Order Instituting Administrative And Cease-And-Desist

2017-02-22 2016 2016-01-04 2016-12-30 Securities Act of 1933 33 10001 10275* Securities Exchange Act of 1934 34 76816 79717* Investment Advisers Act of 1940 IA 4305 4598* Trust Indenture Act of 1939 39 2509 2513 Administrative Proceedings AP 3454 4496 Investment Company Act of 1940 IC 31952 32407* Initial Decisions (ALJ) ID 935 1099 Litigation Releases LR 23441 23714 SIPA SIPA 174 178 Accounting and Auditing Enforcement Release AAER 3731 3840 33-10075 https://www.sec.gov/rules/final/2016/33-10075.pdf 33-10102 https://www.sec.gov/rules/other/2016/33-10102.pdf 34-76955 https://www.sec.gov/rules/sro/nysearca/2016/34-76955.pdf 34-77617 https://www.sec.gov/rules/final/2016/34-77617.pdf 34-77757 https://www.sec.gov/rules/final/2016/33-10075.pdf 34-78049 https://www.sec.gov/litigation/opinions/2016/34-78049.pdf 34-78127 https://www.sec.gov/rules/other/2016/33-10102.pdf 34-78215 34-79237 https://www.sec.gov/rules/interim/2016/34-79237.pdf IA-4420 https://www.sec.gov/litigation/opinions/2016/34-78049.pdf IC-32146 https://www.sec.gov/litigation/opinions/2016/34-78049.pdf IC-32354 https://www.sec.gov/rules/ic/2016/ic-32354.pdf 33-10001 https://www.sec.gov/litigation/admin/2016/33-10001.pdf 34-76839 IA-4306 3-17036 2016-01-06 Order Instituting Administrative And Cease-And-Desist AP Settled J.P. Morgan Securities LLC N/A 33-10002 https://www.sec.gov/litigation/admin/2016/33-10002.pdf 34-76876 AAER-3731 3-16729 2016-01-12 Order Making Findings and Imposing a Cease-and-Desist Order and Penalties AP Settled Miller Energy Resources, Inc. N/A 33-10003 https://www.sec.gov/rules/interim/2016/33-10003.pdf S7-01-16 2016-01-13 Interim Final Rules; Request for Comment Final Rule Simplification of Disclosure Requirements for Emerging Growth Companies and Forward Incorporation by Reference on Form S-1 for Smaller Reporting Companies N/A 33-10004 https://www.sec.gov/litigation/admin/2016/33-10004.pdf 34-76927 IA-4315 3-17057 2016-01-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist order AP Settled Equinox Fund Management, LLC N/A 33-10005 https://www.sec.gov/litigation/opinions/2016/33-10005.pdf 34-76933 IA-4318 IC-31962 3-15967 2016-01-19 Order Granting Motion for Extension Order Labine, Lawrence M. N/A 33-10006 https://www.sec.gov/litigation/admin/2016/33-10006.pdf 34-76948 IA-4320 IC-31971 3-15003 2016-01-21 Order Scheduling Oral Argument Order Young, Bernerd E. N/A 33-10007 https://www.sec.gov/litigation/admin/2016/33-10007.pdf 34-76949 3-17062 2016-01-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Spiegel, Edward H. ARRG Corp. N/A 33-10008 https://www.sec.gov/litigation/admin/2016/33-10008.pdf 34-76976 IA-4322 IC-31972 3-15446 2016-01-27 Order Scheduling Oral Argument Order J.S. Oliver Capital Management, L.P. Mausner, Ian O. N/A 33-10009 https://www.sec.gov/litigation/admin/2016/33-10009.pdf 34-76991 IA-4323 IC-31973 3-17075 2016-01-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled QED Benchmark Management, L.L.C. Kuperman, Peter N/A 33-10010 https://www.sec.gov/litigation/admin/2016/33-10010.pdf 34-77001 3-17077 2016-01-31 Order Instituting Administrative And Cease-And-Desist Proceedings, Making Findings, And Imposing AP Settled Barclays Capital Inc. N/A 33-10011 https://www.sec.gov/rules/other/2016/33-10011.pdf 3-17077 2016-01-31 506 Waiver Order Barclays Capital Inc. N/A 33-10012 https://www.sec.gov/rules/other/2016/33-10012.pdf 3-17077 2016-01-31 405 Waiver Order Barclays PLC Barlcays Bank PLC N/A 33-10013 https://www.sec.gov/litigation/admin/2016/33-10013.pdf 34-77002 3-17078 2016-01-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Credit Suisse Securities (USA) LLC N/A 33-10014 https://www.sec.gov/litigation/admin/2016/33-10014.pdf 34-77003 3-17079 2016-01-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Unknown Credit Suisse Securities (USA) LLC N/A 33-10015 2016-02-01 INTENTIONALLY OMITTED 33-10016 https://www.sec.gov/litigation/admin/2016/33-10016.pdf 34-77018 3-17084 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Barclays Capital Inc. N/A 33-10017 https://www.sec.gov/litigation/admin/2016/33-10017.pdf 34-77019 3-17085 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled First Midstate Incorporated N/A 33-10018 https://www.sec.gov/litigation/admin/2016/33-10018.pdf 34-77020 3-17086 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Boenning & Scattergood, Inc. N/A 33-10019 https://www.sec.gov/litigation/admin/2016/33-10019.pdf 34-77021 3-17087 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled D.A. Davidson & Co. N/A 33-10020 https://www.sec.gov/litigation/admin/2016/33-10020.pdf 34-77022 3-17088 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Jefferies LLC N/A 33-10021 https://www.sec.gov/litigation/admin/2016/33-10021.pdf 34-77023 3-17089 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Keybanc Capital Markets Inc. N/A 33-10022 https://www.sec.gov/litigation/admin/2016/33-10022.pdf 34-77024 3-17090 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Janney Montgomery Scott LLC N/A 33-10023 https://www.sec.gov/litigation/admin/2016/33-10023.pdf 34-77025 3-17091 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hilltop Securities Inc. N/A 33-10024 https://www.sec.gov/litigation/admin/2016/33-10024.pdf 34-77026 3-17092 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled TD Securities (USA) LLC N/A 33-10025 https://www.sec.gov/litigation/admin/2016/33-10025.pdf 34-77027 3-17093 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Municipal Capital Markets Group, Inc. N/A 33-10026 https://www.sec.gov/litigation/admin/2016/33-10026.pdf 34-77028 3-17094 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Mitsubishi UFJ Securities (USA), Inc. N/A 33-10027 https://www.sec.gov/litigation/admin/2016/33-10027.pdf 34-77029 3-17095 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Roosevelt & Cross, Incorporated N/A 33-10028 https://www.sec.gov/litigation/admin/2016/33-10028.pdf 34-77030 3-17096 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Wells Fargo Bank, N.A Municipal Products Group N/A 33-10029 https://www.sec.gov/litigation/admin/2016/33-10029.pdf 34-77031 3-17097 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled United Bankers' Bank N/A 33-10030 https://www.sec.gov/rules/other/2016/33-10030.pdf 3-17097 3-17096 3-17095 3-17094 3-17093 3-17092 3-17091 3-17090 3-17089 3-17088 