2017-08-01
117
1
2017-06-26
2017-06-30
Securities Act of 1933
33
10374
10384
Securities Exchange Act of 1934
34
81017
81071
Administrative Proceedings
AP
4889
4905
Investment Advisers Act of 1940
IA
4719
4724
Investment Company Act of 1940
IC
32711
32721
Initial Decisions (ALJ)
ID
1150
1150
Litigation Releases
LR
23868
23871
33-10374
https://www.sec.gov/litigation/opinions/2017/33-10374.pdf
34-81041
IA-4719
IC-32714
3-17253
2017-06-28
Extension Order
Order
Winkelmann, James A. Sr.
Blue Ocean Portfolios, LLC
N/A
33-10375
https://www.sec.gov/litigation/opinions/2017/33-10375.pdf
34-81043
IA-4720
IC-32715
3-16801
2017-06-28
Stay Order
Order
Bennett, Dawn J.
Bennett Group Financial Services, LLC
N/A
33-10376
https://www.sec.gov/litigation/admin/2017/33-10376.pdf
34-81045
3-18049
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Conley, Christopher A.
N/A
33-10377
https://www.sec.gov/litigation/admin/2017/33-10377.pdf
34-81046
3-18050
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Enga, Matthew L.
N/A
33-10378
https://www.sec.gov/litigation/admin/2017/33-10378.pdf
34-81047
3-18051
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Keck, Andrew S.
N/A
33-10379
https://www.sec.gov/litigation/admin/2017/33-10379.pdf
34-81048
3-18052
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Keck, Sarah E.
N/A
33-10380
https://www.sec.gov/litigation/admin/2017/33-10380.pdf
34-81049
3-18053
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Lindsay, Nigel G.
N/A
33-10381
https://www.sec.gov/litigation/admin/2017/33-10381.pdf
34-81050
3-18054
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Stark, Marilyn
N/A
33-10382
https://www.sec.gov/litigation/opinions/2017/33-10382.pdf
34-81059
IC-32719
3-15514
2017-06-30
Order Scheduling Oral Argument
Order
Chiappone, Frank
Guzzetti, Andrew G.
Lex, William F.
Livingston, Thomas E.
Mayer, Brian T.
Rabinovich, Phillip S.
N/A
33-10383
https://www.sec.gov/litigation/opinions/2017/33-10383.pdf
34-81066
IA-4723
IC-32720
3-15255
2017-06-30
Order Scheduling Oral Argument
Order
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC
Jarkesy, George R. JR.
N/A
33-10384
https://www.sec.gov/litigation/admin/2017/33-10384.pdf
34-81071
IA-4724
IC-32721
3-18056
2017-06-30
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Bantry Bay Capital, LLC
Sexton, Timothy F. Jr.
N/A
34-81017
https://www.sec.gov/rules/sro/cboe/2017/34-81017.pdf
SR-CBOE-2017-050
2017-06-26
Notice / Immediate Effectiveness/to Extend a Pilot Program that Eliminates Position and Exercise Limits for Physically-Settled SPDR S&P 500 ETF Trust (SPY) Options
Notice
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/82-FR-29960
82-FR-29960
34-81018
https://www.sec.gov/rules/sro/finra/2017/34-81018.pdf
SR-FINRA-2017-023
2017-06-26
Notice / Immediate Effectiveness/Relating to Reporting of Certain ATS Transactions in U.S. Treasury Securities
Notice
Financial Industry Regulatory Authority, Inc
http://www.federalregister.gov/citation/82-FR-29956
82-FR-29956
34-81019
https://www.sec.gov/rules/sro/miax/2017/34-81019.pdf
SR-MIAX-2017-29
2017-06-26
Notice / Immediate Effectiveness/to Amend Its Fee Schedule
Notice
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/82-FR-29962
82-FR-29962
34-81020
https://www.sec.gov/rules/sro/miax/2017/34-81020.pdf
SR-MIAX-2017-30
2017-06-26
Notice / Immediate Effectiveness/to Amend MIAX Options Rules 307, Position Limits, and 309, Exercise Limits, to Extend the SPY Pilot Program
