and to Show Cause Orders International Building Concepts Ltd. (n/k/a HomeBuilders International, Inc. Rxbazaar, Inc. Victory Park Acquisitions Corp. I Worldwide Data, Inc. N/A IA-4695 https://www.sec.gov/litigation/admin/2017/ia-4695.pdf IC-32621 3-17960 2017-05-01 Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing a Cease-And-Desist Order AP Settled William Blair & Company, LLC N/A IA-4696 https://www.sec.gov/litigation/admin/2017/ia-4696.pdf IC-32624 3-17964 2017-05-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Calvert Investment Distributors, Inc. Calvert Investment Management, Inc. N/A IA-4697 https://www.sec.gov/rules/proposed/2017/ia-4697.pdf S7-05-17 2017-05-03 Proposed Rule/Amendments to Investment Advisers Act Rules to Reflect Changes Made by the FAST Act Proposed Rule IA Act; Rule 203(l)-1; Rule 203(m)-1 http://www.federalregister.gov/citation/82-FR-21487 82-FR-21487 IA-4698 https://www.sec.gov/rules/final/2017/ia-4698.pdf 2017-05-04 Final Rule/Technical Amendments to Form ADV and Form ADV-W Final Rule IA Act; Form ADV; Form ADV-W http://www.federalregister.gov/citation/82-FR-21472 82-FR-21472 IA-4699 https://www.sec.gov/litigation/admin/2017/34-80603.pdf 34-80603 IC-32625 3-11645 3-11661 2017-05-05 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PA Fund Management LLC f/k/a Pimco Advisors Fund Management LLC Pea Capital LLC PA Distributors LLC PIMCO Advisors Distributors LLC PIMCO Equity Advisors LLC N/A IA-4700 https://www.sec.gov/litigation/admin/2017/34-80604.pdf 34-80604 IC-32626 3-11661 2017-05-05 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PA Fund Management LLC. PEA Capital LLC PA Distributors LLC. N/A IA-4701 https://www.sec.gov/litigation/admin/2017/ia-4701.pdf 3-17968 2017-05-05 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Tellone Management Group, Inc. Tellone, Dean C. N/A IA-4702 https://www.sec.gov/litigation/admin/2017/ia-4702.pdf 3-17969 2017-05-05 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Source Financial Advisors, LLC Smith, Michelle M. N/A IC-32617 https://www.sec.gov/litigation/admin/2017/34-80561.pdf 34-80561 3-17954 2017-05-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lee, Yoon Soek N/A IC-32618 https://www.sec.gov/litigation/admin/2017/34-80562.pdf 34-80562 3-17955 2017-05-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Wong, David F. N/A IC-32619 https://www.sec.gov/rules/ic/2017/ic-32619.pdf 812-14436-01 2017-05-01 Order Orders Olden Lane Securities LLC et al. N/A IC-32620 https://www.sec.gov/rules/ic/2017/ic-32620.pdf 812-14739 2017-05-01 Notice Notice ClearShares, LLC et al http://www.federalregister.gov/citation/82-FR-21282 82-FR-21282 IC-32621 https://www.sec.gov/litigation/admin/2017/ia-4695.pdf IA-4695 3-17960 2017-05-01 Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing a Cease-And-Desist Order AP Settled William Blair & Company, LLC N/A IC-32622 https://www.sec.gov/rules/ic/2017/ic-32622.pdf 812-14584 2017-05-02 Order Orders Precidian ETFs Trust, et al. N/A IC-32623 https://www.sec.gov/litigation/admin/2017/34-80575.pdf 34-80575 3-17962 2017-05-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Zhang, Lu N/A IC-32624 https://www.sec.gov/litigation/admin/2017/ia-4696.pdf IA-4696 3-17964 2017-05-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Calvert Investment Distributors, Inc. Calvert Investment Management, Inc. N/A IC-32625 https://www.sec.gov/litigation/admin/2017/34-80603.pdf 34-80603 IA-4699 3-11645 3-11661 2017-05-05 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PA Fund Management LLC f/k/a Pimco Advisors Fund Management LLC Pea Capital LLC PA Distributors LLC PIMCO Advisors Distributors LLC PIMCO Equity Advisors LLC N/A IC-32626 https://www.sec.gov/litigation/admin/2017/34-80604.pdf 34-80604 IA-4700 3-11661 2017-05-05 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PA Fund Management LLC. PEA Capital LLC PA Distributors LLC. N/A IC-32627 https://www.sec.gov/litigation/opinions/2017/33-10353.pdf 33-10353 34-80618 3-16227 3-16229 2017-05-05 Notice That Initial Decision Has Become Final Initial Decision Middlebury Securities, LLC Osborn, Gregory N/A ID-1129 https://www.sec.gov/alj/aljdec/2017/id1129bpm.pdf 3-17749 2017-05-02 Initial Decision of Default Orders Smith, Jason B. N/A LR-23820 https://www.sec.gov/litigation/litreleases/2017/lr23820.htm 2017-05-01 Enforcement Case 127 Iconic Holdings, LLC Mash Transactions, LLC Meli, Anna MXCU Holdings, LLC Nineteen Two Productions, LLC N/A LR-23821 https://www.sec.gov/litigation/litreleases/2017/lr23821.htm 1:17-CV-03054 2017-05-01 Enforcement Case Lin, Wensheng Chen, Sheng Li N/A LR-23822 https://www.sec.gov/litigation/litreleases/2017/lr23822.htm 3:17-CV-00155 2017-05-01 Enforcement Case Sentinel Growth Fund Management, LLC Varacchi, Mark J. Radar Alternative Master Fund SPC Radar Alternative Fund LP N/A LR-23823 https://www.sec.gov/litigation/litreleases/2017/lr23823.htm 2:16-CV-36 2017-05-04 Enforcement Case Crowe, Robert B. N/A LR-23824 https://www.sec.gov/litigation/litreleases/2017/lr23824.htm 17-CV-03115 2017-05-04 Enforcement Case Verto Capital Management, LLC Schantz , William R. III N/A LR-23825 https://www.sec.gov/litigation/litreleases/2017/lr23825.htm 17-CV-3401 2017-05-05 Enforcement Case Coldicutt , Andrew T.E. The Law Offices of Andrew Coldicutt N/A AAER-3869 https://www.sec.gov/litigation/admin/2017/33-10352.pdf 33-10352 34-80564 3-17956 2017-05-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled MagnaChip Semiconductor Corp. Sakai, Margaret Hye-Ryoung CPA N/A