Final Rule/Interim Final Temporary Rule

2017-10-31 117 14 2017-09-25 2017-09-29 Securities Act of 1933 33 10416 10422 Securities Exchange Act of 1934 34 81694 81789 Administrative Proceedings AP 5088 5115 Investment Advisers Act of 1940 IA 4774 4783 Investment Company Act of 1940 IC 32832 32846 Initial Decisions (ALJ) ID 1182 1182 Litigation Releases LR 23943 23955 Accounting and Auditing Enforcement Release AAER 3900 3900 33-10416 https://www.sec.gov/rules/interim/2017/33-10416.pdf 2017-09-27 Final Rule/Interim Final Temporary Rule Rulemaking 33 Act; New Rule 202T of Reg Crowdfunding; 33 Act; New Rule 257T of Reg A http://www.federalregister.gov/citation/82-FR-45106 82-FR-45106 33-10417 https://www.sec.gov/litigation/admin/2017/33-10417.pdf 34-81742 3-18228 2017-09-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Alere, Inc. N/A 33-10418 https://www.sec.gov/litigation/admin/2017/33-10418.pdf 34-81750 3-18230 2017-09-28 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Success Holding Group International, Inc. N/A 33-10419 https://www.sec.gov/litigation/admin/2017/33-10419.pdf 34-81752 3-18233 2017-09-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Torres, Laurence M. N/A 33-10420 https://www.sec.gov/litigation/opinions/2017/33-10420.pdf 3-16594 2017-09-28 Order Dismissing Proceedings/Opinion Order Equity Trust Company N/A 33-10421 https://www.sec.gov/alj/aljdec/2017/33-10421.pdf 34-81761 IC-32843 3-16755 2017-09-28 Notice that Initial Decision Has Become Final Notice Ahmed, Fuad N/A 33-10422 https://www.sec.gov/litigation/admin/2017/33-10422.pdf 34-81769 IC-32844 3-18240 2017-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Caravette, Daniel C. N/A 34-81694 https://www.sec.gov/litigation/admin/2017/34-81694.pdf 3-18204 2017-09-25 Order Instituting Administrative Proceedings and Notice of Hearing Order GO EZ Corporation Green St. Energy, Inc. Hyperview Ltd. Imogo Mobile Technologies Corp. N/A 34-81695 https://www.sec.gov/litigation/admin/2017/34-81695.pdf 3-15654 2017-09-25 Order Directing Disbursement of Fair Fund Order G-Trade Services LLC Convergex Global Markets Limited Convergex Execution Solutions LLC N/A 34-81696 https://www.sec.gov/litigation/admin/2017/34-81696.pdf 3-16175 2017-09-25 Order Approving Plan of Distribution, Appointing A Distribution Plan Administrator, and Authorizing Transfer of Fair Fund Funds Order Scott, James Doug Meissner, Kenneth C. Tomich, Mark S. "Mike" N/A 34-81697 https://www.sec.gov/rules/sro/nasdaq/2017/34-81697.pdf SR-NASDAQ-2017-095 2017-09-25 Notice / Immediate Effectiveness/to Expand the Features of the Enterprise License set Forth at Rule 7047 Notice The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-45639 82-FR-45639 34-81698 https://www.sec.gov/litigation/admin/2017/34-81698.pdf 3-12540 2017-09-25 Order Directing Disbursement of Fair Fund Order Fred Alger Management, Inc. Fred Alger & Company, Incorporated N/A 34-81699 https://www.sec.gov/rules/sro/nysearca/2017/34-81699.pdf SR-NYSEARCA-2017-111 2017-09-25 Notice /to List and Trade Shares of the GraniteShares Silver Trust under NYSE Arca Equities Rule 8.201 Notice NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-45634 82-FR-45634 34-81700 https://www.sec.gov/litigation/admin/2017/34-81700.pdf 3-11935 2017-09-25 Order Authorizing The Transfer To The U.S. Treasury Of The Remaining Funds And Any Funds Returned To The Distribution Fund In The Future, Discharging The Fund Administrator, And Terminating The Distribution Fund Order Smith Barney Fund Management LLC Citigroup Global Markets, Inc. N/A 34-81701 https://www.sec.gov/litigation/admin/2017/34-81701.pdf 3-11393 2017-09-25 Order Authorizing The Transfer To The U.S. Treasury Of The Remaining Funds And Any Funds Returned To The Distribution Fund In The Future, Discharging The Fund Administrator, And Terminating The Distribution Fund Order Massachusetts Financial Services Co. Ballen, John W. Parke, Kevin R. N/A 34-81702 https://www.sec.gov/litigation/admin/2017/34-81702.pdf 3-15098 2017-09-25 Order Directing Disbursement Of The First Payment Default Practice Fair Fund Order DLJ Mortgage Capital, Inc. Credit Suisse Securities USA (LLC) Credit Suisse First Boston Mortgage Acceptance Corp. Credit Suisse First Boston Mortgage Securities Corp. Asset Backed Securities Corporation N/A 34-81703 