3-17087 3-17086 3-17085 3-17084 2016-02-02 Order Granting Waivers of the Disqualification Provision, and Granting Waivers from Being Ineligible Issuers Order Certain Underwriters Participating in the Municipalities Continuing Disclosure Cooperation Initiative N/A 33-10031 https://www.sec.gov/litigation/opinions/2016/33-10031.pdf 34-77038 3-16386 2016-02-02 Order Granting Petition for Review and Scheduling Briefs Order Carnahan, Timothy W. Cyios Corporation N/A 33-10032 https://www.sec.gov/litigation/opinions/2016/33-10032.pdf 34-77039 AAER-3737 3-16386 2016-02-02 Notice That initial Decision Has Become Final Notice Anderson, Traci J., CPA N/A 33-10033 https://www.sec.gov/litigation/admin/2016/33-10033.pdf 34-77040 IA-4325 IC-31979 3-16202 2016-02-03 Notice That Initial Decision Has Become Final Notice Krisnos Holdings, Inc. Fordgate Acquisition Corp. Krinos, George N. N/A 33-10034 https://www.sec.gov/rules/other/2016/33-10034.pdf 34-77064 265-27 2016-02-05 Notice of Meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-7179 81-FR-7179 33-10035 https://www.sec.gov/litigation/opinions/2016/33-10035.pdf 34-77068 IA-4329 IC-31985 3-15842 2016-02-05 Order Dismissing Untimely Petition For Review Order Cooper, Jacob Keith N/A 33-10036 https://www.sec.gov/litigation/admin/2016/33-10036.pdf 34-77073 AAER-3740 3-17104 2016-02-05 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Whelan, Kelly A., CPA BioElectronics Corp. Bedwell, Robert P., CPA St. John's, LLC IBEX, LLC Whelan, Andrew J. N/A 33-10037 https://www.sec.gov/litigation/admin/2016/33-10037.pdf 34-77087 AAER-3741 3-17107 2016-02-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Monsanto Company Hartke, Anthony P., CPA Brunnquell, Sara M., CPA Nienas, Jonathan W. N/A 33-10038 https://www.sec.gov/litigation/opinions/2016/33-10038.pdf 34-77088 3-16509 2016-02-09 Order Denying Stay Order Daspin, Edward M., aka "Edward (Ed) Michael Agostini, Luigi N/A 33-10039 https://www.sec.gov/litigation/admin/2016/33-10039.pdf 34-77114 AAER-3742 3-17112 2016-02-11 Order Instituting Public Administrative and Cease-and-Desist Proceedings AP Settled Woo, Susan, CPA Frazer Frost, LLP Suen, Miranda, CPA N/A 33-10040 https://www.sec.gov/litigation/opinions/2016/33-10040.pdf 34-77177 3-16509 2016-02-18 Order Granting Extension Order Agostini, Luigi Lux, Lawrence R. Daspin, Edward M. a/k/a "Edward (ED) Michael" N/A 33-10041 2016-02-19 INTENTIONALLY OMITTED 33-10042 https://www.sec.gov/litigation/admin/2016/33-10042.pdf 34-77195 3-17125 2016-02-19 Order Instituting Administrative and Cease-and-Desist, Making Findings, and Imposing Remedial Sanctions AP Litigated IBC Funds, LLC N/A 33-10043 https://www.sec.gov/rules/other/2016/33-10043.pdf 333-201823 2016-02-19 Order Denying Withdrawal of Registration Orders Tigon N/A 33-10044 https://www.sec.gov/litigation/opinions/2016/33-10044.pdf 34-77201 IA-4336 IC-31999 3-16311 2016-02-22 Order Granting Petition for Review and Scheduling Briefs Order Dembski, Timothy S. N/A 33-10045 https://www.sec.gov/litigation/admin/2016/33-10045.pdf 34-77215 IA-4340 3-16354 2016-02-23 Notice That Initial Decision Has Become Final Notice RTAG Inc. d/b/a Retirement Tax Advisory Group Scurlock, Riichard Hampton, III N/A 33-10046 https://www.sec.gov/alj/aljdec/2016/33-10046.pdf 34-77216 IA-4341 3-16354 2016-02-23 Notice That Initial Decision Has Become Final Notice Karaski, Dennis K. Carrio, Jose F. Carrio, Karasik & Associates, LLP N/A 33-10047 https://www.sec.gov/alj/aljdec/2016/33-10047.pdf 34-77217 IA-4342 3-16354 2016-02-23 Notice That Initial Decision Has Become Final Notice Salovay, Michael J. N/A 33-10048 https://www.sec.gov/litigation/opinions/2016/33-10048.pdf 34-77249 IC-32008 3-15514 2016-02-26 Order Scheduling Briefs Order Feldmann, Richard D. N/A 33-10049 https://www.sec.gov/litigation/admin/2016/33-10049.pdf 34-77263 IA-4347 IC-32016 3-15446 2016-03-01 Order Rescheduling Oral Argument Order Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A 33-10050 https://www.sec.gov/litigation/admin/2016/33-10050.pdf 34-77312 3-17155 2016-03-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Parisi, Francis N/A 33-10051 https://www.sec.gov/litigation/admin/2016/33-10051.pdf 34-77318 IA-4349 IC-32024 3-17157 812-14574 2016-03-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Zoernack, Steven Invesco Distributors, Inc. EquityStar Capital Management, LLC N/A 33-10052 2016-03-08 INTENTIONALLY OMITTED 33-10053 https://www.sec.gov/litigation/admin/2016/33-10053.pdf AAER-3752 3-17162 2016-03-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Westlands Water District Birmingham, Thomas W. Ciapponi, Louie David N/A 33-10054 https://www.sec.gov/rules/other/2016/33-10054.pdf 34-77367 NO FILE NUMBER 2016-03-14 Order Order Order Approving PCAOB Budget and Annual Accounting Support Fee for Calendar Year 2016 http://www.federalregister.gov/citation/81-FR-14905 81-FR-14905 33-10055 https://www.sec.gov/litigation/admin/2016/33-10055.pdf 34-77372 AAER-3758 3-17171 2016-03-15 Order Instituting Cease-and-Desist proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled ModusLink Global Solutions, Inc. Lawler, Joseph C. Venable, Catherine L. Crane, Steven G. N/A 33-10056 https://www.sec.gov/rules/other/2016/33-10056.pdf 34-77408 IA-4354 IC-32031 S7-04-16 2016-03-18 Semiannual Regulatory Agenda Notice Semiannual Regulatory Agenda http://www.federalregister.gov/citation/81-FR-37470 81-FR-37470 33-10057 https://www.sec.gov/litigation/opinions/2016/33-10057.pdf 34-77420 IC-32037 3-16318 2016-03-22 Order Granting Petition for Review and Scheduling Briefs Order Clug, Alexandre S. N/A 33-10058 https://www.sec.gov/rules/other/2016/33-10058.pdf 34-77432 265-28 2016-03-23 Notice Notice Dodd Frank Investor Advisory Committe Notice of Meeting http://www.federalregister.gov/citation/81-FR-17513 81-FR-17513 33-10059 https://www.sec.gov/litigation/admin/2016/33-10059.pdf 34-77436 3-17178 2016-03-24 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Canaccord Genuity Inc. N/A 33-10060 https://www.sec.gov/litigation/opinions/2016/33-10060.pdf 34-77442 IA-4358 IC-32050 3-15003 2016-03-24 Opinion Opinion Young, Bernerd E. N/A 33-10061 https://www.sec.gov/litigation/admin/2016/33-10061.pdf 34-77490 3-17190 2016-03-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Navistar International Corporation N/A 33-10062 https://www.sec.gov/rules/interp/2016/33-10062.pdf 34-77506 S7-05-16 2016-04-04 Joint Proposed Guidance Interpr.