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

2017-07-07 116 18 2017-06-05 2017-06-09 Securities Act of 1933 33 10369 10369 Securities Exchange Act of 1934 34 80855 80910 Administrative Proceedings AP 4851 4861 Investment Advisers Act of 1940 IA 4713 4713 Investment Company Act of 1940 IC 32668 32674 Litigation Releases LR 23852 23855 Accounting and Auditing Enforcement Release AAER 3873 3874 33-10369 https://www.sec.gov/litigation/admin/2017/33-10369.pdf 34-80901 AAER-3874 3-18020 2017-06-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hayford, Michael B. McClelland, Kevin D. CPA Rothbaum, Daniel L. CPA N/A 34-80855 https://www.sec.gov/litigation/admin/2017/34-80855.pdf 3-18009 2017-06-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Gardner, Bret H. N/A 34-80856 https://www.sec.gov/rules/sro/nasdaq/2017/34-80856.pdf SR-NASDAQ-2017-051 2017-06-05 Notice / Immediate Effectiveness / to Amend the Exchanges Fees at Rule 7046 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-26820 82-FR-26820 34-80857 https://www.sec.gov/rules/sro/cboe/2017/34-80857.pdf SR-CBOE-2017-044 2017-06-05 Notice / Relating to Disaster Recovery SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-26825 82-FR-26825 34-80858 https://www.sec.gov/rules/sro/icc/2017/34-80858.pdf SR-ICC-2017-003 2017-06-05 Notice / Amendment No. / Order / Relating to ICCs End-of-Day Price Discovery Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/82-FR-26824 82-FR-26824 34-80859 https://www.sec.gov/rules/sro/cboe/2017/34-80859.pdf SR-CBOE-2016-082 2017-06-05 Notice / Withdrawal / 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-26824 82-FR-26824 34-80860 https://www.sec.gov/rules/exorders/2017/34-80860.pdf SR-NYSEARCA-2013-107 2017-06-05 Order / Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS In Connection With the Exchanges Retail Liquidity Program Until December 31, 2017 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-26823 82-FR-26823 34-80861 https://www.sec.gov/rules/exorders/2017/34-80861.pdf SR-NYSE-2011-55 SR-NYSEAMEX-2011-84 2017-06-05 Order / Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges Retail Liquidity Programs Until December 31, 2017 SRO Filing New York Stock Exchange LLC NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-26819 82-FR-26819 34-80862 https://www.sec.gov/litigation/suspensions/2017/34-80862.pdf 500-1 2017-06-05 Trading Suspension Trading Suspensions Integrated Freight Corporation N/A 34-80863 https://www.sec.gov/litigation/admin/2017/34-80863.pdf 3-18011 2017-06-05 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Integrated Freight Corporation N/A 34-80864 https://www.sec.gov/rules/sro/chx/2017/34-80864.pdf SR-CHX-2016-20 2017-06-06 Notice / Designation of Longer Period for Commission Action / in Connection with the Proposed Transaction Involving CHX Holdings, Inc. and North America Casin Holdings, Inc. SRO Filing Chicago Stock Exchange, Inc http://www.federalregister.gov/citation/82-FR-26966 82-FR-26966 34-80865 https://www.sec.gov/rules/sro/nysearca/2017/34-80865.pdf SR-NYSEARCA-2017-48 2017-06-06 Order / 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-26970 82-FR-26970 34-80866 https://www.sec.gov/rules/sro/nysearca/2017/34-80866.pdf SR-NYSEARCA-2017-46 2017-06-06 Notice / to Amend NYSE Arca Equities Rule 13.2, Liability of Corporation SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-26967 82-FR-26967 34-80867 https://www.sec.gov/rules/sro/nyse/2017/34-80867.pdf SR-NYSE-2017-08 2017-06-06 Notice SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-26964 82-FR-26964 34-80868 https://www.sec.gov/rules/sro/pearl/2017/34-80868.pdf SR-PEARL-2017-28 2017-06-06 Notice / Immediate Effectiveness / to Amend MIAX PEARL Rule 406, Long Term Option Contracts SRO Filing MIAX PEARL, LLC http://www.federalregister.gov/citation/82-FR-26962 82-FR-26962 