https://www.sec.gov/litigation/admin/2017/34-81703.pdf 3-15098 2017-09-25 Order Directing Disbursement Of The Bulk Settlement Practice Fair Fund Order DLJ Mortgage Capital, Inc. Credit Suisse Securities USA (LLC) Credit Suisse First Boston Mortgage Acceptance Corp. Credit Suisse First Boston Mortgage Securities Corp. Asset Backed Securities Corporation N/A 34-81704 https://www.sec.gov/litigation/admin/2017/34-81704.pdf 3-18206 2017-09-25 Order Instituting Administrative Proceedings and Notice of Hearing Order IN Media Corporation New Media Insight Group, Inc. Pacific Sands, Inc. Saleen Automotive, Inc. N/A 34-81705 https://www.sec.gov/litigation/suspensions/2017/34-81705.pdf 500-1 2017-09-25 Trading Suspension Order IN Media Corporation New Media Insight Group, Inc. Pacific Sands, Inc. Saleen Automotive, Inc. N/A 34-81706 https://www.sec.gov/litigation/admin/2017/34-81706.pdf 3-18207 2017-09-25 Order Instituting Administrative Proceedings and Notice of Hearing Order KollagenX Corp. Microlin Bio, Inc. Vaccinogen, Inc. Virtus Oil and Gas Corp. N/A 34-81707 https://www.sec.gov/litigation/admin/2017/34-81707.pdf 3-18208 2017-09-25 Order Instituting Administrative Proceedings and Notice of Hearing Order HydroPhi Technologies Group, Inc. iTalk Inc. Soellingen Advisory Group, Inc. U.S. Rare Earths, Inc. N/A 34-81708 https://www.sec.gov/litigation/suspensions/2017/34-81708.pdf 500-1 2017-09-25 Trading Suspension Order KollagenX Corp. Microlin Bio, Inc. Vaccinogen, Inc. Virtus Oil and Gas Corp. N/A 34-81709 https://www.sec.gov/litigation/suspensions/2017/34-81709.pdf 500-1 2017-09-25 Trading Suspension Order HydroPhi Technologies Group, Inc. iTalk Inc. Soellingen Advisory Group, Inc. U.S. Rare Earths, Inc. N/A 34-81710 https://www.sec.gov/litigation/suspensions/2017/34-81710.pdf 500-1 2017-09-25 Trading Suspension Order Icon Vapor, Inc. POWRtec International Corp. Silvergraph International, Inc. Walter Energy, Inc. (n/k/a New WEI, Inc.) N/A 34-81711 https://www.sec.gov/litigation/admin/2017/34-81711.pdf 3-18209 2017-09-25 Order Instituting Administrative Proceedings and Notice of Hearing Order Feng, Hui Law Offices of Feng & Associates, P.C. N/A 34-81712 https://www.sec.gov/litigation/admin/2017/34-81712.pdf 3-18210 2017-09-25 Order Instituting Administrative Proceedings and Notice of Hearing Order Icon Vapor, Inc. POWRtec International Corp. Silvergraph International, Inc. Walter Energy, Inc. (n/k/a New WEI, Inc.) N/A 34-81713 https://www.sec.gov/rules/sro/nysearca/2017/34-81713.pdf SR-NYSEARCA-2017-109 2017-09-25 Notice / Immediate Effectiveness/Amending NYSE Arca Rule 14.2 to Make Technical and Conforming Updates in Connection With the Recent Merger of NYSE Arca Equities, Inc. With and Into the Exchange Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-45647 82-FR-45647 34-81714 https://www.sec.gov/rules/sro/cboe/2017/34-81714.pdf SR-CBOE-2017-062 2017-09-25 Notice / Immediate Effectiveness/to Permit the Exchange to Publish End-of-Day Indicative Values in SPX After the Close of Regular Trading Hours in SPX Notice Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-45650 82-FR-45650 34-81715 https://www.sec.gov/rules/sro/batsbzx/2017/34-81715.pdf SR-BATSBZX-2017-07 2017-09-25 Notice / Withdrawal /as Modified by Amendment No. 1, to List and Trade Under BZX Rule 14.11(c)(4) the Shares of the VanEck Vectors AMT-Free National Municipal Index ETF of VanEck Vectors ETF Trust Notice Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-45653 82-FR-45653 34-81716 https://www.sec.gov/rules/sro/nyseamer/2017/34-81716.pdf SR-NYSEAMER-2017-10 2017-09-25 Notice / Immediate Effectiveness/to Amend Rule 928NY to Allow Certain Order Types to Be Excluded from the Risk Limitation Mechanism Notice NYSE American LLC http://www.federalregister.gov/citation/82-FR-45653 82-FR-45653 34-81717 https://www.sec.gov/rules/sro/nysearca/2017/34-81717.pdf SR-NYSEARCA-2017-96 2017-09-25 Notice / Immediate Effectiveness/to Amend Rule 6.40-O to Allow Certain Order Types to Be Excluded from the Risk Limitation Mechanism Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-45631 82-FR-45631 34-81718 https://www.sec.gov/litigation/admin/2017/34-81718.pdf 3-18211 2017-09-26 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Chamroonrat, Naris N/A 34-81719 https://www.sec.gov/litigation/admin/2017/34-81719.pdf 3-18216 