-Solic. of Commts Commodity Futures Trading Commission Proposed Guidance http://www.federalregister.gov/citation/81-FR-20583 81-FR-20583 33-10063 https://www.sec.gov/alj/aljdec/2016/33-10063.pdf 3-17010 2016-04-05 Notice that Initial Decision has Become Final Notice Scription Work Solutions, Inc. N/A 33-10064 https://www.sec.gov/rules/concept/2016/33-10064.pdf 34-77599 S7-06-16 2016-04-13 Concept Release Concept Release Business and Financial Disclosure Required by Regulation S-K http://www.federalregister.gov/citation/81-FR-23916 81-FR-23916 33-10065 https://www.sec.gov/litigation/admin/2016/33-10065.pdf 34-77614 3-15815 2016-04-13 Notice That Initial Decision Has Become Final Notice L&L Energy, Inc. N/A 33-10066 https://www.sec.gov/litigation/opinions/2016/33-10066.pdf 3-16594 2016-04-14 Order Granting Extension Order Equity Trust Company N/A 33-10067 https://www.sec.gov/litigation/opinions/2016/33-10067.pdf 34-77643 3-13927 3-13109 2016-04-18 Order Denying Motion to Vacate Commission Orders Order Pierce, Gordon Brent N/A 33-10068 https://www.sec.gov/litigation/admin/2016/33-10068.pdf 34-77645 AAER-3766 3-17213 2016-04-19 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Seidel, Jeffrey A. Ener1, Inc. Kamischke, Robert R. Gassenheimer, Charles L. N/A 33-10069 https://www.sec.gov/litigation/opinions/2016/33-10069.pdf 34-77654 IC-32080 3-16498 2016-04-19 Order Granting Petition for Review and Scheduling Briefs Order Schalk, Russell C., Jr. N/A 33-10070 https://www.sec.gov/alj/aljdec/2016/33-10070.pdf 3-17011 2016-04-19 Notice That Initial Decision Has Become Final Notice Blue Mountatin Eco Tours, Inc. N/A 33-10071 https://www.sec.gov/rules/final/2016/33-10071.pdf 34-77693 39-2509 IC-32091 NO FILE NUMBER 2016-04-22 Final rule Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-31501 81-FR-31501 33-10072 https://www.sec.gov/alj/aljdec/2016/33-10072.pdf 34-77697 IA-4376 IC-32092 3-15967 2016-04-22 Notice That Initial Decision Has Become Final Notice Labine, Lawrence M. N/A 33-10073 https://www.sec.gov/rules/other/2016/33-10073.pdf 34-77698 NO FILE NUMBER 2016-04-22 Order Regarding Review of FASB Accounting Support Fee for 2016 under Section 109 of the Sarbanes-Oxley Act of 2002 Order FASB Accounting Support Fee for 2016 http://www.federalregister.gov/citation/81-FR-25454 81-FR-25454 33-10074 https://www.sec.gov/rules/other/2016/33-10074.pdf 34-77743 265-27 2016-04-29 Notice of meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-26851 81-FR-26851 33-10075 https://www.sec.gov/rules/final/2016/33-10075.pdf 34-77757 S7-12-14 2016-05-03 Final rule Final Rule Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act http://www.federalregister.gov/citation/81-FR-28689 81-FR-28689 33-10075A https://www.sec.gov/rules/final/2016/33-10075a.pdf 34-77757 S7-12-14 2016-12-21 Final rule; technical correction Final Rule Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act http://www.federalregister.gov/citation/81-FR-95458 81-FR-95458 33-10076 https://www.sec.gov/litigation/opinions/2016/33-10076.pdf 34-77766 IC-32104 3-16318 2016-05-04 Order Denying Petition to Reject Division's Cross-Petition for Review as Untimely, Granting the Division's Cross-Petition, and Setting a Briefing Schedule Order Clug, Alexandre S. N/A 33-10077 https://www.sec.gov/litigation/opinions/2016/33-10077.pdf 34-77773 3-15619 2016-05-05 Opinion Opinion Doxey, Joseph P. N/A 33-10078 https://www.sec.gov/litigation/opinions/2016/33-10078.pdf 34-77803 IC-32112 3-15514 2016-05-10 Order Denying Request to Reduce Agreed Disgorgement Amount Order Feldmann, Richard D. N/A 33-10079 https://www.sec.gov/rules/other/2016/33-10079.pdf 34-77857 265-28 2016-05-19 Notice of Telephonic Meeting of Securities and Exchange Commission-Dodd-Frank Investor Advisory Committee Notice Investory Advisory Committee Meeting http://www.federalregister.gov/citation/81-FR-33571 81-FR-33571 33-10080 https://www.sec.gov/litigation/admin/2016/33-10080.pdf 34-77862 IA-4389 IC-32118 3-17253 2016-05-19 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Blue Ocean Portfolios, LLC Winkelmann, James A., Sr. N/A 33-10081 https://www.sec.gov/litigation/admin/2016/33-10081.pdf 34-77887 AAER-3775 3-17257 2016-05-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Swisher Hygiene Inc. N/A 33-10082 https://www.sec.gov/litigation/admin/2016/33-10082.pdf 34-77922 IC-32126 3-17260 2016-05-25 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Day, Christopher American Registrar & Transfer Company N/A 33-10083 https://www.sec.gov/litigation/admin/2016/33-10083.pdf IA-4395 IC-32128 3-15574 2016-05-26 Order Scheduling Oral Argument Order Chau, Wing F. Harding Advisory LLC N/A 33-10084 https://www.sec.gov/litigation/opinions/2016/33-10084.pdf 34-77964 IA-4412 IC-32137 3-14404 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Deru, Terry M. N/A 33-10085 https://www.sec.gov/litigation/admin/2016/33-10085.pdf 34-77967 AAER-3776 3-17268 2016-06-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Starrett, Jane E., CPA N/A 33-10086 https://www.sec.gov/litigation/admin/2016/33-10086.pdf 3-17272 2016-06-02 Order Instituting Administrative Proceedings, Making Findings, and Issuing Stop Order AP Settled NuGold Resources, Inc. N/A 33-10087 https://www.sec.gov/litigation/admin/2016/33-10087.pdf 34-77979 3-17273 2016-06-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Stoecklein, Donald J., Esq. N/A 33-10088 https://www.sec.gov/litigation/admin/2016/33-10088.pdf 3-17274 2016-06-02 Order Instituting Administrative Proceedings, Making Findings, and Issuing Stop Order AP Settled ZRHO Beverages, Inc. N/A 33-10089 https://www.sec.gov/litigation/admin/2016/33-10089.pdf 34-78007 AAER-3778 3-16729 2016-06-07 Order Making Findings and Imposing Remedial Sanctions AP Settled Boyd, Paul W., CPA N/A 33-10090 https://www.sec.gov/litigation/admin/2016/33-10090.pdf 34-78008 AAER-3779 3-16729 2016-06-07 Order Making Findings and Imposing Remedial Sanctions AP Settled Hall, David M. N/A 33-10091 https://www.sec.gov/litigation/admin/2016/33-10091.pdf 34-78009 AAER-3780 3-16729 2016-06-07 Order Making Findings and Imposing Remedial Sanctions AP Settled Vogt, III, Carlton, W., CPA N/A 33-10092 https://www.sec.gov/litigation/admin/2016/33-10092.pdf 34-78010 AAER-3781 3-17112 2016-06-07 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Suen, Miranda, CPA