Orders Granting Petitions for Review and Scheduling Briefs

2017-06-13 116 14 2017-05-08 2017-05-12 Securities Act of 1933 33 10354 10363 Securities Exchange Act of 1934 34 80619 80670 Administrative Proceedings AP 4790 4797 Investment Advisers Act of 1940 IA 4703 4706 Investment Company Act of 1940 IC 32628 32635 Initial Decisions (ALJ) ID 1130 1135 Litigation Releases LR 23826 23834 33-10354 https://www.sec.gov/litigation/opinions/2017/33-10354.pdf 34-80627 IA-4703 IC-32629 3-17253 2017-05-08 Orders Granting Petitions for Review and Scheduling Briefs Orders Winkelmann, James A. Sr. N/A 33-10355 https://www.sec.gov/litigation/admin/2017/33-10355.pdf 34-80639 IA-4705 3-17978 2017-05-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Barclays Capital Inc. N/A 33-10356 https://www.sec.gov/litigation/admin/2017/33-10356.pdf 34-80668 3-17982 2017-05-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Emerald Isle Exploration Ltd. Eads, Samuell Brewer, Lloyd C. N/A 33-10357 https://www.sec.gov/litigation/stoporders/2017/33-10357.pdf 3-17983 2017-05-12 Order Instituting Administrative Proceedings, Making Findings, and Issuing Stop Order AP Settled Emerald Isle Exploration Ltd. N/A 33-10358 https://www.sec.gov/litigation/stoporders/2017/33-10358.pdf 3-17984 2017-05-12 Order Fixing Time and Place of Public Hearing and Instituting Proceedings AP Litigated Canso Enterprises Ltd. N/A 33-10359 https://www.sec.gov/litigation/stoporders/2017/33-10359.pdf 3-17985 2017-05-12 Order Fixing Time and Place of Public Hearing and Instituting Proceedings AP Litigated Privoz N/A 33-10360 https://www.sec.gov/litigation/stoporders/2017/33-10360.pdf 3-17986 2017-05-12 Order Fixing Time and Place of Public Hearing and Instituting Proceedings AP Litigated Universal Movers Corp. N/A 33-10361 https://www.sec.gov/litigation/stoporders/2017/33-10361.pdf 3-17987 2017-05-12 Order Fixing Time and Place of Public Hearing and Instituting Proceedings AP Litigated Lorilay Corp. N/A 33-10362 https://www.sec.gov/litigation/stoporders/2017/33-10362.pdf 3-17988 2017-05-12 Order Fixing Time and Place of Public Hearing and Instituting Proceedings AP Litigated Formous Corp. N/A 33-10363 https://www.sec.gov/litigation/stoporders/2017/33-10363.pdf 3-17989 2017-05-12 Order Fixing Time and Place of Public Hearing and Instituting Proceedings AP Litigated Lion Print Corp. N/A 34-80619 https://www.sec.gov/rules/sro/nysemkt/2017/34-80619.pdf SR-NYSEMKT-2017-23 2017-05-08 Notice /to Harmonize the Requirements of the NYSE MKT Company Guide with Respect to Periodic Reporting with Those of the NYSE SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-22170 82-FR-22170 34-80620 https://www.sec.gov/litigation/admin/2017/34-80620.pdf 3-17970 2017-05-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Goldstein, Steven L. N/A 34-80621 https://www.sec.gov/litigation/admin/2017/34-80621.pdf 3-17971 2017-05-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Loish, Joseph N/A 34-80622 https://www.sec.gov/litigation/admin/2017/34-80622.pdf 3-17972 2017-05-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lovera, Victor N/A 34-80623 https://www.sec.gov/litigation/admin/2017/34-80623.pdf 3-17973 2017-05-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Penaloza, Frank N/A 34-80624 https://www.sec.gov/litigation/admin/2017/34-80624.pdf 3-17974 2017-05-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Sachs, Edward R. N/A 