2017-09-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order LBMZ Securities, Inc. f/k/a Zacks & Co. N/A 34-81720 https://www.sec.gov/rules/sro/nms/2017/34-81720.pdf 4-631 2017-09-26 Notice / Immediate Effectiveness/Fifteenth Amendment to the National Market System Plan to Address Extraordinary Market Volatility by Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. Notice Bats BZX Exchange, Inc. Bats BYX Exchange, Inc. Bats EDGA Exchange, Inc. Bats EDGX Exchange, Inc. Chicago Stock Exchange, Inc. Financial Industry Regulatory Authority, Inc. Investors Exchange LLC NASDAQ BX, Inc. NASDAQ PHLX LLC The Nasdaq Stock Market LLC NYSE National, Inc. New York Stock Exchange LLC NYSE American LLC NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-45922 82-FR-45922 34-81721 https://www.sec.gov/rules/sro/nysearca/2017/34-81721.pdf SR-NYSEARCA-2017-85 2017-09-26 Notice / Designation of Longer Period for Commission Action/to Amend NYSE Arca Equities Rule 8.700 to Reference EURO STOXX 50 Volatility Index Futures and to List and Trade Shares of the ProShares European Volatility Futures ETF Notice NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-45922 82-FR-45922 34-81722 https://www.sec.gov/rules/sro/finra/2017/34-81722.pdf SR-FINRA-2017-029 2017-09-26 Notice / Immediate Effectiveness/to Delay the Implementation Date of Certain Amendments to FINRA Rule 4210 Approved Pursuant to SR-FINRA-2015-036 Notice Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/82-FR-45915 82-FR-45915 34-81723 https://www.sec.gov/litigation/admin/2017/34-81723.pdf 3-18217 2017-09-26 Order Instituting Administrative Proceedings and Notice of Hearing Order Infinity Real Estate Holdings Corporation International Industrial Enterprise, Inc. Scor International Foods, Inc. Xhibit Corp. N/A 34-81724 https://www.sec.gov/litigation/admin/2017/34-81724.pdf 3-18218 2017-09-26 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Speight, Cecil Franklin N/A 34-81725 https://www.sec.gov/rules/sro/iex/2017/34-81725.pdf SR-IEX-2017-30 2017-09-26 Notice / Immediate Effectiveness/Related to Listing Fees Notice Investors Exchange LLC http://www.federalregister.gov/citation/82-FR-45917 82-FR-45917 34-81726 https://www.sec.gov/litigation/admin/2017/34-81726.pdf 3-18219 2017-09-26 Order Instituting Administrative Proceedings and Notice of Hearing Order Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation N/A 34-81727 https://www.sec.gov/litigation/suspensions/2017/34-81727.pdf 500-1 2017-09-26 Trading Suspension Order Next Galaxy Corp. Novamex Energy, Inc. Occidental Development Group, Inc. Sable Natural Resources Corporation N/A 34-81728 https://www.sec.gov/litigation/admin/2017/34-81728.pdf 3-18220 2017-09-26 Order Instituting Administrative Proceedings and Notice of Hearing Order Hydrogen Future Corporation Liberty Energy Corp. Omega Brands, Inc. Optionable Inc. N/A 34-81729 https://www.sec.gov/litigation/suspensions/2017/34-81729.pdf 500-1 2017-09-26 Trading Suspension Order Hydrogen Future Corporation Liberty Energy Corp. Omega Brands, Inc. Optionable Inc. N/A 34-81730 https://www.sec.gov/litigation/suspensions/2017/34-81730.pdf 500-1 2017-09-26 Trading Suspension Order Guardian 8 Holdings Idaho North Resources Corporation Mecklermedia Corporation Verde Science, Inc. N/A 34-81731 https://www.sec.gov/litigation/admin/2017/34-81731.pdf 3-18221 2017-09-26 Order Instituting Administrative Proceedings and Notice of Hearing Order Guardian 8 Holdings Idaho North Resources Corporation Mecklermedia Corporation Verde Science, Inc. N/A 34-81732 https://www.sec.gov/litigation/admin/2017/34-81732.pdf 3-18222 2017-09-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Spina, Louis J. N/A 34-81733 https://www.sec.gov/rules/sro/nasdaq/2017/34-81733.pdf SR-NASDAQ-2017-081 2017-09-27 Notice / Withdrawal /to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810 Notice The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-45921 82-FR-45921 34-81734 https://www.sec.gov/rules/sro/batsbzx/2017/34-81734.pdf SR-BATSBZX-2017-50 2017-09-27 Notice / Withdrawal /to Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12 Notice Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-46103 82-FR-46103 34-81735 https://www.sec.gov/litigation/admin/2017/34-81735.pdf 3-18223 2017-09-27 Order Instituting Administrative Proceedings