34-80869 https://www.sec.gov/rules/sro/miax/2017/34-80869.pdf SR-MIAX-2017-27 2017-06-07 Notice / Immediate Effectiveness / to Amend MIAX Options Rule 406, Long Term Option Contracts SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/82-FR-27092 82-FR-27092 34-80870 https://www.sec.gov/rules/other/2017/34-80870.pdf NO FILE NUMBER 2017-06-07 Commission Statement Policy Statement Commission Statement Concerning a Request Made Pursuant to Exchange Act Rule 3a68-2 http://www.federalregister.gov/citation/82-FR-27091 82-FR-27091 34-80871 https://www.sec.gov/rules/other/2017/34-80871.pdf 2017-11 2017-06-07 Order Determining Whistleblower Award Claim Orders Redacted N/A 34-80872 https://www.sec.gov/litigation/admin/2017/34-80872.pdf AAER-3873 3-18013 2017-06-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Zhang, Dan "Alice" CPA N/A 34-80873 https://www.sec.gov/rules/sro/ise/2017/34-80873.pdf SR-ISE-2017-51 2017-06-07 Notice / Immediate Effectiveness SRO Filing Nasdaq ISE, LLC http://www.federalregister.gov/citation/82-FR-27094 82-FR-27094 34-80874 https://www.sec.gov/litigation/opinions/2017/34-80874.pdf 3-17981 2017-06-07 Order Requesting Additional Written Submissions Orders Sunshine Capital, Inc. Anderson, Jimmy Wayne N/A 34-80875 https://www.sec.gov/rules/sro/pearl/2017/34-80875.pdf SR-PEARL-2017-26 2017-06-07 Notice / Immediate Effectiveness / to Amend the MIAX PEARL Fee Schedule to Establish an Options Regulatory Fee (ORF) SRO Filing MIAX PEARL, LLC http://www.federalregister.gov/citation/82-FR-27096 82-FR-27096 34-80876 https://www.sec.gov/rules/sro/dtc/2017/34-80876.pdf SR-DTC-2017-005 2017-06-07 Notice / Designation of Longer Period for Commission Action / to Adopt the Clearing Agency Stress Testing Framework (Market Risk) SRO Filing Depository Trust Company http://www.federalregister.gov/citation/82-FR-27091 82-FR-27091 34-80877 https://www.sec.gov/rules/sro/dtc/2017/34-80877.pdf SR-DTC-2017-004 2017-06-07 Notice / Designation of Longer Period for Commission Action / to Adopt the Clearing Agency Liquidity Risk Management Framework SRO Filing Depository Trust Company http://www.federalregister.gov/citation/82-FR-27094 82-FR-27094 34-80878 https://www.sec.gov/rules/sro/dtc/2017/34-80878.pdf SR-DTC-2017-003 2017-06-07 Notice / Designation of Longer Period for Commission Action / to Adopt the Clearing Agency Policy on Capital Requirements and the Clearing Agency Capital Replenishment Plan SRO Filing Depository Trust Company http://www.federalregister.gov/citation/82-FR-27093 82-FR-27093 34-80879 https://www.sec.gov/rules/sro/ficc/2017/34-80879.pdf SR-FICC-2017-010 2017-06-07 Notice / Designation of Longer Period for Commission Action / 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-27090 82-FR-27090 34-80880 https://www.sec.gov/litigation/admin/2017/34-80880.pdf 3-18014 2017-06-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Evolucia, Inc. Legend International Holdings, Inc. OSL Holdings, Inc. N/A 34-80881 https://www.sec.gov/litigation/suspensions/2017/34-80881.pdf 500-1 2017-06-07 Trading Suspension Trading Suspensions Evolucia, Inc. Legend International Holdings, Inc. OSL Holdings, Inc. N/A 34-80882 https://www.sec.gov/rules/sro/c2/2017/34-80882.pdf SR-C2-2017-020 2017-06-08 Notice / Immediate Effectiveness / Relating to the Penny Pilot Program SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-27300 82-FR-27300 34-80883 https://www.sec.gov/rules/sro/cboe/2017/34-80883.pdf SR-CBOE-2017-045 2017-06-08 Notice / Immediate Effectiveness / Relating to the Penny Pilot Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-27322 82-FR-27322 34-80884 https://www.sec.gov/litigation/admin/2017/34-80884.pdf IC-32674 3-18016 2017-06-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Scott, Christopher N/A 34-80885 https://www.sec.gov/rules/sro/nysearca/2017/34-80885.pdf