34-80625 https://www.sec.gov/litigation/admin/2017/34-80625.pdf 3-17975 2017-05-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Sharaf, Steven H. N/A 34-80626 https://www.sec.gov/litigation/admin/2017/34-80626.pdf 3-16786 3-16787 2017-05-08 Order Establishing a Fair Fund Orders Bankrate, Inc. Lerner, Hyunjin CPA N/A 34-80627 https://www.sec.gov/litigation/opinions/2017/33-10354.pdf 33-10354 IA-4703 IC-32629 3-17253 2017-05-08 Orders Granting Petitions for Review and Scheduling Briefs Orders Winkelmann, James A. Sr. N/A 34-80628 https://www.sec.gov/litigation/admin/2017/34-80628.pdf IA-4704 3-17976 2017-05-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Monroe , Frederick E. Jr. N/A 34-80629 https://www.sec.gov/rules/sro/batsbzx/2017/34-80629.pdf SR-BATSBZX-2017-29 2017-05-09 Notice / Immediate Effectiveness/Related to Fees for Use on the Exchange's Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-22368 82-FR-22368 34-80630 https://www.sec.gov/rules/sro/nasdaq/2017/34-80630.pdf SR-NASDAQ-2017-043 2017-05-09 Notice / Immediate Effectiveness/to Amend Rule 4702 (Order Types) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-22364 82-FR-22364 34-80631 https://www.sec.gov/rules/sro/iceeu/2017/34-80631.pdf SR-ICEEU-2017-006 2017-05-09 Notice /Relating to the CDS End-of-Day Price Discovery Policy SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/82-FR-22357 82-FR-22357 34-80632 https://www.sec.gov/rules/sro/nysearca/2017/34-80632.pdf SR-NYSEARCA-2017-50 2017-05-09 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-22360 82-FR-22360 34-80633 https://www.sec.gov/litigation/admin/2017/34-80633.pdf 3-17977 2017-05-09 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Ciralight Global, Inc. GS EnviroServices, Inc. IPOWorld Parabel, Inc. N/A 34-80634 https://www.sec.gov/rules/sro/finra/2017/34-80634.pdf SR-FINRA-2017-009 2017-05-09 Notice /Relating to Expediting List Selection in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/82-FR-22363 82-FR-22363 34-80635 https://www.sec.gov/litigation/opinions/2017/34-80635.pdf 3-17852 2017-05-09 Opinion Opinions Jones, Kalid Morgan N/A 34-80636 https://www.sec.gov/rules/sro/gemx/2017/34-80636.pdf SR-GEMX-2017-05 2017-05-10 Notice / Immediate Effectiveness/to Schedule of Fees to Amend Pricing Related to Options Overlying NDX and MNX SRO Filing Nasdaq GEMX, LLC http://www.federalregister.gov/citation/82-FR-22568 82-FR-22568 34-80637 https://www.sec.gov/rules/sro/ise/2017/34-80637.pdf SR-ISE-2017-35 2017-05-10 Notice / Immediate Effectiveness/to Amend the Exchange's Schedule of Fees to Amend Pricing Related to Options Overlying NDX and MNX SRO Filing Nasdaq ISE, LLC http://www.federalregister.gov/citation/82-FR-22576 82-FR-22576 34-80638 https://www.sec.gov/litigation/suspensions/2017/34-80638.pdf 500-1 2017-05-09 Trading Suspension Trading Suspensions Ciralight Global, Inc. GS EnviroServices, Inc. IPOWorld Parabel, Inc. N/A 34-80639 https://www.sec.gov/litigation/admin/2017/33-10355.pdf 33-10355 IA-4705 3-17978 2017-05-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Barclays Capital Inc. N/A 34-80640 https://www.sec.gov/rules/sro/bx/2017/34-80640.pdf SR-BX-2017-013 2017-05-10 Order/to Shorten the Settlement Cycle from T+3 to T+2 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/82-FR-22598 82-FR-22598 34-80641 https://www.sec.gov/rules/sro/batsbzx/2017/34-80641.pdf SR-BATSBZX-2017-28 2017-05-10 Notice / Immediate