and Notice of Hearing Order Dearborn Bancorp, Inc. Greentech Mining International, Inc. South West Coast Senior Living Corp. Hoverink International Holdings, Inc. N/A 34-81736 https://www.sec.gov/litigation/admin/2017/34-81736.pdf 3-18224 2017-09-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Jensen, Brian A. CPA N/A 34-81737 https://www.sec.gov/rules/sro/nysearca/2017/34-81737.pdf SR-NYSEARCA-2017-112 2017-09-27 Notice /to List and Trade Shares of the GraniteShares Palladium Trust under NYSE Arca Rule 8.201-E Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-46106 82-FR-46106 34-81738 https://www.sec.gov/rules/sro/nysearca/2017/34-81738.pdf SR-NYSEARCA-2017-84 2017-09-27 Notice / Withdrawal /to Extend the Implementation Date For Certain Changes to the NYSE Arca Rule 5 and Rule 8 Series Notice NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-46111 82-FR-46111 34-81739 https://www.sec.gov/rules/sro/miax/2017/34-81739.pdf SR-MIAX-2017-39 2017-09-27 Order/to Adopt Rules Relating to Trading in Index Options Order Miami International Securities Exchange LLC http://www.federalregister.gov/citation/82-FR-46111 82-FR-46111 34-81740 https://www.sec.gov/litigation/admin/2017/34-81740.pdf AAER-3900 3-18225 2017-09-27 Order of Suspension Order Stewart, Robert K. N/A 34-81741 https://www.sec.gov/litigation/admin/2017/34-81741.pdf IA-4779 3-18226 2017-09-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Krishnamoorthy, Avaneesh N/A 34-81742 https://www.sec.gov/litigation/admin/2017/33-10417.pdf 33-10417 3-18228 2017-09-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Alere, Inc. N/A 34-81743 https://www.sec.gov/litigation/admin/2017/34-81743.pdf 3-18229 2017-09-28 Order Instituting Administrative Proceedings and Notice of Hearing Order Hallas, Demitrios N/A 34-81744 https://www.sec.gov/litigation/admin/2017/34-81744.pdf 3-18227 2017-09-28 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Zhang , Fengjiu Kong, Xianli N/A 34-81745 https://www.sec.gov/rules/sro/dtc/2017/34-81745.pdf SR-DTC-2017-014 SR-NSCC-2017-013 SR-FICC-2017-017 2017-09-28 Order/to Adopt the Clearing Agency Operational Risk Management Framework Order The Depository Trust Company National Securities Clearing Corporation Fixed Income Clearing Corporation http://www.federalregister.gov/citation/82-FR-46332 82-FR-46332 34-81746 https://www.sec.gov/rules/sro/nysearca/2017/34-81746.pdf SR-NYSEARCA-2017-69 2017-09-28 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of ProShares QuadPro Funds under Commentary .02 to NYSE Arca Equities Rule 8.200 Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-46315 82-FR-46315 34-81747 https://www.sec.gov/rules/sro/nysearca/2017/34-81747.pdf SR-NYSEARCA-2017-06 2017-09-28 Notice / Withdrawal /as Modified by Amendment No. 2, Relating to the Listing and Trading of Shares of the Bitcoin Investment Trust under NYSE Arca Equities Rule 8.201 Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-46338 82-FR-46338 34-81748 https://www.sec.gov/rules/sro/batsedga/2017/34-81748.pdf SR-BATSEDGA-2017-25 2017-09-28 Notice / Immediate Effectiveness/to Rule 11.7, Opening Process, and Rule 13.4, Usage of Data Feeds, to Reflect the Name Change of NYSE MKT to NYSE American Notice Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/82-FR-46317 82-FR-46317 34-81749 https://www.sec.gov/rules/sro/batsbyx/2017/34-81749.pdf SR-BATSBYX-2017-23 2017-09-28 Notice / Immediate Effectiveness/to Rule 11.23, Opening Process, and Rule 11.26, Usage of Data Feeds, to Reflect the Name Change of NYSE MKT to NYSE American Notice Bats BYX Exchange, Inc http://www.federalregister.gov/citation/82-FR-46323 82-FR-46323 34-81750 https://www.sec.gov/litigation/admin/2017/33-10418.pdf 33-10418 3-18230 2017-09-28 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Success Holding Group International, Inc. N/A 34-81751 https://www.sec.gov/litigation/admin/2017/34-81751.pdf 3-18231 2017-09-28 Order Instituting Administrative Proceedings, Making Findings, Accepting Settlement, Implementing Settlement, and Staying Proceeding to Implement Settlement Other Success Holding Group International, Inc. N/A 34-81752 https://www.sec.gov/litigation/admin/2017/33-10419.pdf 33-10419 3-18233 2017-09-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Torres, Laurence M. N/A 34-81753 https://www.sec.gov/rules/sro/miax/2017/34-81753.pdf