Notice
Miami International Securities Exchange LLC
http://www.federalregister.gov/citation/82-FR-29951
82-FR-29951
34-81021
https://www.sec.gov/rules/sro/nyse/2017/34-81021.pdf
SR-NYSE-2017-17
2017-06-26
Notice /to Require Listed Companies to Provide Advance Notice of Dividend Announcements to the Exchange
Notice
New York Stock Exchange LLC
http://www.federalregister.gov/citation/82-FR-29966
82-FR-29966
34-81022
https://www.sec.gov/rules/sro/oc/2017/34-81022.pdf
SR-OC-2017-02
2017-06-26
Notice /to Implement Four Decimal Pricing for Outright Transactions in Single Stock Futures
Notice
OneChicago, LLC
http://www.federalregister.gov/citation/82-FR-29953
82-FR-29953
34-81023
https://www.sec.gov/rules/sro/gemx/2017/34-81023.pdf
SR-GEMX-2017-25
2017-06-26
Notice / Immediate Effectiveness/Relating to the Non-Priority Customer License Surcharge
Notice
Nasdaq GEMX, LLC
http://www.federalregister.gov/citation/82-FR-29968
82-FR-29968
34-81024
https://www.sec.gov/rules/sro/ise/2017/34-81024.pdf
SR-ISE-2017-54
2017-06-26
Notice / Immediate Effectiveness/Relating to the Non-Priority Customer License Surcharge
Notice
Nasdaq ISE, LLC
http://www.federalregister.gov/citation/82-FR-29964
82-FR-29964
34-81025
https://www.sec.gov/litigation/admin/2017/34-81025.pdf
3-18046
2017-06-26
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Wm Smith & Co.
Smith, William S.
N/A
34-81026
https://www.sec.gov/litigation/admin/2017/34-81026.pdf
3-18047
2017-06-26
Order Instituting Administrative Proceedings and Notice of Hearing
Order
Ibex Advanced Mortgage Technology, Inc.
N/A
34-81027
https://www.sec.gov/litigation/suspensions/2017/34-81027.pdf
500-1
2017-06-26
Trading Suspension
Order
Ibex Advanced Mortgage Technology, Inc.
N/A
34-81028
https://www.sec.gov/rules/sro/icc/2017/34-81028.pdf
SR-ICC-2017-007
2017-06-27
Notice / Immediate Effectiveness/Relating to ICCs Cash Investment Yield Schedule
Notice
ICE Clear Credit LLC
http://www.federalregister.gov/citation/82-FR-30921
82-FR-30921
34-81029
https://www.sec.gov/rules/sro/icc/2017/34-81029.pdf
SR-ICC-2017-008
2017-06-27
Notice /Security-Based Swap Submission, or Advance Notice Relating to the Clearance of Additional Credit Default Swap Contracts
Notice
ICE Clear Credit LLC
http://www.federalregister.gov/citation/82-FR-30931
82-FR-30931
34-81030
https://www.sec.gov/rules/sro/icc/2017/34-81030.pdf
SR-ICC-2017-009
2017-06-27
Notice /Security-Based Swap Submission, or Advance Notice Relating to the Clearance of Additional Credit Default Swap Contracts
Notice
ICE Clear Credit LLC
http://www.federalregister.gov/citation/82-FR-30933
82-FR-30933
34-81031
https://www.sec.gov/rules/sro/iceeu/2017/34-81031.pdf
SR-ICEEU-2017-006
2017-06-27
Order/Relating to the CDS End-of-Day Price Discovery Policy and Price Submission Disciplinary Framework
Order
ICE Clear Europe Limited
http://www.federalregister.gov/citation/82-FR-30918
82-FR-30918
34-81032
https://www.sec.gov/rules/sro/batsbzx/2017/34-81032.pdf
SR-BATSBZX-2017-43
2017-06-27
Notice / Immediate Effectiveness/Related to Fees for Logical Ports on the Bats Equity Options Platform
Notice
Bats BZX Exchange, Inc
http://www.federalregister.gov/citation/82-FR-30916
82-FR-30916
34-81033
https://www.sec.gov/litigation/admin/2017/34-81033.pdf
3-18048
2017-06-27
Order of Forthwith Suspension
Order
Hudson, Michael L.