Effectiveness/Related to Fees SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-22583 82-FR-22583 34-80642 https://www.sec.gov/rules/sro/nyse/2017/34-80642.pdf SR-NYSE-2017-19 2017-05-10 Notice / Immediate Effectiveness/to Amend Rule 67 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 New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-22572 82-FR-22572 34-80643 https://www.sec.gov/litigation/admin/2017/34-80643.pdf 3-17979 2017-05-10 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Crowe, Robert B. Esq. N/A 34-80644 https://www.sec.gov/rules/sro/cboe/2017/34-80644.pdf SR-CBOE-2017-038 2017-05-10 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-22580 82-FR-22580 34-80645 https://www.sec.gov/rules/sro/batsbyx/2017/34-80645.pdf SR-BATSBYX-2017-12 2017-05-10 Notice / Immediate Effectiveness/Related to Fees SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-22587 82-FR-22587 34-80646 https://www.sec.gov/rules/sro/finra/2017/34-80646.pdf SR-FINRA-2017-010 2017-05-10 Notice / Immediate Effectiveness/to Amend FINRA Rule 6191 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 Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/82-FR-22589 82-FR-22589 34-80647 https://www.sec.gov/rules/sro/chx/2017/34-80647.pdf SR-CHX-2017-07 2017-05-10 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-22574 82-FR-22574 34-80648 https://www.sec.gov/rules/sro/nysemkt/2017/34-80648.pdf SR-NYSEMKT-2017-24 2017-05-10 Notice / Immediate Effectiveness/Amend Rule 67-Equities 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 NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-22590 82-FR-22590 34-80649 https://www.sec.gov/rules/sro/gemx/2017/34-80649.pdf SR-GEMX-2017-07 2017-05-10 Notice / Immediate Effectiveness/to Establish INET Ports SRO Filing Nasdaq GEMX, LLC http://www.federalregister.gov/citation/82-FR-22595 82-FR-22595 34-80650 https://www.sec.gov/rules/sro/iex/2017/34-80650.pdf SR-IEX-2017-12 2017-05-10 Notice / Immediate Effectiveness/to amend Exchange Rule 11.340 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 Investors Exchange LLC http://www.federalregister.gov/citation/82-FR-22581 82-FR-22581 34-80651 https://www.sec.gov/rules/sro/nysearca/2017/34-80651.pdf SR-NYSEARCA-2017-49 2017-05-10 Notice / Immediate Effectiveness/to Amend Rule 7.46 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 NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-22600 82-FR-22600 34-80652 https://www.sec.gov/litigation/admin/2017/34-80652.pdf 3-17980 2017-05-11 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Nadal, Miles S. N/A 34-80653 https://www.sec.gov/rules/sro/batsedga/2017/34-80653.pdf SR-BATSEDGA-2017-12 2017-05-11 Notice / Immediate Effectiveness/Related to Fees SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/82-FR-22685 82-FR-22685 34-80654 https://www.sec.gov/rules/sro/cboe/2017/34-80654.pdf SR-CBOE-2017-036 2017-05-11 Notice / Immediate Effectiveness/Relating to Quoting Bandwidth Allowance SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-22694 82-FR-22694 34-80655 https://www.sec.gov/rules/sro/nasdaq/2017/34-80655.pdf SR-NASDAQ-2017-044 2017-05-11 Notice / Immediate Effectiveness/to Amend Rule 4770 to Modify the Date of Appendix B Website Data Publication SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-22692 82-FR-22692 34-80656 https://www.sec.gov/rules/sro/bx/2017/34-80656.pdf SR-BX-2017-022 2017-05-11 Notice / Immediate