Frazer Frost, LLP Woo, Susan, CPA N/A 33-10093 https://www.sec.gov/litigation/admin/2016/33-10093.pdf 3-17281 2016-06-08 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Ethiopian Electric Power N/A 33-10094 https://www.sec.gov/litigation/admin/2016/33-10094.pdf 34-78043 IC-32144 3-16978 2016-06-13 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Finelilne Trading Group LLC Afshar, Shahryar Afshar, Behruz Kenny, Richard F., IV Makino Capital LLC N/A 33-10095 https://www.sec.gov/rules/final/2016/33-10095.pdf 34-78044 39-2510 IC-32145 NO FILE NUMBER 2016-06-13 Final Rule Final Rule Adoption of EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-43047 81-FR-43047 33-10096 https://www.sec.gov/litigation/admin/2016/33-10096.pdf 34-78082 IA-4424 IC-32149 3-15737 2016-06-15 Order Scheduling Oral Argument Order Gonnella, Thomas C. N/A 33-10097 https://www.sec.gov/litigation/admin/2016/33-10097.pdf IA-4427 IC-32150 3-15574 2016-06-15 Order Rescheduling Oral Argument Order Harding Advisory LLC Chau, Wing F. N/A 33-10098 https://www.sec.gov/rules/proposed/2016/33-10098.pdf 34-78086 S7-10-16 2016-06-16 Proposed rule Proposed Rule Modernization of Property Disclosures for Mining Registrants http://www.federalregister.gov/citation/81-FR-41652 81-FR-41652 33-10099 https://www.sec.gov/rules/final/2016/33-10099.pdf 34-78088 S7-08-10 2016-06-16 Technical Amendment Final Rule Asset-Backed Securities Disclosure and Registration http://www.federalregister.gov/citation/81-FR-40511 81-FR-40511 33-10100 https://www.sec.gov/litigation/opinions/2016/33-10100.pdf 34-78098 IA-4431 IC-32152 3-15446 2016-06-17 Opinion Opinion Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A 33-10101 https://www.sec.gov/litigation/admin/2016/33-10101.pdf 34-78099 IA-4432 IC-32153 3-15617 2016-06-17 Order Scheduling Oral Argument Order Grossman, Larry C. N/A 33-10102 https://www.sec.gov/rules/other/2016/33-10102.pdf 34-78127 265-28 2016-06-22 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Notice Investor Advisory Committee Meeting http://www.federalregister.gov/citation/81-FR-41628 81-FR-41628 33-10102A https://www.sec.gov/rules/other/2016/33-10102a.pdf 34-78127 265-28 2016-07-06 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Notice Investor Advisory Committee Meeting http://www.federalregister.gov/citation/81-FR-44903 81-FR-44903 33-10103 https://www.sec.gov/litigation/admin/2016/33-10103.pdf 3-17314 2016-06-23 Order Instituting Cease and Desist Proceedings, Making Findings, and Imposing a Cease and Desist Order AP Settled Merrill Lynch, Pierce, Fenner & Smith, Inc. N/A 33-10104 https://www.sec.gov/rules/interim/2016/33-10104.pdf 34-78156 IA-4437 IC-32162 S7-11-16 2016-06-27 Interim Final Rule; request for comment Final Rule Adjustments to Civil Monetary Penalty Amounts http://www.federalregister.gov/citation/81-FR-43042 81-FR-43042 33-10105 https://www.sec.gov/rules/other/2016/33-10105.pdf 34-78158 265-27 2016-06-27 Notice of Meeting. Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-42777 81-FR-42777 33-10106 https://www.sec.gov/litigation/admin/2016/33-10106.pdf 34-78166 3-17013 2016-06-27 Order Granting Extension to File Petition for Review Order Perres, Allen N/A 33-10107 https://www.sec.gov/rules/proposed/2016/33-10107.pdf 34-78168 S7-12-16 2016-06-27 Proposed Rule Proposed Rule Amendments to Smaller Reporting Company Definition http://www.federalregister.gov/citation/81-FR-43130 81-FR-43130 33-10108 https://www.sec.gov/litigation/admin/2016/33-10108.pdf 34-78185 IA-4440 IC-32165 3-17319 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Helen, Jan E. N/A 33-10109 https://www.sec.gov/litigation/opinions/2016/33-10109.pdf 34-78253 IC-32173 3-16498 2016-07-07 Order Requesting Additional Briefs Order Schalk, Russell C., Jr. N/A 33-10110 https://www.sec.gov/rules/proposed/2016/33-10110.pdf 34-78310 IC-32175 S7-15-16 2016-07-13 Proposed Rule Proposed Rule Disclosure Update and Simplification http://www.federalregister.gov/citation/81-FR-51608 81-FR-51608 33-10111 https://www.sec.gov/litigation/admin/2016/33-10111.pdf 34-78325 IA-4452 IC-32176 3-17342 2016-07-14 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled RD Legal Capital, LLC Dersovitz, Roni N/A 33-10112 https://www.sec.gov/litigation/opinions/2016/33-10112.pdf 34-78364 IA-4458 IC-32178 3-12116 2016-07-19 Order Granting Motion to Modify Order Millennium International Management, L.L.C. Millennium Management, L.L.C., et al. Millennium Partners, L.P. N/A 33-10113 https://www.sec.gov/litigation/admin/2016/33-10113.pdf IA-4459 3-17354 2016-07-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Concert Wealth Management, Inc. Concert Global Group Limited Luna, Felipe N/A 33-10114 https://www.sec.gov/litigation/admin/2016/33-10114.pdf IA-4460 3-17355 2016-07-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist AP Settled Navarra, Dennis N/A 33-10115 https://www.sec.gov/litigation/opinions/2016/33-10115.pdf 34-78429 IA-4463 IC-32194 3-15918 2016-07-27 Opinion Opinion Malouf, Dennis J. N/A 33-10116 https://www.sec.gov/litigation/opinions/2016/33-10116.pdf 34-78440 IA-4466 IC-32199 3-15003 2016-07-29 Partial Stay Order Order Young, Bernerd E. N/A 33-10117 https://www.sec.gov/litigation/admin/2016/33-10117.pdf IA-4467 IC-32200 3-15574 2016-07-29 Corrected Order Denying Motion for Additional Time for Oral Argument Orders Harding Advisory LLc Chau, Wing F. N/A 33-10118 2016-08-01 INTENTIONALLY OMITTED 33-10119 https://www.sec.gov/litigation/opinions/2016/33-10119.pdf 34-78532 IA-4476 IC-32210 3-15737 2016-08-10 Opinion Opinion Gonnella, Thomas C. N/A 33-10120 https://www.sec.gov/litigation/admin/2016/33-10120.pdf 34-78572 IA-4485 IC-32214 3-17387 2016-08-15 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Eden Arc Capital Advisors, LLC Lathen, Donald F., Jr. Eden Arc Capital Management, LLC N/A 33-10121 https://www.sec.gov/litigation/opinions/2016/33-10121.pdf 34-78575 IA-4486 IC-32216 3-15446 2016-08-15 Partial Stay Order Order Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A 33-10122 https://www.sec.gov/litigation/admin/2016/33-10122.pdf 34-78594 3-17398 2016-08-16 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A 33-10123 https://www.sec.gov/litigation/opinions/2016/33-10123.pdf 3-16594 2016-08-16 Order Granting Petitions for Review and Scheduling Briefs Order Equity Trust Company N/A 33-10124 