N/A
34-81034
https://www.sec.gov/rules/sro/ise/2017/34-81034.pdf
SR-ISE-2017-58
2017-06-27
Notice / Immediate Effectiveness/to Specify an Exception to the Manner In Which Market Maker Immediate-or-Cancel Orders Will Be Handled
Notice
Nasdaq ISE, LLC
http://www.federalregister.gov/citation/82-FR-30923
82-FR-30923
34-81035
https://www.sec.gov/rules/sro/finra/2017/34-81035.pdf
SR-FINRA-2017-019
2017-06-27
Notice / Immediate Effectiveness/to Extend the Implementation of FINRA Rule 4240 (Margin Requirements for Credit Default Swaps)
Notice
Financial Industry Regulatory Authority, Inc
http://www.federalregister.gov/citation/82-FR-30914
82-FR-30914
34-81036
https://www.sec.gov/litigation/suspensions/2017/34-81036.pdf
500-1
2017-06-27
Trading Suspension
Order
Environmental Packaging Technologies Holdings, Inc.
N/A
34-81037
https://www.sec.gov/rules/sro/icc/2017/34-81037.pdf
SR-ICC-2017-010
2017-06-28
Notice /Security-Based Swap Submission, or Advance Notice Relating to the ICC Clearing Rules and the ICC Treasury Operations Policies and Procedures
Notice
ICE Clear Credit LLC
http://www.federalregister.gov/citation/82-FR-31121
82-FR-31121
34-81038
https://www.sec.gov/rules/sro/nysemkt/2017/34-81038.pdf
SR-NYSEMKT-2016-103
2017-06-28
Order/to Allow the Exchange to Trade, Pursuant to Unlisted Trading Privileges, any NMS Stock Listed on Another National Securities Exchange; Establish Rules for the Trading Pursuant to UTP of Exchange-Traded Products; and Adopt New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform
Order
NYSE MKT LLC
http://www.federalregister.gov/citation/82-FR-31118
82-FR-31118
34-81039
https://www.sec.gov/rules/sro/nscc-an/2017/34-81039.pdf
SR-NSCC-2017-803
2017-06-28
Notice / Advance Notice/to Adopt a New Stock Options and Futures Settlement Agreement with The Options Clearing Corporation
Notice
National Securities Clearing Corporation
http://www.federalregister.gov/citation/82-FR-31123
82-FR-31123
34-81040
https://www.sec.gov/rules/sro/occ-an/2017/34-81040.pdf
SR-OCC-2017-804
2017-06-28
Notice / Advance Notice/Concerning the Adoption of a New Stock Options and Futures Settlement Agreement Between The Options Clearing Corporation and the National Securities Clearing Corporation
Notice
Options Clearing Corporation
http://www.federalregister.gov/citation/82-FR-31109
82-FR-31109
34-81041
https://www.sec.gov/litigation/opinions/2017/33-10374.pdf
33-10374
IA-4719
IC-32714
3-17253
2017-06-28
Extension Order
Order
Winkelmann, James A. Sr.
Blue Ocean Portfolios, LLC
N/A
34-81042
https://www.sec.gov/litigation/admin/2017/34-81042.pdf
3-17998
2017-06-28
Order Making Findings and Revoking Registration
Order
Double Crown Resources, Inc.
GMCI Corp
N/A
34-81043
https://www.sec.gov/litigation/opinions/2017/33-10375.pdf
33-10375
IA-4720
IC-32715
3-16801
2017-06-28
Stay Order
Order
Bennett, Dawn J.
Bennett Group Financial Services, LLC
N/A
34-81044
https://www.sec.gov/rules/sro/nscc/2017/34-81044.pdf
SR-NSCC-2017-009
2017-06-29
Notice / Immediate Effectiveness/to Further Describe and Codify Existing Practices Relating to the Bond Haircut
Notice
National Securities Clearing Corporation
http://www.federalregister.gov/citation/82-FR-31384
82-FR-31384
34-81045
https://www.sec.gov/litigation/admin/2017/33-10376.pdf
33-10376
3-18049
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Conley, Christopher A.
N/A
34-81046
https://www.sec.gov/litigation/admin/2017/33-10377.pdf
33-10377
3-18050
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Enga, Matthew L.
N/A
34-81047
https://www.sec.gov/litigation/admin/2017/33-10378.pdf
33-10378
3-18051
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Keck, Andrew S.
N/A
34-81048
https://www.sec.gov/litigation/admin/2017/33-10379.pdf
33-10379
3-18052
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Keck, Sarah E.
N/A
34-81049
https://www.sec.gov/litigation/admin/2017/33-10380.pdf
33-10380
3-18053
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Lindsay, Nigel G.