Effectiveness/to Amend Rule 4770 to Modify the Date of Appendix B Website Data Publication SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/82-FR-22706 82-FR-22706 34-80657 https://www.sec.gov/rules/sro/nysearca/2017/34-80657.pdf SR-NYSEARCA-2017-09 2017-05-11 Notice / Order Accelerating /Regarding Investments of the Janus Short Duration Income ETF Listed Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-22702 82-FR-22702 34-80658 https://www.sec.gov/rules/sro/batsedgx/2017/34-80658.pdf SR-BATSEDGX-2017-21 2017-05-11 Notice / Immediate Effectiveness/to Fees for Use on the Exchange's Equity Options Platform SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/82-FR-22697 82-FR-22697 34-80659 https://www.sec.gov/rules/sro/pearl/2017/34-80659.pdf SR-PEARL-2017-21 2017-05-11 Notice / Immediate Effectiveness/to Amend Rule 519C SRO Filing MIAX PEARL, LLC http://www.federalregister.gov/citation/82-FR-22708 82-FR-22708 34-80660 https://www.sec.gov/rules/sro/phlx/2017/34-80660.pdf SR-PHLX-2017-33 2017-05-11 Notice / Immediate Effectiveness/to Amend Rule 3317 to Modify the Date of Appendix B Website Data Publication SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-22690 82-FR-22690 34-80661 https://www.sec.gov/rules/sro/box/2017/34-80661.pdf SR-BOX-2017-14 2017-05-11 Notice / Immediate Effectiveness/to Adopt Qualified Contingent Cross Orders SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/82-FR-22682 82-FR-22682 34-80662 https://www.sec.gov/litigation/opinions/2017/34-80662.pdf 3-17767 2017-05-11 Order to Show Cause Why Proceeding Should Be Reopened Orders McBarron Capital LLC N/A 34-80663 https://www.sec.gov/litigation/opinions/2017/34-80663.pdf IA-4706 IC-32633 3-17184 2017-05-11 Order Granting Motion To Strike And Motion Briefing Schedule Orders Gibson, Christopher M. N/A 34-80664 https://www.sec.gov/rules/sro/batsbzx/2017/34-80664.pdf SR-BATSBZX-2017-07 2017-05-10 Order / Instituting Proceedings to/to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Under BZX Rule 14.11(c)(4) SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-22680 82-FR-22680 34-80665 https://www.sec.gov/rules/sro/nysearca/2017/34-80665.pdf SR-NYSEARCA-2017-51 2017-05-11 Notice / Immediate Effectiveness/Amending NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-22687 82-FR-22687 34-80666 https://www.sec.gov/rules/sro/lchsa/2017/34-80666.pdf SR-LCH SA-2017-005 2017-05-11 Notice /as modified by Amendment No. 1 Thereto, to Add Rules Related to the Clearing of CDX.NA.HY CDS SRO Filing LCH SA http://www.federalregister.gov/citation/82-FR-22699 82-FR-22699 34-80667 https://www.sec.gov/litigation/suspensions/2017/34-80667.pdf 500-1 2017-05-11 Trading Suspension Trading Suspensions Global Quest, Ltd. N/A 34-80668 https://www.sec.gov/litigation/admin/2017/33-10356.pdf 33-10356 3-17982 2017-05-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Emerald Isle Exploration Ltd. Eads, Samuell Brewer, Lloyd C. N/A 34-80669 https://www.sec.gov/rules/sro/iex/2017/34-80669.pdf SR-IEX-2017-15 2017-05-12 Notice / Immediate Effectiveness/to Correct an Incorrect Internal Cross Reference in Rule 11.420(d)(2)(B) SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/82-FR-22866 82-FR-22866 34-80670 https://www.sec.gov/rules/sro/nyse/2017/34-80670.pdf SR-NYSE-2017-12 2017-05-12 Notice / Designation of Longer Period for Commission Action/to Amend Section 102.01B of the NYSE Listed Company Manual