SR-MIAX-2017-41 2017-09-28 Notice / Immediate Effectiveness/to Amend MIAX Options Rule 529, Order Routing to Other Exchanges Notice Miami International Securities Exchange LLC http://www.federalregister.gov/citation/82-FR-46315 82-FR-46315 34-81754 https://www.sec.gov/rules/sro/phlx/2017/34-81754.pdf SR-PHLX-2017-74 2017-09-28 Notice /to Introduce the Intellicator Analytic Tool Notice NASDAQ PHLX LLC http://www.federalregister.gov/citation/82-FR-46319 82-FR-46319 34-81755 https://www.sec.gov/rules/sro/nyseamer/2017/34-81755.pdf SR-NYSEAMER-2017-19 2017-09-28 Notice / Immediate Effectiveness/to Amend NYSE American Rule 5.2E (j)(6) Notice NYSE American LLC http://www.federalregister.gov/citation/82-FR-46325 82-FR-46325 34-81756 https://www.sec.gov/rules/sro/gemx/2017/34-81756.pdf SR-GEMX-2017-40 2017-09-28 Notice / Immediate Effectiveness/to Amend the Schedule of Fees to Make It Clear That the Nasdaq GEMX Trades Feed Is a Free Offering of the Exchange Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/82-FR-46313 82-FR-46313 34-81757 https://www.sec.gov/litigation/admin/2017/34-81757.pdf 3-18236 2017-09-28 Order Instituting Administrative Proceedings and Notice of Hearing Order Jones, Bobby D. N/A 34-81758 https://www.sec.gov/litigation/admin/2017/34-81758.pdf IA-4782 3-18237 2017-09-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Kluge, Jeffrey N/A 34-81759 https://www.sec.gov/litigation/opinions/2017/34-81759.pdf 3-16900 2017-09-28 Opinion / Order Sustaining Disciplinary Action Taken by FINRA Order Ahmed, Fuad Success Trade Securities, Inc. N/A 34-81760 https://www.sec.gov/rules/other/2017/34-81760.pdf IC-32842 2017-09-28 Order/for Regulatory Relief for Investors, Companies, and Securities Firms Affected by Hurricane Harvey, Hurricane Irma, or Hurricane Maria Order Regulatory Relief for Investors, Companies, and Securities Firms Affected by Hurricane Harvey, Hurricane Irma, or Hurricane Maria http://www.federalregister.gov/citation/82-FR-46335 82-FR-46335 34-81761 https://www.sec.gov/alj/aljdec/2017/33-10421.pdf 33-10421 IC-32843 3-16755 2017-09-28 Notice that Initial Decision Has Become Final Notice Ahmed, Fuad N/A 34-81762 https://www.sec.gov/litigation/admin/2017/34-81762.pdf 3-18238 2017-09-29 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Patel, Pranav N/A 34-81763 https://www.sec.gov/litigation/admin/2017/34-81763.pdf 3-18239 2017-09-29 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Petrossi, Louis N/A 34-81764 https://www.sec.gov/rules/sro/chx/2017/34-81764.pdf SR-CHX-2017-13 2017-09-29 Notice / Immediate Effectiveness/Related to Sponsored Access Notice Chicago Stock Exchange, Inc http://www.federalregister.gov/citation/82-FR-46561 82-FR-46561 34-81765 https://www.sec.gov/rules/sro/mrx/2017/34-81765.pdf SR-MRX-2017-19 2017-09-29 Notice / Immediate Effectiveness/to Amend Rule 716(c) on the Block Order Mechanism Notice Nasdaq MRX, LLC http://www.federalregister.gov/citation/82-FR-46550 82-FR-46550 34-81766 https://www.sec.gov/rules/sro/nysearca/2017/34-81766.pdf SR-NYSEARCA-2017-86 2017-09-29 Notice /to List and Trade Shares of the JPMorgan Managed Futures ETF under NYSE Arca Rule 8.600-E Notice NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-46566 82-FR-46566 34-81767 https://www.sec.gov/rules/sro/nysearca/2017/34-81767.pdf SR-NYSEARCA-2017-114 2017-09-29 Notice / Immediate Effectiveness/to Amend the NYSE Arca Options Fee Schedule Notice NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-46580 82-FR-46580 34-81768 https://www.sec.gov/rules/sro/c2/2017/34-81768.pdf SR-C2-2017-025 2017-09-29 Notice / Immediate Effectiveness/to Amend Rule 6.45 Relating to Disaster Recovery Notice C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-46554 82-FR-46554 34-81769 https://www.sec.gov/litigation/admin/2017/33-10422.pdf 33-10422 IC-32844 3-18240 2017-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Caravette, Daniel C. N/A 34-81770 https://www.sec.gov/rules/sro/gemx/2017/34-81770.pdf SR-GEMX-2017-43 2017-09-29 Notice / Immediate Effectiveness/to Amend Rule 716(c) on the Block Order Mechanism Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/82-FR-46564 82-FR-46564 34-81771 https://www.sec.gov/rules/exorders/2017/34-81771.pdf TP 17-11 2017-09-29 Order/Limited Exemptions from Exchange Act rule 10b-17 and Rules 