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

2018-03-15 118 11 2018-01-22 2018-01-26 Securities Act of 1933 33 10454 10454* Securities Exchange Act of 1934 34 82556 82593* Administrative Proceedings AP 5474 5544 Investment Advisers Act of 1940 IA 4847 4849 Investment Company Act of 1940 IC 32972 32995* Litigation Releases LR 24029 24035 Accounting and Auditing Enforcement Release AAER 3918 3919 33-7424 34-38771 35-26733 39-2354 IC-22727 33-10454 https://www.sec.gov/litigation/admin/2018/33-10454.pdf IA-4848 3-18349 2018-01-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order AmericaFirst Capital Management, LLC Gonsalves, Rick A. Clark, Robert L. N/A 33-7424A https://www.sec.gov/rules/final/2018/33-7424a.pdf 34-38771 35-26733 39-2354 IC-22727 NO FILE NO. 2018-01-24 Final Rule Other Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers http://www.federalregister.gov/citation/82-FR-4138 82-FR-4138 34-38771A https://www.sec.gov/rules/final/2018/33-7424a.pdf 33-7424 35-26733 39-2354 IC-22727 NO FILE NO. 2018-01-24 Final Rule Other Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers http://www.federalregister.gov/citation/82-FR-4138 82-FR-4138 34-82556 https://www.sec.gov/litigation/admin/2018/34-82556.pdf AAER-3918 3-18346 2018-01-22 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Order Holder, Cynthia CPA Wada, Jeffrey CPA Middendorf, David CPA Whittle, Thomas CPA Britt, David CPA N/A 34-82557 https://www.sec.gov/litigation/admin/2018/34-82557.pdf AAER-3919 3-18347 2018-01-22 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/and Notice of Hearing Order Sweet, Brian CPA N/A 34-82558 https://www.sec.gov/rules/sro/cboebzx/2018/34-82558.pdf SR-CBOEBZX-2017-005 2018-01-22 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of a Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3820 83-FR-3820 34-82559 https://www.sec.gov/rules/sro/cboebzx/2018/34-82559.pdf SR-CBOEBZX-2017-011 2018-01-22 Notice / Designation of Longer Period for Commission Action/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/83-FR-3820 83-FR-3820 34-82560 https://www.sec.gov/rules/sro/cboebzx/2018/34-82560.pdf SR-CBOEBZX-2017-013 2018-01-22 Notice / Withdrawal /To List and Trade Shares of the REX Bitcoin Strategy ETF and the REX Short Bitcoin Strategy ETF, Each a Series of the Exchange Listed Funds Trust, Under Rule 14.11(i), Managed Fund Shares Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3819 83-FR-3819 34-82561 https://www.sec.gov/rules/sro/cboebzx/2018/34-82561.pdf SR-CBOEBZX-2017-021 2018-01-22 Notice / Withdrawal /To List and Trade Shares of the First Trust Bitcoin Strategy ETF and the First Trust Inverse Bitcoin Strategy ETF, Each a Series of the First Trust Exchange-Traded Fund VII, Under Rule 14.11(i), Managed Fund Shares Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3789 83-FR-3789 34-82562 https://www.sec.gov/rules/other/2018/34-82562.pdf 2018-4 2018-01-22 Order Determining Whistleblower Award Claim Order Redacted N/A 34-82563 https://www.sec.gov/rules/sro/nyse/2018/34-82563.pdf SR-NYSE-2018-03 2018-01-22 Notice / Immediate Effectiveness/to Amend Its Price List Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-3799 83-FR-3799 34-82564 https://www.sec.gov/rules/sro/nasdaq/2018/34-82564.pdf SR-NASDAQ-2017-123 2018-01-22 Order/Granting to List and Trade Shares of the Causeway International Value NextShares" and the Causeway Global Value NextShares" Under Nasdaq Rule 5745 Order Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-3842 83-FR-3842 34-82565 https://www.sec.gov/rules/sro/nyse/2018/34-82565.pdf SR-NYSE-2017-42 2018-01-22 Notice / Designation of Longer Period for Commission Action/to Amend the NYSE Listed Company Manual to Modify Its Requirements with Respect to Physical Delivery of Proxy Materials to the Exchange Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-3812 83-FR-3812 34-82566 https://www.sec.gov/rules/sro/nyse/2018/34-82566.pdf SR-NYSE-2018-04 2018-01-22 Notice / Immediate Effectiveness/to Amend Its Listing Standard for Warrants in Section 703.12 of the Exchanges