https://www.sec.gov/litigation/opinions/2016/33-10124.pdf 34-78596 3-17013 2016-08-16 Order Granting Petition for Review and Scheduling Briefs Order Perres, Allen M. N/A 33-10125 https://www.sec.gov/litigation/opinions/2016/33-10125.pdf 34-78621 3-14848 2016-08-18 Opinion Opinion OptonsXpress Inc. Feldman, Jonathan I. N/A 33-10126 https://www.sec.gov/litigation/opinions/2016/33-10126.pdf 34-78637 IA-4491 IC-32222 3-16801 2016-08-22 Order Granting Petition for Review and Scheduling Briefs Orders Bennett Group Financial Services, LLC Bennett, Dawn J. N/A 33-10127 https://www.sec.gov/rules/proposed/2016/33-10127.pdf 34-78652 S7-10-16 2016-08-23 Proposed Rule/Extension of comment period Ext. of Comment Period Extension of Comment Period for Modernization of Property Disclosures http://www.federalregister.gov/citation/81-FR-58877 81-FR-58877 33-10128 https://www.sec.gov/litigation/admin/2016/33-10128.pdf 3-17421 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Alameda, California N/A 33-10129 https://www.sec.gov/litigation/admin/2016/33-10129.pdf 3-17422 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ascension Health Alliance N/A 33-10130 https://www.sec.gov/litigation/admin/2016/33-10130.pdf 3-17423 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Black Jack Fire Protection District of St. Louis Country, Missouri N/A 33-10131 https://www.sec.gov/litigation/admin/2016/33-10131.pdf 3-17424 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Blair Oaks R-II School District, Missouri N/A 33-10132 https://www.sec.gov/litigation/admin/2016/33-10132.pdf 3-17425 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Board of Education of Madison County, Alabama N/A 33-10133 https://www.sec.gov/litigation/admin/2016/33-10133.pdf 3-17426 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Board of Trustees of Arkansas Tech University N/A 33-10134 https://www.sec.gov/litigation/admin/2016/33-10134.pdf 3-17427 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Borough of Roselle Park in the County of Union, New Jersey N/A 33-10135 https://www.sec.gov/litigation/admin/2016/33-10135.pdf 3-17428 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Boulder County, Colorado N/A 33-10136 https://www.sec.gov/litigation/admin/2016/33-10136.pdf 3-17429 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Carilion Clinic N/A 33-10137 https://www.sec.gov/litigation/admin/2016/33-10137.pdf 3-17430 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Casella Waste Systems, Inc. N/A 33-10138 https://www.sec.gov/litigation/admin/2016/33-10138.pdf 3-17431 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Alliance, Nebraska N/A 33-10139 https://www.sec.gov/litigation/admin/2016/33-10139.pdf 3-17432 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Andover, Kansas N/A 33-10140 https://www.sec.gov/litigation/admin/2016/33-10140.pdf 3-17433 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Bainbridge Island, Washington N/A 33-10141 https://www.sec.gov/litigation/admin/2016/33-10141.pdf 3-17434 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Cedar Rapids, Iowa N/A 33-10142 https://www.sec.gov/litigation/admin/2016/33-10142.pdf 3-17435 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Chelsea, Massachusetts N/A 33-10143 https://www.sec.gov/litigation/admin/2016/33-10143.pdf 3-17436 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Columbia, South Carolina N/A 33-10144 https://www.sec.gov/litigation/admin/2016/33-10144.pdf 3-17437 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Devils Lake, North Dakota N/A 33-10145 https://www.sec.gov/litigation/admin/2016/33-10145.pdf 3-17438 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Gary, Indiana N/A 33-10146 https://www.sec.gov/litigation/admin/2016/33-10146.pdf 3-17439 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Ithaca, New York N/A 33-10147 https://www.sec.gov/litigation/admin/2016/33-10147.pdf 3-17440 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Memphis, Tennessee N/A 33-10148 https://www.sec.gov/litigation/admin/2016/33-10148.pdf 3-17441 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Nichols Hills, Oklahoma N/A 33-10149 https://www.sec.gov/litigation/admin/2016/33-10149.pdf 3-17442 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Oconomowoc, Wisconsin N/A 33-10150 https://www.sec.gov/litigation/admin/2016/33-10150.pdf 3-17443 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of South Bend, Indiana N/A 33-10151 https://www.sec.gov/litigation/admin/2016/33-10151.pdf 3-17444 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of Vestavia Hills, Alabama N/A 33-10152 https://www.sec.gov/litigation/admin/2016/33-10152.pdf 3-17445 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled City of West Des Moines, Iowa N/A 33-10153 https://www.sec.gov/litigation/admin/2016/33-10153.pdf 3-17446 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Collegium Charter School N/A 33-10154 https://www.sec.gov/litigation/admin/2016/33-10154.pdf 3-17447 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Colorado Department of the Treasury and State Treasurer (Dept. of Transpor) N/A 33-10155 https://www.sec.gov/litigation/admin/2016/33-10155.pdf 3-17448 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Community Unit School District Number 18 (Blue Ridge) N/A 33-10156 https://www.sec.gov/litigation/admin/2016/33-10156.pdf 3-17449 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled County of Adams, Pennsylvania N/A 33-10157 https://www.sec.gov/litigation/admin/2016/33-10157.pdf 3-17450 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled County of Berrien, Michigan N/A 33-10158 https://www.sec.gov/litigation/admin/2016/33-10158.pdf 3-17451 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled County of Franklin, New York N/A 33-10159 https://www.sec.gov/litigation/admin/2016/33-10159.pdf 3-17452 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Delaware Transportation Authority N/A 33-10160 https://www.sec.gov/litigation/admin/2016/33-10160.pdf 3-17453 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled East Ouachita Parish School District of the Parish of Ouachita, LA N/A 33-10161 https://www.sec.gov/litigation/admin/2016/33-10161.pdf 3-17454 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled El Castillo Retirement Residences N/A 33-10162 https://www.sec.gov/litigation/admin/2016/33-10162.pdf 3-17455 