N/A
34-81050
https://www.sec.gov/litigation/admin/2017/33-10381.pdf
33-10381
3-18054
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Stark, Marilyn
N/A
34-81051
https://www.sec.gov/rules/sro/ficc/2017/34-81051.pdf
SR-FICC-2017-012
2017-06-29
Order/to the Mortgage-Backed Securities Division Clearing Rules Regarding Fixed Income Clearing Corporations (1) Time of Novation, (2) Treatment of Itself as the Settlement Counterparty for Certain Transaction Types, and (3) Proposal to Implement New Processes to Promote Operational Efficiencies for Its Clearing Members
Order
Fixed Income Clearing Corporation
http://www.federalregister.gov/citation/82-FR-31378
82-FR-31378
34-81052
https://www.sec.gov/rules/sro/iex/2017/34-81052.pdf
SR-IEX-2017-11
2017-06-29
Notice / Designation of Longer Period for Commission Action/To Modify the Manner in Which the Exchange Opens Trading for Non-IEX-Listed Securities
Notice
Investors Exchange LLC
http://www.federalregister.gov/citation/82-FR-31377
82-FR-31377
34-81053
https://www.sec.gov/rules/sro/finra/2017/34-81053.pdf
SR-FINRA-2017-020
2017-06-29
Notice /to Adopt FINRA Rule 6898 (Consolidated Audit Trail - Fee Dispute Resolution)
Notice
Financial Industry Regulatory Authority, Inc
http://www.federalregister.gov/citation/82-FR-31366
82-FR-31366
34-81054
https://www.sec.gov/rules/sro/ficc-an/2017/34-81054.pdf
SR-FICC-2017-802
2017-06-29
Notice of No Objection to Advance Notice/to Implement the Capped Contingency Liquidity Facility in the Government Securities Division Rulebook
Notice
Fixed Income Clearing Corporation
http://www.federalregister.gov/citation/82-FR-31356
82-FR-31356
34-81055
https://www.sec.gov/litigation/suspensions/2017/34-81055.pdf
500-1
2017-06-29
Trading Suspension
Order
Pilgrim Petroleum Corporation
N/A
34-81056
https://www.sec.gov/rules/sro/lchsa/2017/34-81056.pdf
SR-LCH SA-2017-005
2017-06-30
Order/to add Rules Related to the Clearing of CDX.NA.HY CDS
Order
LCH SA
http://www.federalregister.gov/citation/82-FR-31364
82-FR-31364
34-81057
https://www.sec.gov/rules/other/2017/34-81057.pdf
2017-06-30
Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds
Order
Miller Kaplan Arase LLP
N/A
34-81058
https://www.sec.gov/rules/sro/occ-an/2017/34-81058.pdf
SR-OCC-2017-803
2017-06-30
Notice of Filing and No Objection to Advance Notice /Proposal to Enter Into a New Credit Facility Agreement
Notice
The Options Clearing Corporation
http://www.federalregister.gov/citation/82-FR-31371
82-FR-31371
34-81059
https://www.sec.gov/litigation/opinions/2017/33-10382.pdf
33-10382
IC-32719
3-15514
2017-06-30
Order Scheduling Oral Argument
Order
Chiappone, Frank
Guzzetti, Andrew G.
Lex, William F.
Livingston, Thomas E.
Mayer, Brian T.
Rabinovich, Phillip S.
N/A
34-81060
https://www.sec.gov/rules/sro/msrb/2017/34-81060.pdf
SR-MSRB-2017-04
2017-06-30
Notice /to Amend MSRB Rule G-21(e), on Municipal Fund Security Product Advertisements
Notice
Municipal Securities Rulemaking Board
http://www.federalregister.gov/citation/82-FR-31644
82-FR-31644
34-81061
https://www.sec.gov/rules/sro/nysearca/2017/34-81061.pdf
SR-NYSEARCA-2017-70
2017-06-30
Notice / Immediate Effectiveness/to Specify in Exchange Rules the Exchanges Primary and Secondary Sources of Data Feeds from NYSE MKT LLC
Notice
NYSE Arca, Inc
http://www.federalregister.gov/citation/82-FR-31642
82-FR-31642
34-81062
https://www.sec.gov/rules/sro/nysearca/2017/34-81062.pdf
SR-NYSEARCA-2017-56
2017-06-30
Notice /to Facilitate the Listing and Trading of Certain Series of Investment Company Units Listed Pursuant to NYSE Arca Equities Rule 5.2(j)(3)
Notice
NYSE Arca, Inc
http://www.federalregister.gov/citation/82-FR-31651
82-FR-31651
34-81063
https://www.sec.gov/rules/sro/miax/2017/34-81063.pdf
SR-MIAX-2017-31
2017-06-30
Notice / Immediate Effectiveness/to Amend its Fee Schedule Concerning the Options Regulatory Fee
Notice
Miami International Securities Exchange, LLC
http://www.federalregister.gov/citation/82-FR-31668
82-FR-31668
34-81064
https://www.sec.gov/rules/other/2017/34-81064.pdf
3-11498
3-11450
3-11393
3-11359
3-11292
2017-06-30
Notice of Name Change of Appointed Tax Administrator
Notice
Miller Kaplan Arase LLP
N/A
34-81065
https://www.sec.gov/rules/sro/cboe/2017/34-81065.pdf
SR-CBOE-2017-010
2017-06-30
Notice / Withdrawal /Related to Unusual Market Conditions and the Duty to Systemize Non-Electronic Orders Prior to Representation
Notice
Chicago Board Options Exchange, Incorporated
http://www.federalregister.gov/citation/82-FR-31644
82-FR-31644
34-81066
https://www.sec.gov/litigation/opinions/2017/33-10383.pdf
33-10383
IA-4723
IC-32720
3-15255
2017-06-30
Order Scheduling Oral Argument
Order
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC
Jarkesy, George R. JR.