to Modify the Requirements that Apply to Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-22866 82-FR-22866 AP-4790 https://www.sec.gov/alj/aljorders/2017/ap-4790.pdf 3-17813 2017-05-08 Protective Order Orders Windsor Street Capital, L.P. Telfer, John David N/A AP-4791 https://www.sec.gov/alj/aljorders/2017/ap-4791.pdf 3-17856 2017-05-08 Order for Supplemental Brief Orders Gibson, John Austin Jr. N/A AP-4792 https://www.sec.gov/alj/aljorders/2017/ap-4792.pdf 3-17387 2017-05-09 Motion to the Commission for Extension Orders Lathan, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4793 https://www.sec.gov/alj/aljorders/2017/ap-4793.pdf 3-17977 2017-05-10 Order Scheduling Hearing and Designating Presiding Judge Orders Ciralight Global, Inc. GS Enviroservices, Inc. Ipoworld Parable, Inc. N/A AP-4794 https://www.sec.gov/alj/aljorders/2017/ap-4794.pdf 3-17935 2017-05-11 Order Postponing Hearing and Scheduling Prehearing Conference Orders Biovest International, Inc. Olie, Inc. (n/k/a Syndicate Business Development Corp.) Stargate Entertainment, Inc. Three Sigma Ventures, Inc. N/A AP-4795 https://www.sec.gov/alj/aljorders/2017/ap-4795.pdf 3-17674 2017-05-11 Order Extending Stay Orders Kon, Alexander N/A AP-4796 https://www.sec.gov/alj/aljorders/2017/ap-4796.pdf 3-17849 2017-05-11 Orders Granting Extension of Time for Fact Witness Depositions Orders Angel Oak Capital Partners, LLC Peraza Capital & Investment, LLC Prabhu, Sreeniwas Wells, David W. N/A AP-4797 https://www.sec.gov/alj/aljorders/2017/ap-4797.pdf 3-17945 2017-05-12 Order Postponing Hearing and Scheduling Prehearing Conference Orders Prospect Ventures, Inc. Starnet Pacific Co. Ltd. Sunburst Acquisitions V. Inc. Sunburst Acquisitions V, Inc. Sunburst Acquisitions VI, Inc. N/A IA-4703 https://www.sec.gov/litigation/opinions/2017/33-10354.pdf 33-10354 34-80627 IC-32629 3-17253 2017-05-08 Orders Granting Petitions for Review and Scheduling Briefs Orders Winkelmann, James A. Sr. N/A IA-4704 https://www.sec.gov/litigation/admin/2017/34-80628.pdf 34-80628 3-17976 2017-05-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Monroe , Frederick E. Jr. N/A IA-4705 https://www.sec.gov/litigation/admin/2017/33-10355.pdf 33-10355 34-80639 3-17978 2017-05-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Barclays Capital Inc. N/A IA-4706 https://www.sec.gov/litigation/opinions/2017/34-80663.pdf 34-80663 IC-32633 3-17184 2017-05-11 Order Granting Motion To Strike And Motion Briefing Schedule Orders Gibson, Christopher M. N/A IC-32628 https://www.sec.gov/rules/ic/2017/ic-32628.pdf 812-14548-05 2017-05-08 Order Orders Excelsior Private Markets Fund II (Master), LLC et al. N/A IC-32629 https://www.sec.gov/litigation/opinions/2017/33-10354.pdf 33-10354 34-80627 IA-4703 3-17253 2017-05-08 Orders Granting Petitions for Review and Scheduling Briefs Orders Winkelmann, James A. Sr. N/A IC-32630 https://www.sec.gov/rules/ic/2017/ic-32630.pdf 812-14699 2017-05-08 Notice Notice New Mountain Finance Corporation, et al http://www.federalregister.gov/citation/82-FR-22165 82-FR-22165 IC-32631 https://www.sec.gov/rules/ic/2017/ic-32631.pdf 812-14455 2017-05-10 Notice of Application Notice Allianz Funds, et al. http://www.federalregister.gov/citation/82-FR-22566 82-FR-22566 IC-32632 https://www.sec.gov/rules/ic/2017/ic-32632.pdf 812-14713 2017-05-10 Notice Notice Sierra Total Return Fund, et al. http://www.federalregister.gov/citation/82-FR-22592 