Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order

2018-03-09 118 5 2017-12-11 2017-12-15 Securities Act of 1933 33 10445 10447 Securities Exchange Act of 1934 34 82254 82341 Administrative Proceedings AP 5347 5395 Investment Advisers Act of 1940 IA 4826 4827 Investment Company Act of 1940 IC 32939 32940 Litigation Releases LR 24007 24015 Accounting and Auditing Enforcement Release AAER 3916 3916 33-10445 https://www.sec.gov/litigation/admin/2017/33-10445.pdf 3-18304 2017-12-11 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Munchee Inc. N/A 33-10446 https://www.sec.gov/rules/other/2017/33-10446.pdf 34-82280 S7-19-16 2017-12-11 Notice of compliance date Rulemaking Form 10-D Hyperlink Requirements http://www.federalregister.gov/citation/82-FR-58731 82-FR-58731 33-10447 https://www.sec.gov/litigation/opinions/2017/33-10447.pdf 34-82307 3-15211 2017-12-12 Order Scheduling Briefs Order Lorenz, Francis V. N/A 34-82254 https://www.sec.gov/rules/sro/pearl/2017/34-82254.pdf SR-PEARL-2017-20 2017-12-11 Notice / Amendment No./1 to Amend the Fee Schedule Notice MIAX PEARL LLC http://www.federalregister.gov/citation/82-FR-59094 82-FR-59094 34-82255 https://www.sec.gov/rules/sro/pearl/2017/34-82255.pdf SR-PEARL-2017-20 2017-12-11 Notice / Amendment No./2 to Amend the Fee Schedule Notice MIAX PEARL LLC http://www.federalregister.gov/citation/82-FR-59841 82-FR-59841 34-82256 https://www.sec.gov/rules/sro/miax/2017/34-82256.pdf SR-MIAX-2017-18 2017-12-11 Notice / Amendment No./1 to Amend the Fee Schedule Notice Miami International Securities Exchange, LLC; http://www.federalregister.gov/citation/82-FR-59004 82-FR-59004 34-82257 https://www.sec.gov/rules/sro/miax/2017/34-82257.pdf SR-MIAX-2017-18 2017-12-11 Notice / Amendment No./2 to Amend the Fee Schedule Notice Miami International Securities Exchange LLC http://www.federalregister.gov/citation/82-FR-59835 82-FR-59835 34-82258 https://www.sec.gov/rules/sro/iex/2017/34-82258.pdf SR-IEX-2017-16 2017-12-11 Notice / Amendment No./1 to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Investors Exchange LLC http://www.federalregister.gov/citation/82-FR-58917 82-FR-58917 34-82259 https://www.sec.gov/rules/sro/iex/2017/34-82259.pdf SR-IEX-2017-22 2017-12-11 Notice / Amendment No./2 to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Investors Exchange LLC http://www.federalregister.gov/citation/82-FR-59933 82-FR-59933 34-82260 https://www.sec.gov/rules/sro/nyse/2017/34-82260.pdf SR-NYSE-2017-22 2017-12-11 Notice / Filing of Amendment No. /1 Amending the Consolidated Audit Trail Funding Fees Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-59907 82-FR-59907 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SR-BATSEDGA-2017-13 2017-12-11 Notice / Filing of Amendment No. /1 to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Cboe EDGA Exchange, Inc http://www.federalregister.gov/citation/82-FR-58854 82-FR-58854 34-82269 https://www.sec.gov/rules/sro/batsedga/2017/34-82269.pdf SR-BATSEDGA-2017-13 2017-12-11 Notice / Filing of Amendment No. /2 to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Cboe EDGA Exchange, Inc http://www.federalregister.gov/citation/82-FR-59902 82-FR-59902 34-82270 https://www.sec.gov/rules/sro/c2/2017/34-82270.pdf SR-C2-2017-017 2017-12-11 Notice / Amendment No./1 to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Cboe C2 Exchange, Inc. http://www.federalregister.gov/citation/82-FR-59805 82-FR-59805 34-82271 https://www.sec.gov/rules/sro/c2/2017/34-82271.pdf SR-C2-2017-017 2017-12-11 Notice / Amendment No./2 to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Cboe C2 Exchange, Inc. http://www.federalregister.gov/citation/82-FR-59833 82-FR-59833 34-82272 https://www.sec.gov/rules/sro/cboe/2017/34-82272.pdf SR-CBOE-2017-040 2017-12-11 Notice / Filing of Amendment No. /1 to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Cboe Exchange Inc http://www.federalregister.gov/citation/82-FR-59871 82-FR-59871 34-82273 