N/A
34-81067
https://www.sec.gov/rules/sro/batsbyx/2017/34-81067.pdf
SR-BATSBYX-2017-11
2017-06-30
Order / Instituting Proceedings to/Suspension / to Establish Fees for Industry Members to Fund the Consolidated Audit Trail
Order
Bats BYX Exchange, Inc. et al.
http://www.federalregister.gov/citation/82-FR-31656
82-FR-31656
34-81068
https://www.sec.gov/rules/sro/iceeu/2017/34-81068.pdf
SR-ICEEU-2017-007
2017-06-30
Order/Relating to Amendments to the ICE Clear Europe Limited Articles of Association
Order
ICE Clear Europe Limited
http://www.federalregister.gov/citation/82-FR-31648
82-FR-31648
34-81069
https://www.sec.gov/rules/sro/phlx/2017/34-81069.pdf
SR-PHLX-2017-49
2017-06-30
Notice / Immediate Effectiveness/Regarding Delivery of Options Disclosure Documents and Special Statement for Uncovered Options Writers
Notice
NASDAQ PHLX LLC
http://www.federalregister.gov/citation/82-FR-31638
82-FR-31638
34-81070
https://www.sec.gov/rules/sro/batsbzx/2017/34-81070.pdf
SR-BATSBZX-2017-26
2017-06-30
Order/to Amend BZX Rule 14.11 to Provide for the Inclusion of Cash in an Index Underlying a Series of Index Fund Shares
Order
Bats BZX Exchange, Inc
http://www.federalregister.gov/citation/82-FR-31650
82-FR-31650
34-81071
https://www.sec.gov/litigation/admin/2017/33-10384.pdf
33-10384
IA-4724
IC-32721
3-18056
2017-06-30
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Bantry Bay Capital, LLC
Sexton, Timothy F. Jr.
N/A
AP-4889
https://www.sec.gov/alj/aljorders/2017/ap-4889.pdf
3-18017
2017-06-26
Order on Motion Postponing Hearing and Ordering Prehearing Conference
Order
Can-Cal Resources Ltd.
China Fruits Corp.
SkyStar Bio-Pharmaceutical Co.
N/A
AP-4890
https://www.sec.gov/alj/aljorders/2017/ap-4890.pdf
3-17990
2017-06-26
Scheduling Order
Order
Digital Brand Media & Marketing Group, Inc.
Intellicell Biosciences, Inc.
N/A
AP-4891
https://www.sec.gov/alj/aljorders/2017/ap-4891.pdf
3-18014
2017-06-27
Order to Show Cause as to Two Respondents
Order
Evolucia, Inc.
OSL Holdings, Inc.
N/A
AP-4892
https://www.sec.gov/alj/aljorders/2017/ap-4892.pdf
3-17999
2017-06-27
Order to Show Cause
Order
A.C. Simmonds and Sons, Inc.; Joshua Gold Resources, Inc. (f/k/a Enhanced Energy Solutions, Inc.);
Game Plan Holdings, Inc.
HashingSpace Corp.
N/A
AP-4893
https://www.sec.gov/alj/aljorders/2017/ap-4893.pdf
3-18047
2017-06-27
Order Scheduling Hearing and Designating Presiding Judge
Order
Ibex Advanced Mortgage Technology, Inc.