Listed Company Manual Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-3794 83-FR-3794 34-82567 https://www.sec.gov/rules/sro/bx/2018/34-82567.pdf SR-BX-2018-005 2018-01-23 Notice / Immediate Effectiveness/to Amend its Fees at Rule 7023 Notice Nasdaq BX, Inc http://www.federalregister.gov/citation/83-FR-4092 83-FR-4092 34-82568 https://www.sec.gov/rules/sro/ise/2018/34-82568.pdf SR-ISE-2018-07 2018-01-23 Notice / Immediate Effectiveness/to Assess Fees for OTTO Port, CTI Port, FIX Port, FIX Drop Port and Disaster Recovery Port Connectivity Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-4086 83-FR-4086 34-82569 https://www.sec.gov/rules/sro/phlx/2018/34-82569.pdf SR-PHLX-2018-10 2018-01-23 Notice / Immediate Effectiveness/to Amend Section VIII of the Exchanges Pricing Schedule Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-4100 83-FR-4100 34-82570 https://www.sec.gov/rules/sro/lchsa/2018/34-82570.pdf SR-LCH SA-2017-012 2018-01-23 Notice / Designation of Longer Period for Commission Action/to Adopt LCH SAs Recovery Plan Notice LCH SA http://www.federalregister.gov/citation/83-FR-4088 83-FR-4088 34-82571 https://www.sec.gov/rules/sro/lchsa/2018/34-82571.pdf SR-LCH SA-2017-013 2018-01-23 Notice / Designation of Longer Period for Commission Action/to Adopt LCH SAs Wind Down Plan Notice LCH SA http://www.federalregister.gov/citation/83-FR-4081 83-FR-4081 34-82572 https://www.sec.gov/rules/sro/ise/2018/34-82572.pdf SR-ISE-2018-06 2018-01-23 Notice / Immediate Effectiveness/to Amend Rule 502 Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-4108 83-FR-4108 34-82573 https://www.sec.gov/rules/sro/nasdaq/2018/34-82573.pdf SR-NASDAQ-2018-005 2018-01-23 Notice / Immediate Effectiveness/Relating to the Criteria for Listing Underlying Securities Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-4089 83-FR-4089 34-82574 https://www.sec.gov/rules/sro/bx/2018/34-82574.pdf SR-BX-2018-004 2018-01-23 Notice / Immediate Effectiveness/to Amend Chapter IV, Section 3 Notice Nasdaq BX, Inc http://www.federalregister.gov/citation/83-FR-4104 83-FR-4104 34-82575 https://www.sec.gov/rules/exorders/2018/34-82575.pdf TP 18-08 2018-01-23 Order/Granting Limited Exemptions from Rules 101 and 102 of Regulation M in Connection with Distributions of AT1 Contingent Convertible Securities Pursuant to Rules 101(d) and 102(e) of Regulation M Order Distributions of AT1 Contingent Convertible Securities http://www.federalregister.gov/citation/83-FR-4083 83-FR-4083 34-82576 https://www.sec.gov/rules/sro/occ/2018/34-82576.pdf SR-OCC-2018-001 2018-01-24 Notice /Related to The Options Clearing Corporation's Fee Policy Notice Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-4324 83-FR-4324 34-82577 https://www.sec.gov/rules/sro/phlx/2018/34-82577.pdf SR-PHLX-2018-09 2018-01-24 Notice / Immediate Effectiveness/to Relocate and Amend Rule 1080(l) Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-4354 83-FR-4354 34-82578 https://www.sec.gov/rules/sro/finra/2018/34-82578.pdf SR-FINRA-2018-002 2018-01-24 Notice / Immediate Effectiveness/Relating to the New Securities Industry Essentials Examination Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-4375 83-FR-4375 34-82579 https://www.sec.gov/rules/sro/dtc-an/2018/34-82579.pdf SR-DTC-2017-803 2018-01-24 Notice / Advance Notice/Extension of the Review Period to Adopt a Recovery & Wind-down Plan and Related Rules Notice The Depository Trust Company http://www.federalregister.gov/citation/83-FR-4310 83-FR-4310 34-82580 https://www.sec.gov/rules/sro/ficc-an/2018/34-82580.pdf SR-FICC-2017-805 2018-01-24 Notice / Advance Notice/Extension of the Review Period to Adopt a Recovery & Wind-down Plan and Related Rules Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-4341 83-FR-4341 34-82581 https://www.sec.gov/rules/sro/nscc-an/2018/34-82581.pdf SR-NSCC-2017-805 2018-01-24 Notice / Advance Notice/Extension of the Review Periodto Adopt a Recovery & Wind-down Plan and Related Rules Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-4327 83-FR-4327 34-82582 https://www.sec.gov/rules/sro/dtc-an/2018/34-82582.pdf