101 and 102 of Regulation M to VanEck Vectors NDR CMG Long/ Flat Allocation ETF Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Order VanEck Vectors NDR CMG Long/Flat Allocation ETF http://www.federalregister.gov/citation/82-FR-46546 82-FR-46546 34-81772 https://www.sec.gov/rules/sro/ise/2017/34-81772.pdf SR-ISE-2017-84 2017-09-29 Notice / Immediate Effectiveness/to Amend Rule 716(c) on the Block Order Mechanism Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/82-FR-46576 82-FR-46576 34-81773 https://www.sec.gov/rules/sro/nasdaq/2017/34-81773.pdf SR-NASDAQ-2017-101 2017-09-29 Notice / Immediate Effectiveness/to Extend the Implementation Date for Certain Changes to the Rule 5700 Series and Rule 5810 Notice NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-46581 82-FR-46581 34-81774 https://www.sec.gov/rules/sro/nscc/2017/34-81774.pdf SR-NSCC-2017-015 2017-09-29 Order/to Amend and Clarify a Margin Charge Relating to CNS Fails Positions Order National Securities Clearing Corporation http://www.federalregister.gov/citation/82-FR-46558 82-FR-46558 34-81775 https://www.sec.gov/rules/sro/nysearca/2017/34-81775.pdf SR-NYSEARCA-2017-115 2017-09-29 Notice / Immediate Effectiveness/to Extend the Implementation Date for Certain Changes to the NYSE Arca Rule 5 and Rule 8 Series Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-46552 82-FR-46552 34-81776 https://www.sec.gov/rules/sro/nyse/2017/34-81776.pdf SR-NYSE-2017-49 2017-09-29 Notice / Immediate Effectiveness/to Make Technical and Conforming Changes to Section 703.02 of the NYSE Listed Company Manual Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-46548 82-FR-46548 34-81777 https://www.sec.gov/rules/sro/batsbzx/2017/34-81777.pdf SR-BATSBZX-2017-63 2017-09-29 Notice / Immediate Effectiveness/to Extend the Implementation Date For Certain Changes to Exchange Rules 14.11 and 14.12 Notice Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-46583 82-FR-46583 34-81778 https://www.sec.gov/litigation/opinions/2017/34-81778.pdf 3-17254 2017-09-29 Opinion Opinion Meyers Associates, L.P. Meyers, Bruce N/A 34-81779 https://www.sec.gov/litigation/opinions/2017/34-81779.pdf 3-17925 2017-09-29 Opinion / Order Sustaining Disciplinary Action Taken By FINRA Order Elgart, David Adam N/A 34-81780 https://www.sec.gov/alj/aljdec/2017/34-81780.pdf IA-4783 3-17210 2017-09-29 Order Dismissing Review Proceedings and Notice of Finality Order White , Paul Leon III N/A 34-81781 https://www.sec.gov/rules/sro/finra/2017/34-81781.pdf SR-FINRA-2017-027 2017-09-29 Order/Relating to Capital Acquisition Broker Rules 203 (Engaging in Distribution and Solicitation Activities with Government Entities) and 458 (Books and Records Requirements for Government Distribution and Solicitation Activities) Order Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/82-FR-46559 82-FR-46559 34-81782 https://www.sec.gov/rules/sro/nysenat/2017/34-81782.pdf SR-NYSENAT-2017-04 2017-09-29 Notice / Immediate Effectiveness/to Adopt Rules to Establish a Rule Numbering Framework in Connection with the Re-Launch of Trading on the Exchange Notice NYSE National, Inc. http://www.federalregister.gov/citation/82-FR-46586 82-FR-46586 34-81783 https://www.sec.gov/rules/sro/nyseamer/2017/34-81783.pdf SR-NYSEAMER-2017-05 2017-09-29 Order/to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 146 of the NYSE American Company Guide Order NYSE American LLC http://www.federalregister.gov/citation/82-FR-46575 82-FR-46575 34-81784 https://www.sec.gov/litigation/opinions/2017/34-81784.pdf 3-17752 2017-09-29 Opinion / Order Dismissing Application for Review Order Schwartz, Michael David N/A 34-81785 https://www.sec.gov/litigation/opinions/2017/34-81785.pdf 3-17939 2017-09-29 Opinion / Order Dismissing Appeal of Action Taken By Registered Securities Association Order McBarron Capital LLC N/A 34-81786 https://www.sec.gov/litigation/opinions/2017/34-81786.pdf 3-17734 2017-09-29 Opinion / Order Remanding Proceedings to Registered Securities Association Order Sequeira , Keith Patrick N/A 34-81787 https://www.sec.gov/litigation/opinions/2017/34-81787.pdf 3-18069 2017-09-29 Order Dismissing Application for Review Order Sparks, Michael A. N/A 34-81788 https://www.sec.gov/litigation/opinions/2017/34-81788.pdf 3-17963 2017-09-29 Opinion / Order Dismissing an Application for Review of