N/A
AP-4894
https://www.sec.gov/alj/aljorders/2017/ap-4894.pdf
3-14880
2017-06-27
Order Regarding Modification of Associational Bar
Order
Jantzen, John
N/A
AP-4895
https://www.sec.gov/alj/aljorders/2017/ap-4895.pdf
3-17849
2017-06-28
Order Following Prehearing Conference
Order
Angel Oak Capital Partners, LLC,
Peraza Capital & Investment, LLC,
Sreeniwas Prabhu
Wells, David W.
N/A
AP-4896
https://www.sec.gov/alj/aljorders/2017/ap-4896.pdf
3-17959
2017-06-28
Order Finding Services
Order
Reyftmann, Gregory
N/A
AP-4897
https://www.sec.gov/alj/aljorders/2017/ap-4897.pdf
3-17716
2017-06-29
Protective Order
Order
Baker, Robert L.
Herrera, Jacob B.
Bowen, Michael D.
Ballard, Terrence A.
N/A
AP-4898
https://www.sec.gov/alj/aljorders/2017/ap-4898.pdf
3-18037
2017-06-29
Order Postponing Hearing
Order
dELiA*s Inc.
Global Energy, Inc.
N/A
AP-4899
https://www.sec.gov/alj/aljorders/2017/ap-4899.pdf
3-18004
2017-06-29
Scheduling Order
Order
Cardinal Resources, Inc
StationDigital Corp.
N/A
AP-4900
https://www.sec.gov/alj/aljorders/2017/ap-4900.pdf
3-17828
2017-06-27
Post-Hearing Order
Order
Herman, , Rosalind
N/A
AP-4901
https://www.sec.gov/alj/aljorders/2017/ap-4901.pdf
3-16604
2017-06-30
Order Scheduling Prehearing Conference
Order
BioCoral. Inc
GC China Turbine Corp
Race World International. Inc
Worldwide Biotech & Pharmaceutical Co.
N/A
AP-4902
https://www.sec.gov/alj/aljorders/2017/ap-4902.pdf
3-17884
2017-06-30
Order
Order
UBIQUITY, INC
N/A
AP-4903
https://www.sec.gov/alj/aljorders/2017/ap-4903.pdf
3-18017
2017-06-30
Order Following Prehearing Conference
Order
Can-Cal Resources Ltd.
China Fruits Corp.
Skystar Bio-Pharmaceutical Co.
N/A
AP-4904
https://www.sec.gov/alj/aljorders/2017/ap-4904.pdf
3-17550
2017-06-30
Notice
Notice
DiTommaso, Tod A. Esq.
N/A
AP-4905
https://www.sec.gov/alj/aljorders/2017/ap-4905.pdf
3-17998
2017-06-30
Stay Order
Order
Double Crown Resources, Inc.
GMCI Corp.
N/A
IA-4719
https://www.sec.gov/litigation/opinions/2017/33-10374.pdf
33-10374
34-81041
IC-32714
3-17253
2017-06-28
Extension Order
Order
Winkelmann, James A. Sr.
Blue Ocean Portfolios, LLC
N/A
IA-4720
https://www.sec.gov/litigation/opinions/2017/33-10375.pdf
33-10375
34-81043
IC-32715
3-16801
2017-06-28
Stay Order
Order
Bennett, Dawn J.
Bennett Group Financial Services, LLC
N/A
IA-4721
https://www.sec.gov/litigation/admin/2017/ia-4721.pdf
IC-32716
3-18055
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Mansour, Bassem
Resilience Management, LLC
Ammar, George
N/A
IA-4722
https://www.sec.gov/litigation/opinions/2017/ia-4722.pdf
3-16182
2017-06-30
Order Scheduling Oral Argument
Order
Lloyd, Paul Edward JR., CPA
N/A
IA-4723
https://www.sec.gov/litigation/opinions/2017/33-10383.pdf
33-10383
34-81066
IC-32720
3-15255
2017-06-30
Order Scheduling Oral Argument
Order
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC
Jarkesy, George R. JR.
N/A
IA-4724
https://www.sec.gov/litigation/admin/2017/33-10384.pdf
33-10384
34-81071
IC-32721
3-18056
2017-06-30
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Bantry Bay Capital, LLC
Sexton, Timothy F. Jr.