82-FR-22592 IC-32633 https://www.sec.gov/litigation/opinions/2017/34-80663.pdf 34-80663 IA-4706 3-17184 2017-05-11 Order Granting Motion To Strike And Motion Briefing Schedule Orders Gibson, Christopher M. N/A IC-32634 https://www.sec.gov/rules/ic/2017/ic-32634.pdf 812-14467 2017-05-11 Notice of Application Notice Aspiriant Trust, et al. http://www.federalregister.gov/citation/82-FR-22689 82-FR-22689 IC-32635 https://www.sec.gov/rules/ic/2017/ic-32635.pdf 812-14698 2017-05-12 Notice Notice RiverNorth DoubleLine Strategic Opportunity Fund, Inc. , et al. http://www.federalregister.gov/citation/82-FR-22711 82-FR-22711 ID-1130 https://www.sec.gov/alj/aljdec/2017/id1130jsp.pdf 3-17551 2017-05-08 Initial Decision Initial Decision Med-X, Inc. N/A ID-1131 https://www.sec.gov/alj/aljdec/2017/id1131bpm.pdf 3-17859 2017-05-09 Initial Decision on Default as to Three Respondents Orders Prestige Financial Corp., Ross Technology, Inc. Skylynx Communications, Inc. (a/k/a Pawsplus, Inc., n/k/a Oppl, Inc. Upod, Inc. N/A ID-1132 https://www.sec.gov/alj/aljdec/2017/id1132ce.pdf 3-17861 2017-05-09 Initial Decision of Default Initial Decision Go EZ Corporation Arc Lifestyle Group Inc. Nova Smart Solutions Inc. N/A ID-1133 https://www.sec.gov/alj/aljdec/2017/id1133bpm.pdf 3-17882 2017-05-10 Initial Decision of Default Orders Shallbetter Industries, Inc., Phoenix Hydro International, Inc., Vanport Acquisition II, Corp., Vanport Acquisition III, Corp N/A ID-1134 https://www.sec.gov/alj/aljdec/2017/id1134bpm.pdf 3-17865 2017-05-11 Initial Decision Initial Decision Blink Technologies, Inc. (f/k/a Epunk, Inc.) N/A ID-1135 https://www.sec.gov/alj/aljdec/2017/id1135ce.pdf 3-17868 2017-05-12 Initial Decision of Dismissal As To International Corp. Initial Decision International Metals Acquisition Corp. (n/k/a Niagara LaSalle Corp.) N/A LR-23826 https://www.sec.gov/litigation/litreleases/2017/lr23826.htm 16-CV-9947 2017-05-09 Enforcement Case Hong, Iat Zheng, Bo Chin, Hung Lai, Sou Cheng N/A LR-23827 https://www.sec.gov/litigation/litreleases/2017/lr23827.htm 17:CV:850 2017-05-09 Enforcement Case Humphrey, David R. CPA N/A LR-23828 https://www.sec.gov/litigation/litreleases/2017/lr23828.htm 16-CV-2715 2017-05-09 Enforcement Case White, Matthew Zehner, Rodney Merandi, Daniel The Grand Empire Palace and Resort, LLC GEPR Investments Trust No. 1 GEPR Investments, LLC M&M Financial LLC White Investment Groups and Equities, LLC Mountaineer Development & Construction Group, LLC N/A LR-23829 https://www.sec.gov/litigation/litreleases/2017/lr23829.htm 3:17-CV-01113-K 2017-05-11 Enforcement Case Battie, Carl Keith aka Carl Hampton N/A LR-23830 https://www.sec.gov/litigation/litreleases/2017/lr23830.htm 16-CV-9403-KM-JBC 2017-05-11 Enforcement Case Avnon, Yaniv Armon, Ran Plumer, Adam L. G Six Trading Y.R Ltd. NKO Holdings Co. Ltd. N/A LR-23831 https://www.sec.gov/litigation/litreleases/2017/lr23831.htm 17 CIV. 3054 2017-05-11 Enforcement Case Lin, Wensheng Chen, Sheng Li N/A LR-23832 https://www.sec.gov/litigation/litreleases/2017/lr23832.htm 8:17-CV-01293-TDC 2017-05-11 Enforcement Case Roe, Douglas Lindo, Donald N/A LR-23833 https://www.sec.gov/litigation/litreleases/2017/lr23833.htm 1:17-CV-03536 2017-05-11 Enforcement Case Little, Walter C. Berke, Andrew M. N/A LR-23834 https://www.sec.gov/litigation/litreleases/2017/lr23834.htm 17-CV-1478 2017-05-12 Enforcement Case Ahmed, Mohamud Abdi 2waytrading, LLC N/A