SR-NYSEARCA-2017-44 2017-06-08 Order / to List and Trade of 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-27302 82-FR-27302 34-80886 https://www.sec.gov/litigation/admin/2017/34-80886.pdf 3-17899 2017-06-08 Extension Order Orders Credit Suisse Securities (USA) LLC N/A 34-80887 https://www.sec.gov/litigation/admin/2017/34-80887.pdf 3-17900 2017-06-08 Extension Order Orders Katz, Sanford Michael N/A 34-80888 https://www.sec.gov/rules/sro/nasdaq/2017/34-80888.pdf SR-NASDAQ-2017-053 2017-06-08 Notice / Immediate Effectiveness / to Amend Rule 5110(c) to Permit a Reverse Merger Company to Qualify for Initial Listing Under Any Applicable Listing Standard After Satisfying the Required Seasoning Period SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-27315 82-FR-27315 34-80889 https://www.sec.gov/litigation/admin/2017/34-80889.pdf IA-4713 3-17948 2017-06-08 Order Making Findings, and Imposing Remedial Sanctions AP Settled Khan, Abida N/A 34-80890 https://www.sec.gov/rules/sro/msrb/2017/34-80890.pdf SR-MSRB-2017-03 2017-06-08 Notice / to Amend MSRB Rule G-26, on Customer Account Transfers, to Modernize the Rule and Promote a Uniform Customer Account Transfer Standard SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/82-FR-27307 82-FR-27307 34-80891 https://www.sec.gov/rules/sro/nasdaq/2017/34-80891.pdf SR-NASDAQ-2017-054 2017-06-08 Notice / Immediate Effectiveness / to Merge the OpenView Depth-of-Book Product into TotalView SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-27318 82-FR-27318 34-80892 https://www.sec.gov/litigation/admin/2017/34-80892.pdf 3-18017 2017-06-08 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated SkyStar Bio-Pharmaceutical Co. Can-Cal Resources Ltd. China Fruits Corp. N/A 34-80893 https://www.sec.gov/litigation/suspensions/2017/34-80893.pdf 500-1 2017-06-08 Trading Suspension Trading Suspensions SkyStar Bio-Pharmaceutical Co. Can-Cal Resources Ltd. N/A 34-80894 https://www.sec.gov/litigation/admin/2017/34-80894.pdf 3-18018 2017-06-09 Order of Forthwith Suspension Orders Todd, Fredrick J. Esq. N/A 34-80895 https://www.sec.gov/rules/sro/icc/2017/34-80895.pdf SR-ICC-2017-006 2017-06-09 Notice / to ICC's End-of-Day Price Discovery Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/82-FR-27539 82-FR-27539 34-80896 https://www.sec.gov/litigation/admin/2017/34-80896.pdf 3-18019 2017-06-09 Order Instituting Cease- And- Desist Proceedings- Making Findings and Imposing Remedial Sanctions and A Cease- And- Desist Order AP Settled Lee, Stephanie N/A 34-80897 https://www.sec.gov/litigation/admin/2017/34-80897.pdf 3-17995 2017-06-09 Extension Order Orders Turner, Michael R. N/A 34-80898 https://www.sec.gov/litigation/admin/2017/34-80898.pdf 3-17936 2017-06-09 Extension Order Orders Farhang, S. Brent N/A 34-80899 https://www.sec.gov/litigation/admin/2017/34-80899.pdf 3-17930 2017-06-09 Extension Order Orders Ottimo, Louis N/A 34-80900 https://www.sec.gov/rules/sro/icc/2017/34-80900.pdf SR-ICC-2017-005 2017-06-09 Notice / Withdrawal / to ICC's Liquidity Risk Management Framework and ICC's Stress Testing Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/82-FR-27539 82-FR-27539 34-80901 https://www.sec.gov/litigation/admin/2017/33-10369.pdf 33-10369 AAER-3874 3-18020 2017-06-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hayford, Michael B. McClelland, Kevin D. CPA Rothbaum, Daniel L. CPA N/A 34-80910 https://www.sec.gov/litigation/admin/2017/34-80910.pdf 3-18021 2017-06-09 Order of Suspension Orders Palathinkal, George Joseph N/A AP-4851 https://www.sec.gov/alj/aljorders/2017/ap-4851.pdf 3-17990 2017-06-05 Order Directing the Parties to hold an Initial Pre-hearing Conference Orders Digital Brand Media & Marketing Group Intellicell Biosciences, Inc. N/A AP-4852 https://www.sec.gov/alj/aljorders/2017/ap-4852.pdf 3-17959 2017-06-05 Order On Service