N/A
IC-32711
https://www.sec.gov/rules/ic/2017/ic-32711.pdf
812-14703
2017-06-26
Order
Order
Dreyfus ETF Trust, et al.
N/A
IC-32712
https://www.sec.gov/rules/ic/2017/ic-32712.pdf
812-14783
2017-06-27
Notice of Application
Notice
Nationwide Fund Advisors, et al.
http://www.federalregister.gov/citation/82-FR-30920
82-FR-30920
IC-32713
https://www.sec.gov/rules/ic/2017/ic-32713.pdf
813-00386
2017-06-27
Notice of Application
Notice
Boston Consulting Group, Inc. and Green Falcon Investors I, L.P
http://www.federalregister.gov/citation/82-FR-30926
82-FR-30926
IC-32714
https://www.sec.gov/litigation/opinions/2017/33-10374.pdf
33-10374
34-81041
IA-4719
3-17253
2017-06-28
Extension Order
Order
Winkelmann, James A. Sr.
Blue Ocean Portfolios, LLC
N/A
IC-32715
https://www.sec.gov/litigation/opinions/2017/33-10375.pdf
33-10375
34-81043
IA-4720
3-16801
2017-06-28
Stay Order
Order
Bennett, Dawn J.
Bennett Group Financial Services, LLC
N/A
IC-32716
https://www.sec.gov/litigation/admin/2017/ia-4721.pdf
IA-4721
3-18055
2017-06-29
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Mansour, Bassem
Resilience Management, LLC
Ammar, George
N/A
IC-32717
https://www.sec.gov/rules/icdereg/2017/ic-32717.pdf
811-22869
2017-06-30
Notice of Applications for Deregistration
Notice
SunAmerica Goldman Sachs Diversified Yield Fund, Inc.
http://www.federalregister.gov/citation/82-FR-31369
82-FR-31369
IC-32718
https://www.sec.gov/rules/ic/2017/ic-32718.pdf
812-14649
2017-06-30
Notice of Application
Notice
Transamerica ETF Trust, et al.
http://www.federalregister.gov/citation/82-FR-31130
82-FR-31130
IC-32719
https://www.sec.gov/litigation/opinions/2017/33-10382.pdf
33-10382
34-81059
3-15514
2017-06-30
Order Scheduling Oral Argument
Order
Chiappone, Frank
Guzzetti, Andrew G.
Lex, William F.
Livingston, Thomas E.
Mayer, Brian T.
Rabinovich, Phillip S.
N/A
IC-32720
https://www.sec.gov/litigation/opinions/2017/33-10383.pdf
33-10383
34-81066
IA-4723
3-15255
2017-06-30
Order Scheduling Oral Argument
Order
John Thomas Capital Management Group LLC d/b/a Patriot28 LLC
Jarkesy, George R. JR.
N/A
IC-32721
https://www.sec.gov/litigation/admin/2017/33-10384.pdf
33-10384
34-81071
IA-4724
3-18056
2017-06-30
Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Order
Bantry Bay Capital, LLC
Sexton, Timothy F. Jr.
N/A
ID-1150
https://www.sec.gov/alj/aljdec/2017/id1150bpm.pdf
3-17935
2017-06-29
Initial Decision on Default as to Biovest International, Inc. June 29, 2017
Other
Biovest International, Inc.,
Olie, Inc. (n/k/a Syndicate Business Development Corp.
StarGate Entertainment, Inc.,
Three Sigma Ventures, Inc.
N/A
LR-23868
https://www.sec.gov/litigation/litreleases/2017/lr23868.htm
17-CV-11179
17-CV-11178
17-CV-11180
2017-06-27
Lit Release
Curran, Maureen E.
Altvater, Harold L.
Dubuc, Susan L.
N/A
LR-23869
https://www.sec.gov/litigation/litreleases/2017/lr23869.htm
17-CV-22407
2017-06-28
Lit Release
Lovera, Diana P.
N/A
LR-23870
https://www.sec.gov/litigation/litreleases/2017/lr23870.htm
17-CV-4950
2017-06-30
Lit Release
Haddow, Renwick
Bar Works, Inc.
Bar Works 7th Avenue, Inc.
Bitcoin Store, Inc.
Bar Works Capital, LLC
N/A
LR-23871
https://www.sec.gov/litigation/litreleases/2017/lr23871.htm
2017-06-30
Lit Release
Afsarpour, Farhang
Sabrdaran, Sasan
N/A