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Electric and Water Plant Board of the City of Frankfort, Kentucky N/A 33-10163 https://www.sec.gov/litigation/admin/2016/33-10163.pdf 3-17456 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Fulton County, Georgia N/A 33-10164 https://www.sec.gov/litigation/admin/2016/33-10164.pdf 3-17458 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Heber Light & Power Company, Utah N/A 33-10165 https://www.sec.gov/litigation/admin/2016/33-10165.pdf 3-17457 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hazleton Area School District N/A 33-10166 https://www.sec.gov/litigation/admin/2016/33-10166.pdf 3-17459 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Idaho Housing and Finance Association N/A 33-10167 https://www.sec.gov/litigation/admin/2016/33-10167.pdf 3-17460 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Kentucky Housing Corporation N/A 33-10168 https://www.sec.gov/litigation/admin/2016/33-10168.pdf 3-17461 2016-08-24 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lauderdale County, Mississippi N/A 33-10169 https://www.sec.gov/litigation/admin/2016/33-10169.pdf 3-17462 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lawrence & Memorial Corp. Lawrence & Memorial Hospital, Inc. N/A 33-10170 https://www.sec.gov/litigation/admin/2016/33-10170.pdf 3-17463 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Metropolitan Airport Authority of Peoria, Peoria County, Illinois N/A 33-10171 https://www.sec.gov/litigation/admin/2016/33-10171.pdf 3-17465 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Montgomery College Foundation, Inc. N/A 33-10172 https://www.sec.gov/litigation/admin/2016/33-10172.pdf 3-17464 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Montgomery College N/A 33-10173 https://www.sec.gov/litigation/admin/2016/33-10173.pdf 3-17466 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled North Carolina Eastern Municipal Power Agency N/A 33-10174 https://www.sec.gov/litigation/admin/2016/33-10174.pdf 3-17467 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled North Slope Borough, Alaska N/A 33-10175 https://www.sec.gov/litigation/admin/2016/33-10175.pdf 3-17468 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Oklahoma Housing Finance Agency N/A 33-10176 https://www.sec.gov/litigation/admin/2016/33-10176.pdf 3-17469 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Palatine Park District, Cook County, Illinois N/A 33-10177 https://www.sec.gov/litigation/admin/2016/33-10177.pdf 3-17470 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Pecos County, Texas N/A 33-10178 https://www.sec.gov/litigation/admin/2016/33-10178.pdf 3-17471 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Public Utility District No. 1 of Whatcom County, Washington N/A 33-10179 https://www.sec.gov/litigation/admin/2016/33-10179.pdf 3-17473 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Sanitary District of the City of Gary, Indiana N/A 33-10180 https://www.sec.gov/litigation/admin/2016/33-10180.pdf 3-17473 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Southern New Hampshire University N/A 33-10181 https://www.sec.gov/litigation/admin/2016/33-10181.pdf 3-17475 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled State of Hawaii N/A 33-10182 https://www.sec.gov/litigation/admin/2016/33-10182.pdf 3-17476 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled State of Minnesota N/A 33-10183 https://www.sec.gov/litigation/admin/2016/33-10183.pdf 3-17476 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled State of Montana Department of Transportation N/A 33-10184 https://www.sec.gov/litigation/admin/2016/33-10184.pdf 3-17477 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Syracuse University N/A 33-10185 https://www.sec.gov/litigation/admin/2016/33-10185.pdf 3-17478 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Tea Area School District 41-5, South Dakota N/A 33-10186 https://www.sec.gov/litigation/admin/2016/33-10186.pdf 3-17479 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled County Commission of Ohio County, West Virginia N/A 33-10187 https://www.sec.gov/litigation/admin/2016/33-10187.pdf 3-17480 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Municipal Authority of the City of McKeesport N/A 33-10188 https://www.sec.gov/litigation/admin/2016/33-10188.pdf 3-17481 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ohio State University (The) N/A 33-10189 https://www.sec.gov/litigation/admin/2016/33-10189.pdf 3-17482 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Thompson School District No. R2-J N/A 33-10190 https://www.sec.gov/litigation/admin/2016/33-10190.pdf 3-17483 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Town of Fairfield, Connecticut N/A 33-10191 https://www.sec.gov/litigation/admin/2016/33-10191.pdf 3-17484 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Town of Hilton Head Island, South Carolina N/A 33-10192 https://www.sec.gov/litigation/admin/2016/33-10192.pdf 3-17485 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Town of York, Maine N/A 33-10193 https://www.sec.gov/litigation/admin/2016/33-10193.pdf 3-17486 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Township of East Brunswick, New Jersey N/A 33-10194 https://www.sec.gov/litigation/admin/2016/33-10194.pdf 3-17487 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Unified School District No. 418, McPherson County, N/A 33-10195 https://www.sec.gov/litigation/admin/2016/33-10195.pdf 3-17488 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Westchester County Health Care Corporation N/A 33-10196 https://www.sec.gov/litigation/admin/2016/33-10196.pdf 3-17489 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Wyoming Community Development Authority N/A 33-10197 https://www.sec.gov/litigation/admin/2016/33-10197.pdf 3-17490 2016-08-24 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Yukon Municipal Authority, Yukon, Oklahoma N/A 33-10198 https://www.sec.gov/rules/other/2016/33-10198.pdf 34-78687 S7-18-16 2016-08-25 Request for Comment Request for Comment 17 CFR Part 229 http://www.federalregister.gov/citation/81-FR-59927 81-FR-59927 33-10199 https://www.sec.gov/alj/aljdec/2016/33-10199.pdf 34-78705 IA-4514 IC-32240 3-15446 2016-08-26 Notice that Initial Decision has Become Final Notice Drennan, Douglas F. N/A 33-10200 https://www.sec.gov/rules/other/2016/33-10200.pdf 