SR-DTC-2017-804 2018-01-24 Notice / Advance Notice/Extension of the Review Period to Amend the Loss Allocation Rules and Make Other Changes Notice The Depository Trust Corporation http://www.federalregister.gov/citation/83-FR-4297 83-FR-4297 34-82583 https://www.sec.gov/rules/sro/ficc-an/2018/34-82583.pdf SR-FICC-2017-806 2018-01-24 Notice / Advance Notice/Extension of the Review Period to Amend the Loss Allocation Rules and Make Other Changes Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-4358 83-FR-4358 34-82584 https://www.sec.gov/rules/sro/nscc-an/2018/34-82584.pdf SR-NSCC-2017-806 2018-01-24 Notice / Advance Notice/Extension of the Review Period to Amend the Loss Allocation Rules and Make Other Changes Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-4377 83-FR-4377 34-82585 https://www.sec.gov/rules/sro/occ/2018/34-82585.pdf SR-OCC-2017-020 2018-01-25 Notice / Designation of Longer Period for Commission Action/Concerning Enhanced and New Tools for Recovery Scenarios Notice Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-4526 83-FR-4526 34-82586 https://www.sec.gov/rules/sro/occ/2018/34-82586.pdf SR-OCC-2017-021 2018-01-25 Notice / Designation of Longer Period for Commission Action/Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan Notice Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-4527 83-FR-4527 34-82587 https://www.sec.gov/rules/sro/nysearca/2018/34-82587.pdf SR-NYSEARCA-2018-05 2018-01-25 Notice / Immediate Effectiveness/Relating to the Guggenheim Ultra Short Duration ETF and the Guggenheim Total Return Bond ETF Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-4528 83-FR-4528 34-82588 https://www.sec.gov/rules/sro/ficc/2018/34-82588.pdf SR-FICC-2018-001 2018-01-26 Notice /to the Required Fund Deposit Calculation in the Government Securities Division Rulebook Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-4687 83-FR-4687 34-82589 https://www.sec.gov/rules/sro/nasdaq/2018/34-82589.pdf SR-NASDAQ-2018-006 2018-01-26 Notice / Immediate Effectiveness/to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00 Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-4715 83-FR-4715 34-82590 https://www.sec.gov/litigation/admin/2018/34-82590.pdf 3-17740 2018-01-26 Extension Order Order Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.) Porter, John T. Duszynski, Thomas F. CPA N/A 34-82591 https://www.sec.gov/rules/sro/batsbzx/2018/34-82591.pdf SR-BATSBZX-2017-54 2018-01-26 Notice / Order Accelerating /as Modified by Amendment No. 4 Thereto, to List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF Under Rule 14.11(i), Managed Fund Shares Notice/Order Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-4707 83-FR-4707 34-82592 https://www.sec.gov/rules/sro/nysearca/2018/34-82592.pdf SR-NYSEARCA-2017-99 2018-01-26 Notice / Filing of Amendment No. /2/Order / Instituting Proceedings to/as Modified by Amendment No. 2, to List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF under NYSE Arca Rule 8.600-E Notice/Order NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-4704 83-FR-4704 34-82593 https://www.sec.gov/rules/sro/nysearca/2018/34-82593.pdf SR-NYSEARCA-2017-140 2018-01-26 Order/Granting Approval to List and Trade Shares of the Perth Mint Physical Gold ETF Trust Pursuant to NYSE Arca Rule 8.201-E Order NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-4718 83-FR-4718 35-26733A https://www.sec.gov/rules/final/2018/33-7424a.pdf 33-7424 34-38771 39-2354 IC-22727 NO FILE NO. 2018-01-24 Final Rule Other Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers http://www.federalregister.gov/citation/82-FR-4138 82-FR-4138 39-2354A https://www.sec.gov/rules/final/2018/33-7424a.pdf 33-7424 34-38771 35-26733 IC-22727 NO FILE NO. 2018-01-24 Final Rule Other Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers http://www.federalregister.gov/citation/82-FR-4138 82-FR-4138 AP-5474 https://www.sec.gov/alj/aljorders/2018/ap-5474.pdf 3-18142 2018-01-22 Order Order Circle Star Energy Corp. 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