https://www.sec.gov/rules/sro/cboe/2017/34-82273.pdf SR-CBOE-2017-040 2017-12-11 Notice / Filing of Amendment No. /2 to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/82-FR-59683 82-FR-59683 34-82274 https://www.sec.gov/rules/sro/batsbyx/2017/34-82274.pdf SR-BATSBYX-2017-11 2017-12-11 Notice / Filing of Amendment No. /1 to Establish the Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Cboe BYX Exchange, Inc http://www.federalregister.gov/citation/82-FR-59177 82-FR-59177 34-82275 https://www.sec.gov/rules/sro/batsbyx/2017/34-82275.pdf SR-BATSBYX-2017-11 2017-12-11 Notice / Filing of Amendment No. /2 to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Cboe BYX Exchange, Inc http://www.federalregister.gov/citation/82-FR-59721 82-FR-59721 34-82276 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Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/82-FR-59726 82-FR-59726 34-82279 https://www.sec.gov/rules/sro/batsbzx/2017/34-82279.pdf SR-BATSBZX-2017-38 2017-12-11 Notice / Filing of Amendment No. /2/Notice / Amendment No./2 to Amend the Schedule of Fees and Assessments to Adopt a Fee Schedule to Establish Fees for Industry Members Related to the National Market System Plan Governing the Consolidated Audit Trail Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/82-FR-59900 82-FR-59900 34-82280 https://www.sec.gov/rules/other/2017/33-10446.pdf 33-10446 S7-19-16 2017-12-11 Notice of compliance date Rulemaking Form 10-D Hyperlink Requirements http://www.federalregister.gov/citation/82-FR-58731 82-FR-58731 34-82281 https://www.sec.gov/rules/exorders/2017/34-82281.pdf SR-NYSEARCA-2013-107 2017-12-11 Order/Granting an Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Liquidity Program Until June 30, 2018 Order NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-59679 82-FR-59679 34-82282 https://www.sec.gov/litigation/admin/2017/34-82282.pdf IA-4826 3-18305 2017-12-11 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Coastal Equities, Inc. 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N/A 34-82293 https://www.sec.gov/litigation/admin/2017/34-82293.pdf AAER-3916 3-18308 2017-12-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Culpepper, Peter R. CPA N/A 34-82294 https://www.sec.gov/litigation/admin/2017/34-82294.pdf 3-18307 2017-12-12 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Peiffer, William J. N/A 34-82295 https://www.sec.gov/rules/sro/nysearca/2017/34-82295.pdf SR-NYSEARCA-2017-56 2017-12-12 Notice / Order Accelerating /Amendment No. 3, to List and Trade Shares of Twelve Series of Investment Company Units Pursuant to NYSE Arca Rule 5.2-E(j)(3) Notice/Order NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-60056 82-FR-60056 34-82296 https://www.sec.gov/rules/sro/occ-an/2017/34-82296.pdf SR-OCC-2017-806 2017-12-12 Notice of No Objection to Advance Notice/Concerning Liquidity for Same-Day Settlement Notice The Options Clearing Corporation http://www.federalregister.gov/citation/82-FR-59685 82-FR-59685 34-82297 https://www.sec.gov/rules/sro/nyseamer/2017/34-82297.pdf SR-NYSEAMER-2017-36 2017-12-12 Notice / Immediate Effectiveness/to Amend the NYSE American Equities Price List and the NYSE American Options Fee Schedule Relating to Co-location Services to Implement a Fee Change for Fiber Cross Connects Notice NYSE American LLC http://www.federalregister.gov/citation/82-FR-60070 82-FR-60070 34-82298 https://www.sec.gov/rules/sro/nysearca/2017/34-82298.pdf SR-NYSEARCA-2017-135 2017-12-12 Notice / Immediate Effectiveness/to Amend the NYSE Arca Options Fees and Charges Schedule and the NYSE Arca Equities Fees and Charges Schedule Relating to Co-location Services to Implement a Fee Change for Fiber Cross Connects Notice NYSE Arca, Inc http://www.federalregister.gov/citation/82-FR-60082 82-FR-60082 34-82299 https://www.sec.gov/rules/sro/nyse/2017/34-82299.pdf SR-NYSE-2017-63 2017-12-12 Notice / Immediate Effectiveness/to Amend its Price List Relating to Co-location Services to