34-78726 NO FILE NUMBER 2016-08-30 Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates Orders Fiscal Year 2017 Annual Adjustments to the Fee Rates http://www.federalregister.gov/citation/81-FR-61200 81-FR-61200 33-10201 https://www.sec.gov/rules/proposed/2016/33-10201.pdf 34-78737 S7-19-16 2016-08-31 Proposed Rule/Exhibit Hyperlinks and HTML Format Proposed Rule Exhibit Hyperlinks and HTML Format http://www.federalregister.gov/citation/81-FR-62689 81-FR-62689 33-10202 https://www.sec.gov/litigation/opinions/2016/33-10202.pdf 34-78739 IA-4519 IC-32250 3-15918 2016-08-31 Order Granting Partial Stay Orders Malouf, Dennis J. N/A 33-10203 https://www.sec.gov/rules/other/2016/33-10203.pdf 34-78769 IA-4521 IC-32251 S7-20-16 2016-09-02 Semiannual Regulatory Agenda Orders Semiannual Regulatory Agenda http://www.federalregister.gov/citation/81-FR-94898 81-FR-94898 33-10204 https://www.sec.gov/litigation/admin/2016/33-10204.pdf 34-78794 3-17533 2016-09-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled BOKF, NA N/A 33-10205 https://www.sec.gov/litigation/opinions/2016/33-10205.pdf 34-78797 3-15790 2016-09-09 Opinion Opinions Cohen, Moshe Marc N/A 33-10206 https://www.sec.gov/litigation/opinions/2016/33-10206.pdf 34-78821 3-14848 2016-09-13 Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to OptionXpress Orders OptionsXress, Inc. Feldman, Jonathan I. N/A 33-10207 https://www.sec.gov/litigation/opinions/2016/33-10207.pdf 34-78822 IA-4528 IC-32258 3-15918 2016-09-13 Corrected Order Imposing Remedial Sanctions Orders Malouf, Dennis J. N/A 33-10208 https://www.sec.gov/rules/other/2016/33-10208.pdf 34-78844 265-27 2016-09-15 Notice of meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-64519 81-FR-64519 33-10209 https://www.sec.gov/rules/other/2016/33-10209.pdf 34-78845 39-2511 IA-4530 IC-32263 S7-21-16 2016-09-15 Publication of list of rules scheduled for review Notice Regulatory Flexibility Act Rule Review List http://www.federalregister.gov/citation/81-FR-64364 81-FR-64364 33-10210 https://www.sec.gov/litigation/admin/2016/33-10210.pdf 34-78863 3-17545 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Notice of Hearing AP Settled Fusion Pharm, Inc. N/A 33-10211 https://www.sec.gov/litigation/admin/2016/33-10211.pdf 34-78864 AAER-3801 3-17546 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Notice of Hearing AP Settled Dittman, Scott M. CPA N/A 33-10212 https://www.sec.gov/litigation/admin/2016/33-10212.pdf 34-78865 3-17547 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Notice of Hearing AP Litigated Sears, William J. N/A 33-10213 https://www.sec.gov/litigation/admin/2016/33-10213.pdf 34-78866 3-17548 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Notice of Hearing AP Litigated Microcap Management LLC Bayside Realty Holdings LLC Meadpoint Venture Partners, LLC N/A 33-10214 https://www.sec.gov/litigation/admin/2016/33-10214.pdf 34-78867 3-17549 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Notice of Hearing AP Litigated Bodden, Cliffe R. N/A 33-10215 https://www.sec.gov/litigation/admin/2016/33-10215.pdf 3-17550 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated DiTommaso, Tod A. N/A 33-10216 https://www.sec.gov/litigation/admin/2016/33-10216.pdf 3-17551 2016-09-16 Order Temporarily Suspending Exemption, Statement of Reasons For Entry of Order, and Notice of and Opportunity For Hearing AP Litigated Med-X, Inc. N/A 33-10217 https://www.sec.gov/rules/final/2016/33-10217.pdf 34-78883 39-2512 IC-32269 NO FILE NUMBER 2016-09-20 Final Rule Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-67118 81-FR-67118 33-10218 https://www.sec.gov/litigation/admin/2016/33-10218.pdf 34-78894 3-17559 2016-09-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Rose, Sheldon MKJJ Consulting LLC N/A 33-10219 https://www.sec.gov/litigation/opinions/2016/33-10219.pdf 34-78898 IC-32279 3-16498 2016-09-21 Opinion Opinions Schalk, Russell C. Jr. N/A 33-10220 https://www.sec.gov/rules/proposed/2016/33-10220.pdf 34-78926 IC-32281 S7-15-16 2016-09-23 Extension of Comment Period for Disclosure Update and Simplification Ext. of Comment Period 33 Act; 34 Act; IC Act; Disclosure requirements http://www.federalregister.gov/citation/81-FR-66898 81-FR-66898 33-10221 https://www.sec.gov/litigation/admin/2016/33-10221.pdf 34-78944 AAER-3806 3-17582 2016-09-27 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Weatherford International plc f/k/a Weatherford International Ltd. Hudgins, James M. Kitay, Darryl S. N/A 33-10222 https://www.sec.gov/litigation/admin/2016/33-10222.pdf 34-78947 AAER-3807 3-17583 2016-09-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Orrstown Financial Services, Inc. Quinn, Thomas R. Everly, Bradley S. Embly, Jeffrey W. Barton, Douglas P. N/A 33-10223 https://www.sec.gov/litigation/admin/2016/33-10223.pdf 34-78948 IC-32290 3-17584 2016-09-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Silverman, Jeffrey A. Silverman, Anthony N/A 33-10224 https://www.sec.gov/rules/other/2016/33-10224.pdf NO FILE NUMBER 2016-09-28 Order Granting A Waiver of Disqualification Provision Orders SG Americas Securities, LLC N/A 33-10225 https://www.sec.gov/litigation/opinions/2016/33-10225.pdf 34-78990 IA-4541 IC-32294 3-15737 2016-09-29 Order Granting Partial Stay Orders Gonnella, Thomas C. N/A 33-10226 https://www.sec.gov/litigation/admin/2016/33-10226.pdf 34-79002 3-17603 2016-09-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Rainbow International, Corp., a/k/a Raintree Brands Incorporated Corn, Donald R. N/A 33-10227 https://www.sec.gov/litigation/opinions/2016/33-10227.pdf 34-79009 IA-4543 IC-32298 3-15617 2016-09-30 Opinion Opinions Grossman, Larry C. N/A 33-10228 https://www.sec.gov/litigation/admin/2016/33-10228.pdf 34-79031 IA-4545 IC-32301 3-17614 2016-10-04 Order Instituting Administrative and Cease-and-Desist Proceeding AP Litigated Laurence I. Balter (d/b/a Oracle Investment Research) N/A 33-10229 https://www.sec.gov/litigation/admin/2016/33-10229.pdf 34-79044 3-17617 2016-10-05 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions. AP Settled Credit Suisse AG N/A 33-10230 https://www.sec.gov/litigation/admin/2016/33-10230.pdf 34-79045 3-17618 2016-10-05 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions. AP Settled Bögli , Rolf N/A 33-10231 https://www.sec.gov/rules/final/2016/33-10231.pdf 34-79095 IC-32314 S7-08-15 2016-10-13 Final Rule/Investment