FINRA Action Order Zipper, Bruce M. N/A 34-81789 https://www.sec.gov/litigation/opinions/2017/34-81789.pdf 3-17767 2017-09-29 Order Denying Reopening of Dismissed Review Proceeding Order McBarron Capital LLC N/A AP-5088 https://www.sec.gov/alj/aljorders/2017/ap-5088.pdf 3-18199 2017-09-25 Order Scheduling Hearing and Designating Presiding Judge Order Aervision Holdings, Inc. Amalgamated Pictures Corp. American Patriot Financial Group, Inc. Asia8, Inc. N/A AP-5089 https://www.sec.gov/alj/aljorders/2017/ap-5089.pdf 3-18162 2017-09-25 Order to Show Cause and Postponement Order Order Century Acquisition Corp. Eastern Acquisition Corp. N/A AP-5090 https://www.sec.gov/alj/aljorders/2017/ap-5090.pdf 3-18201 2017-09-25 Order Scheduling Hearing and Designating Presiding Judge Order Hampshire Group, Limited United Mortgage Trust, Inc. 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N/A AP-5114 https://www.sec.gov/alj/aljorders/2017/ap-5114.pdf 3-18190 2017-09-29 Order Postponing Hearing and Scheduling Prehearing Conference Order Immunoclin Corp. Intelligent Living America, Inc. Ivanhoe Energy, Inc. N/A AP-5115 https://www.sec.gov/alj/aljorders/2017/ap-5115.pdf 3-18207 2017-09-29 Order Finding Service and Postponing Hearing Other KollagenX Corp. Microlin Bio, Inc. Vaccinogen, Inc. Virtus Oil and Gas Corp. N/A IA-4774 https://www.sec.gov/litigation/admin/2017/ia-4774.pdf 3-18205 2017-09-25 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Aletheia Research and Management, Inc. N/A IA-4775 https://www.sec.gov/litigation/admin/2017/ia-4775.pdf 3-18212 2017-09-26 Order Instituting Administrative Proceedings and Notice of Hearing Order Keenan, Brian N/A IA-4776 https://www.sec.gov/litigation/admin/2017/ia-4776.pdf 3-18213 2017-09-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order TRH Financial LLC (dba Hawkins Wealth Management) N/A IA-4777 https://www.sec.gov/litigation/admin/2017/ia-4777.pdf 3-18214 2017-09-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order 360 Financial, Inc. N/A IA-4778 https://www.sec.gov/litigation/admin/2017/ia-4778.pdf 3-18215 2017-09-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order VisionPoint Advisory Group, LLC N/A IA-4779 https://www.sec.gov/litigation/admin/2017/34-81741.pdf 34-81741 3-18226 2017-09-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Krishnamoorthy, Avaneesh N/A IA-4780 https://www.sec.gov/litigation/admin/2017/ia-4780.pdf 3-18234 2017-09-28 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order SIX Financial Information USA Inc. N/A IA-4781 https://www.sec.gov/litigation/admin/2017/ia-4781.pdf IC-32841 3-18235 2017-09-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Beaumont, Perry H. N/A IA-4782 https://www.sec.gov/litigation/admin/2017/34-81758.pdf 34-81758 3-18237 2017-09-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Kluge, Jeffrey N/A IA-4783 https://www.sec.gov/alj/aljdec/2017/34-81780.pdf 34-81780 3-17210 2017-09-29 Order Dismissing Review Proceedings and Notice of Finality Order White , Paul Leon III N/A IC-32832 https://www.sec.gov/rules/ic/2017/ic-32832.pdf 812-14802 2017-09-26 Order Order SL Advisors, LLC N/A IC-32833 https://www.sec.gov/rules/ic/2017/ic-32833.pdf 812-14754 2017-09-26 Order Order American Century International Bond Funds N/A IC-32834 https://www.sec.gov/rules/ic/2017/ic-32834.pdf 813-00387 2017-09-26 Order Order Hudson Advisors L.P., et al. N/A IC-32835 https://www.sec.gov/rules/ic/2017/ic-32835.pdf 812-14797 2017-09-26 Order Order Northern Lights Fund Trust IV N/A IC-32836 https://www.sec.gov/rules/ic/2017/ic-32836.pdf 812-14681 2017-09-27 Notice of Application Notice Wells Fargo Exchange-Traded Funds Trust, et al. http://www.federalregister.gov/citation/82-FR-46116 82-FR-46116 IC-32837 https://www.sec.gov/rules/ic/2017/ic-32837.pdf 812-14770 2017-09-27 Notice of Application Notice PREDEX PREDEX Capital Management, LLC http://www.federalregister.gov/citation/82-FR-46103 82-FR-46103 IC-32838 https://www.sec.gov/rules/ic/2017/ic-32838.pdf 812-14793 2017-09-28 Notice of Application Notice American Century ETF Trust et al. http://www.federalregister.gov/citation/82-FR-46114 82-FR-46114 IC-32839 https://www.sec.gov/rules/ic/2017/ic-32839.pdf 812-14818 2017-09-28 Notice of Application Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/82-FR-46329 82-FR-46329 IC-32840 https://www.sec.gov/litigation/admin/2017/ic-32840.pdf 3-18232 2017-09-28 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Honeysuckle Research Inc. 