Implement a Fee Change for Fiber Cross Connects Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-60087 82-FR-60087 34-82300 https://www.sec.gov/rules/sro/cboeedgx/2017/34-82300.pdf SR-CBOEEDGX-2017-004 2017-12-12 Notice / Immediate Effectiveness/Related to Fees for Use on the Cboe EDGX Exchange, Inc. Equity Option Platform Notice Cboe EDGX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-60081 82-FR-60081 34-82301 https://www.sec.gov/rules/sro/batsbzx/2017/34-82301.pdf SR-BATSBZX-2017-30 2017-12-12 Notice / Designation of Longer Period for Commission Action/to Permit the Listing and Trading of Managed Portfolio Shares; and to List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF Notice Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-60073 82-FR-60073 34-82302 https://www.sec.gov/rules/sro/nasdaq/2017/34-82302.pdf SR-NASDAQ-2017-126 2017-12-12 Notice / Immediate Effectiveness/to Amend the Exchange Fees at Rules 7023, 7044, 7045 and 7048 to Withdraw Four Rarely-Purchased Products From Sale Notice The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/82-FR-60085 82-FR-60085 34-82303 https://www.sec.gov/rules/sro/cboebyx/2017/34-82303.pdf SR-CBOEBYX-2017-002 2017-12-12 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.9, Primary Pegged Order Notice Cboe BYX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-60073 82-FR-60073 34-82304 https://www.sec.gov/rules/sro/cboebzx/2017/34-82304.pdf SR-CBOEBZX-2017-008 2017-12-12 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.9, Primary Pegged Order Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-60075 82-FR-60075 34-82305 https://www.sec.gov/rules/sro/cboeedga/2017/34-82305.pdf SR-CBOEEDGA-2017-002 2017-12-12 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.8, Order Types Notice Cboe EDGA Exchange, Inc. http://www.federalregister.gov/citation/82-FR-60090 82-FR-60090 34-82306 https://www.sec.gov/rules/sro/cboeedgx/2017/34-82306.pdf SR-CBOEEDGX-2017-002 2017-12-12 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.8, Order Types Notice Cboe EDGX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-60078 82-FR-60078 34-82307 https://www.sec.gov/litigation/opinions/2017/33-10447.pdf 33-10447 3-15211 2017-12-12 Order Scheduling Briefs Order Lorenz, Francis V. N/A 34-82308 https://www.sec.gov/rules/sro/cboe/2017/34-82308.pdf SR-CBOE-2017-077 2017-12-13 Notice / Immediate Effectiveness/Relating to the Fees Schedule Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/82-FR-60259 82-FR-60259 34-82309 https://www.sec.gov/rules/sro/occ/2017/34-82309.pdf SR-OCC-2017-017 2017-12-13 Order/Concerning Liquidity for Same Day Settlement Order Options Clearing Corporation http://www.federalregister.gov/citation/82-FR-60262 82-FR-60262 34-82310 https://www.sec.gov/rules/sro/occ/2017/34-82310.pdf SR-OCC-2017-010 2017-12-13 Order/Relating to The Options Clearing Corporations Default Management Policy Order Options Clearing Corporation http://www.federalregister.gov/citation/82-FR-60265 82-FR-60265 34-82311 https://www.sec.gov/rules/sro/occ/2017/34-82311.pdf SR-OCC-2017-008 2017-12-13 Order/Related to The Options Clearing Corporations Collateral Risk Management Policy Order Options Clearing Corporation http://www.federalregister.gov/citation/82-FR-60252 82-FR-60252 34-82312 https://www.sec.gov/rules/sro/occ/2017/34-82312.pdf SR-OCC-2017-009 2017-12-13 Order/Relating to The Options Clearing Corporation's Counterparty Credit Risk Management Policy Order The Options Clearing Corporation http://www.federalregister.gov/citation/82-FR-60242 82-FR-60242 34-82313 https://www.sec.gov/rules/sro/iceeu/2017/34-82313.pdf SR-ICEEU-2017-013 2017-12-13 Order/Relating to the ICE Clear Europe Procyclicality Framework Order ICE Clear Europe Limited http://www.federalregister.gov/citation/82-FR-60254 82-FR-60254 34-82314 https://www.sec.gov/rules/sro/phlx/2017/34-82314.pdf SR-PHLX-2017-100 2017-12-13 Notice / Immediate Effectiveness/to Amend Chapter VIII of the Phlx