Orders Reyftmann, Gregory N/A AP-4853 https://www.sec.gov/alj/aljorders/2017/ap-4853.pdf 3-17991 2017-06-05 Order to Show Cause Orders Atomic Paintball, Inc, North American Oil & Gas Corp Velatel Global Communications, Inc. N/A AP-4854 https://www.sec.gov/alj/aljorders/2017/ap-4854.pdf 3-18011 2017-06-06 Order Scheduling Hearing and Designating Presiding Judge Orders Integrated Freight Corporation N/A AP-4855 https://www.sec.gov/alj/aljorders/2017/ap-4855.pdf 3-17342 2017-06-06 Order Granting Stipulated Transcript Corrections Orders RD Legal Capital, LLC Dersovitz, Roni Esq. N/A AP-4856 https://www.sec.gov/alj/aljorders/2017/ap-4856.pdf 3-17948 2017-06-07 Stay Order Orders Khan, Abida N/A AP-4857 https://www.sec.gov/alj/aljorders/2017/ap-4857.pdf 3-18004 2017-06-08 Order Postponing Hearing and Scheduling Prehearing Conference Orders StationDigital Corp. Cardinal Resources, Inc. N/A AP-4858 https://www.sec.gov/alj/aljorders/2017/ap-4858.pdf 3-18014 2017-06-08 Order Scheduling Hearing and Designating Presiding Judge Orders Evolucia, Inc.; Legend International Holdings, Inc.; OSL Holdings, Inc. N/A AP-4859 https://www.sec.gov/alj/aljorders/2017/ap-4859.pdf 3-17998 2017-06-09 Order Orders Double Crown Resources, Inc. GMCI Corp. N/A AP-4860 https://www.sec.gov/alj/aljorders/2017/ap-4860.pdf 3-18017 2017-06-09 Order Scheduling Hearing and Designating Presiding Judge Orders Can-Cal Resources Ltd. China Fruits Corp. SkyStar Bio-Pharmaceutical Co. N/A AP-4861 https://www.sec.gov/alj/aljorders/2017/ap-4861.pdf 3-18007 2017-06-09 Order Postponing Hearing and Scheduling Prehearing Conference Orders New Western Energy Corp.; Preferred Restaurant Brands, Inc. Primco Management, Inc. N/A IA-4713 https://www.sec.gov/litigation/admin/2017/34-80889.pdf 34-80889 3-17948 2017-06-08 Order Making Findings, and Imposing Remedial Sanctions AP Settled Khan, Abida N/A IC-32668 https://www.sec.gov/rules/ic/2017/ic-32668.pdf 812-14699 2017-06-05 Order Orders New Mountain Finance Corporation, et al. N/A IC-32669 https://www.sec.gov/rules/ic/2017/ic-32669.pdf 812-14611 2017-06-05 Notice Notice Franklin Fund Allocator Series, et al. http://www.federalregister.gov/citation/82-FR-26720 82-FR-26720 IC-32670 https://www.sec.gov/rules/ic/2017/ic-32670.pdf 812-14713 2017-06-06 Order Orders Sierra Total Return Fund, et al. N/A IC-32671 https://www.sec.gov/rules/ic/2017/ic-32671.pdf 812-14455 2017-06-06 Order Orders Allianz Funds, et al. N/A IC-32672 https://www.sec.gov/rules/ic/2017/ic-32672.pdf 812-14467 2017-06-06 Order Orders Aspiriant Trust, et al. N/A IC-32673 https://www.sec.gov/rules/ic/2017/ic-32673.pdf 812-14698 2017-06-07 Order Orders RiverNorth DoubleLine Strategic Opportunity Fund, Inc. et al N/A IC-32674 https://www.sec.gov/litigation/admin/2017/34-80884.pdf 34-80884 3-18016 2017-06-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Scott, Christopher N/A LR-23852 https://www.sec.gov/litigation/litreleases/2017/lr23852.htm 15-CV-01760 2017-06-05 Enforcement Case GAW Miners, LLC ZenMiner, LLC N/A LR-23853 https://www.sec.gov/litigation/litreleases/2017/lr23853.htm 6:17-CV-00731 2017-06-05 Enforcement Case Trahan, Michael N/A LR-23854 https://www.sec.gov/litigation/litreleases/2017/lr23854.htm 17-CV-731 2017-06-07 Enforcement Case Trahan, Michael N/A LR-23855 https://www.sec.gov/litigation/litreleases/2017/lr23855.htm 17-CV-04240 2017-06-08 Enforcement Case Fuselier, David N. Erwin, Roy W. Integrated Freight Corporation N/A AAER-3873 https://www.sec.gov/litigation/admin/2017/34-80872.pdf 34-80872 3-18013 2017-06-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Zhang, Dan "Alice" CPA N/A AAER-3874 https://www.sec.gov/litigation/admin/2017/33-10369.pdf 33-10369 34-80901 3-18020 2017-06-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hayford, Michael B. McClelland, Kevin D. CPA Rothbaum, Daniel L. CPA N/A