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N/A IC-32842 https://www.sec.gov/rules/other/2017/34-81760.pdf 34-81760 2017-09-28 Order/for Regulatory Relief for Investors, Companies, and Securities Firms Affected by Hurricane Harvey, Hurricane Irma, or Hurricane Maria Order Regulatory Relief for Investors, Companies, and Securities Firms Affected by Hurricane Harvey, Hurricane Irma, or Hurricane Maria http://www.federalregister.gov/citation/82-FR-46335 82-FR-46335 IC-32843 https://www.sec.gov/alj/aljdec/2017/33-10421.pdf 33-10421 34-81761 3-16755 2017-09-28 Notice that Initial Decision Has Become Final Notice Ahmed, Fuad N/A IC-32844 https://www.sec.gov/litigation/admin/2017/33-10422.pdf 33-10422 34-81769 3-18240 2017-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Caravette, Daniel C. N/A IC-32845 https://www.sec.gov/rules/ic/2017/ic-32845.pdf 812-14726 2017-09-29 Notice of Application Notice Olden Lane Securities LLC http://www.federalregister.gov/citation/82-FR-46579 82-FR-46579 IC-32846 https://www.sec.gov/rules/icdereg/2017/ic-32846.pdf 811-01561 811-05901 811-21960 811-21992 811-06350 811-03165 811-03159 811-03162 811-23030 811-09561 2017-09-29 Notice of Applications for Deregistration Notice Putnam Vista Fund Putnam Investment Grade Municipal Trust Tennenbaum Opportunities Fund V, LLC Tennenbaum Opportunities Partners V, LP Active Assets California Tax-Free Trust Active Assets Government Securities Trust Active Assets Money Trust Active Assets Tax-Free Trust Crow Point Global Dividend Plus Fund Century Capital Management Trust http://www.federalregister.gov/citation/82-FR-46587 82-FR-46587 ID-1182 https://www.sec.gov/alj/aljdec/2017/id1182cff.pdf 3-16462 2017-09-27 Initial Decision Notice Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A LR-23943 https://www.sec.gov/litigation/litreleases/2017/lr23943.htm 17-CV-6917 2017-09-26 Lit Release Napodano, Jason Basrai, Bilal Stirton, Bryce LBMZ Securities, Inc. f/k/a Zacks & Co. N/A LR-23944 https://www.sec.gov/litigation/litreleases/2017/lr23944.htm CV 17-6929 PA 2017-09-27 Lit Release Chen, Edward Chen, Jean Home Paradise Investment Center LLC GH Investment LP GH Design Group, LLC Golden Galaxy LP Mega Home, LLC N/A LR-23945 https://www.sec.gov/litigation/litreleases/2017/lr23945.htm 2:17-CV-07124 2017-09-27 Lit Release Pulier, Eric N/A LR-23946 https://www.sec.gov/litigation/litreleases/2017/lr23946.htm 16-CV-09403-KM-JBC 2017-09-28 Lit Release Chamroonrat, Naris N/A LR-23947 https://www.sec.gov/litigation/litreleases/2017/lr23947.htm 1:17-CV-00971 2017-09-28 Lit Release Diversified Equities Development, Inc. Knight, John C. Diversified Equities Inc. West , Perry D. Esq. New Global Energy, Inc. Welch aka David H. Bryant, David H. Bio-Global Resources, Inc. Bryant aka Marc J. Welch, Marc J. N/A LR-23948 https://www.sec.gov/litigation/litreleases/2017/lr23948.htm 3-18225 2017-09-28 Lit Release Stewart, Robert K. N/A LR-23949 https://www.sec.gov/litigation/litreleases/2017/lr23949.htm 17-CV-5563 2017-09-29 Lit Release Jensen, Brian A. CPA N/A LR-23950 https://www.sec.gov/litigation/litreleases/2017/lr23950.htm 17-CIV-00415 2017-09-29 Lit Release Skerry, Micheal N/A LR-23951 https://www.sec.gov/litigation/litreleases/2017/lr23951.htm 17-CV-00971 2017-09-29 Lit Release Bahgat a/k/a Tarek Bahgat or Tarek Dean Bahgat or , Terry Dean Colangelo, Lauramarie WealthCFO, LLC N/A LR-23952 https://www.sec.gov/litigation/litreleases/2017/lr23952.htm 2:17-CV-07186 2017-09-29 Lit Release Ananda a.k.a. Kumar Ananda, Ananda Kumar Ananda, Vijaya Jayapalan, Anand Nair, Rajni N/A LR-23953 https://www.sec.gov/litigation/litreleases/2017/lr23953.htm 17-CV-07201 2017-09-29 Lit Release McDiarmid, Jason Telford, Kenneth G.C. Stop Sleep Go Inc., fka Interactive Multi-Media Auction Corp. N/A LR-23954 https://www.sec.gov/litigation/litreleases/2017/lr23954.htm 2017-09-29 Lit Release Krishnamoorthy, Avaneesh N/A LR-23955 https://www.sec.gov/litigation/litreleases/2017/lr23955.htm 17-CV-02999 2017-09-29 Lit Release Hallas, Demetrios N/A AAER-3900 https://www.sec.gov/litigation/admin/2017/34-81740.pdf 34-81740 3-18225 2017-09-27 Order of Suspension Order Stewart, Robert K. N/A