Pricing Schedule to Waive Port Fees for New PSX Participants for a Limited Time Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/82-FR-60237 82-FR-60237 34-82315 https://www.sec.gov/rules/sro/box/2017/34-82315.pdf SR-BOX-2017-36 2017-12-13 Notice /to Adopt Rule 7600(i) to Allow Split-price Transactions on the Trading Floor Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/82-FR-60256 82-FR-60256 34-82316 https://www.sec.gov/rules/sro/lchsa/2017/34-82316.pdf SR-LCH SA-2017-012 2017-12-13 Notice /to LCH SA's Recovery Plan Notice LCH SA http://www.federalregister.gov/citation/82-FR-60246 82-FR-60246 34-82317 https://www.sec.gov/rules/sro/lchsa/2017/34-82317.pdf SR-LCH SA-2017-013 2017-12-13 Notice /Relating to LCH SA's Wind Down Plan Notice LCH SA http://www.federalregister.gov/citation/82-FR-60238 82-FR-60238 34-82318 https://www.sec.gov/rules/sro/ise/2017/34-82318.pdf SR-ISE-2017-104 2017-12-14 Notice / Immediate Effectiveness/Relating to Primary Market Maker Obligations Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/82-FR-60453 82-FR-60453 34-82319 https://www.sec.gov/rules/sro/gemx/2017/34-82319.pdf SR-GEMX-2017-55 2017-12-14 Notice / Immediate Effectiveness/to Amend the Market Access and Routing Subsidy Program Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/82-FR-60431 82-FR-60431 34-82320 https://www.sec.gov/rules/sro/ise/2017/34-82320.pdf SR-ISE-2017-103 2017-12-14 Notice / Immediate Effectiveness/to Amend the Calculation of the Member Order Routing Program Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/82-FR-60455 82-FR-60455 34-82321 https://www.sec.gov/rules/sro/msrb/2017/34-82321.pdf SR-MSRB-2017-06 2017-12-14 Order/Accelerating/Consisting of Proposed Amendments to MSRB Rule G-34, on CUSIP Numbers, New Issue, and Market Information Requirements Order Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/82-FR-60433 82-FR-60433 34-82322 https://www.sec.gov/rules/sro/phlx/2017/34-82322.pdf SR-PHLX-2017-101 2017-12-14 Notice / Immediate Effectiveness/Relating to Specialist Obligations Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/82-FR-60458 82-FR-60458 34-82323 https://www.sec.gov/rules/sro/nysearca/2017/34-82323.pdf SR-NYSEARCA-2017-99 2017-12-14 Notice / Designation of Longer Period for Commission Action/as Modified by Amendment No. 1, to List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF under NYSE Arca Rule 8.600-E Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-60455 82-FR-60455 34-82324 https://www.sec.gov/rules/sro/mrx/2017/34-82324.pdf SR-MRX-2017-27 2017-12-14 Notice / Immediate Effectiveness/Relating to Primary Market Maker Obligations Notice Nasdaq MRX, LLC http://www.federalregister.gov/citation/82-FR-60460 82-FR-60460 34-82325 https://www.sec.gov/rules/sro/nyse/2017/34-82325.pdf SR-NYSE-2017-67 2017-12-14 Notice / Immediate Effectiveness/to Amend Rule 300 Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-60451 82-FR-60451 34-82326 https://www.sec.gov/rules/sro/gemx/2017/34-82326.pdf SR-GEMX-2017-56 2017-12-14 Notice / Immediate Effectiveness/Relating to Primary Market Maker Obligations Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/82-FR-60439 82-FR-60439 34-82327 https://www.sec.gov/rules/sro/nasdaq/2017/34-82327.pdf SR-NASDAQ-2017-129 2017-12-14 Notice / Immediate Effectiveness/to Amend Rule 4120 (Limit Up-Limit Down Plan and Trading Halts) to Reduce the Length of the Display-Only Period for the Initial Pricing on Nasdaq of a Security that is the Subject of an Initial Public Offering Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/82-FR-60429 82-FR-60429 34-82328 https://www.sec.gov/rules/sro/cboebzx/2017/34-82328.pdf SR-CBOEBZX-2017-011 2017-12-14 Notice /to List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/82-FR-60443 82-FR-60443 34-82329 https://www.sec.gov/litigation/admin/2017/34-82329.pdf 3-17672 2017-12-14 Order Appointing Tax Administrator Order Todd, Derik J. 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