Company Reporting Modernization Final Rule 33 Act; IC Act; Rules 30a-4;30b1-9;8b-16;8b-33;10f-3;30a-1; 30a-2; 30a-3; 30d-1 and Forms N-PORT; N-CEN; N-8F; N-1A;N-2;N-3;N-4;N-6;N-14; N-CSR;Rescind Rules 30b1-1; 30b1-2; 30b1-3; 30b1-5 and Forms N-SAR and N-Q; 34Act; Rules 10A-1; 12b-25; 13a-10;13a-11; 13a-13;13a-16;15d-10;15d-11;15d-13;15d-16; Section 322; 330; Reg S-X Article 6 and Article 12; Section 800;Reg S-T Rules 105; 301, and 401; Rescind Section 332 http://www.federalregister.gov/citation/81-FR-81870 81-FR-81870 33-10232 https://www.sec.gov/litigation/admin/2016/33-10232.pdf 34-79093 3-17625 2016-10-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Forcerank LLC N/A 33-10233 https://www.sec.gov/rules/final/2016/33-10233.pdf IC-32315 S7-16-15 2016-10-13 Final Rule/Investment Company Liquidity Risk Management Programs Final Rule 33Act; IC Act; Rules 22e-4; 30b1-10; and Forms N-LIQUID; N-1A; N-PORT, N-CEN http://www.federalregister.gov/citation/81-FR-82142 81-FR-82142 33-10234 https://www.sec.gov/rules/final/2016/33-10234.pdf IC-32316 S7-16-15 2016-10-13 Final Rule/Investment Company Swing Pricing Final Rule 33Act; IC Act; Rules 22c-1 and 31a-2; and Forms N-1A, Reg S-X Article 6, and N-CEN http://www.federalregister.gov/citation/81-FR-82084 81-FR-82084 33-10235 https://www.sec.gov/litigation/opinions/2016/33-10235.pdf 3-17551 2016-10-13 Order Directing Hearing Orders Med-X, Inc. N/A 33-10236 https://www.sec.gov/litigation/admin/2016/33-10236.pdf 34-79112 IA-4553 IC-32320 3-17629 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lebel, Paul T. N/A 33-10237 https://www.sec.gov/litigation/admin/2016/33-10237.pdf 34-79134 3-16228 2016-10-21 Order Making Findings and Imposing a Cease-and-Desist AP Settled Navagate, Inc. Rorke (a/k/a Greg Rorke), Gregory N/A 33-10238 https://www.sec.gov/rules/final/2016/33-10238.pdf 34-79161 S7-22-15 2016-10-26 Final Rule/Exemptions to Facilitate Intrastate and Regional Securities Offerings Final Rule 33 Act; 34 Act; Rule 147; 147A; 504; repeal Rule 505 http://www.federalregister.gov/citation/81-FR-83494 81-FR-83494 33-10239 https://www.sec.gov/litigation/admin/2016/33-10239.pdf 3-17647 2016-10-27 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Kramer, Curt Hope Capital, Inc. N/A 33-10240 https://www.sec.gov/litigation/opinions/2016/33-10240.pdf 34-79177 IC-32341 3-16229 3-16227 2016-10-27 Order Scheduling Briefs Orders Osborn, Gregory N/A 33-10241 https://www.sec.gov/litigation/admin/2016/33-10241.pdf 34-79194 3-17653 2016-10-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Reger, Michael L. N/A 33-10242 https://www.sec.gov/litigation/admin/2016/33-10242.pdf 34-79196 AAER-3821 3-17654 2016-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PKF O’Connor Davies, LLP Consolo, Domenick F. CPA N/A 33-10243 https://www.sec.gov/litigation/admin/2016/33-10243.pdf 3-16509 2016-11-01 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Agostini , Luigi N/A 33-10244 https://www.sec.gov/litigation/opinions/2016/33-10244.pdf 34-79217 IA-4563 IC-32352 3-15617 2016-11-01 Order Granting Partial Stay Orders Grossman, Larry C. N/A 33-10245 https://www.sec.gov/litigation/admin/2016/33-10245.pdf 3-17664 2016-11-04 Order Fixing Time and Place of Public Hearing and Instituting Proceedings Orders Flaster Corp. N/A 33-10246 https://www.sec.gov/litigation/admin/2016/33-10246.pdf 3-17665 2016-11-04 Order Fixing Time and Place of Public Hearing and Instituting proceedings Orders iLOAN Inc. N/A 33-10247 https://www.sec.gov/litigation/admin/2016/33-10247.pdf 3-17666 2016-11-04 Order Fixing Time and Place of Public Hearing and Instituting Proceedings Orders Zubra Inc. N/A 33-10248 https://www.sec.gov/litigation/admin/2016/33-10248.pdf 3-17667 2016-11-04 Order Fixing Time and Place of Public Hearing and Instituting Proceedings Orders Instride, Inc. N/A 33-10249 https://www.sec.gov/litigation/admin/2016/33-10249.pdf 34-79271 3-17671 2016-11-08 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Johnson, Glenn Sinish, William N/A 33-10250 https://www.sec.gov/litigation/admin/2016/33-10250.pdf 34-79280 IA-4567 IC-32356 3-17672 2016-11-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Todd, Derik J. Madison Capital Energy Income Fund II GP LLC Big Horn Minerals LLC Madison Capital Investments LLC Madison Royalty Management LLC N/A 33-10251 https://www.sec.gov/litigation/admin/2016/33-10251.pdf 34-79292 3-17673 2016-11-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled EZTD Inc. (formerly Win Global Markets, Inc.) N/A 33-10252 https://www.sec.gov/litigation/admin/2016/33-10252.pdf 34-79298 3-17674 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Kon, Alexander N/A 33-10253 https://www.sec.gov/litigation/admin/2016/33-10253.pdf 34-79299 3-17675 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Cummings, Casey N/A 33-10254 https://www.sec.gov/litigation/admin/2016/33-10254.pdf 34-79300 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and Desist Order, and a Notice of Hearing AP Settled Dias, Raimundo OTC Global Partners, LLC N/A 33-10255 https://www.sec.gov/rules/other/2016/33-10255.pdf 34-79303 2016-11-14 Order Approving Public Company Accounting Oversight Board Supplemental Budget for Calendar Year 2016 Orders PCAOB 2016 Budget and Accounting Support Fee; Supplemental Budget Request for Inspection Program Area http://www.federalregister.gov/citation/81-FR-81820 81-FR-81820 33-10256 https://www.sec.gov/litigation/admin/2016/33-10256.pdf AAER-3823 3-17678 2016-11-15 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Egan, Christopher N/A 33-10257 https://www.sec.gov/rules/other/2016/33-10257.pdf 34-79336 265-28 2016-11-17 Investor Advisory Committee Meeting Notice Investor Advisory Committee http://www.federalregister.gov/citation/81-FR-83888 81-FR-83888 33-10258 https://www.sec.gov/rules/other/2016/33-10258.pdf 34-79350 265-27 2016-11-18 Notice of meeting. Notice Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-84628 81-FR-84628 33-10259 https://www.sec.gov/litigation/admin/2016/33-10259.pdf 3-16797 2016-11-23 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Ringer , Dennis Ira N/A 33-10260 https://www.sec.gov/litigation/opinions/2016/33-10260.pdf 34-79413 3-16509 2016-11-28 Order Granting Petition for Review and Scheduling Briefs AP Litigated Edward M. Daspin, a/k/a "Edward (Ed) Michael" N/A 33-10261 https://www.sec.gov/alj/aljdec/2016/33-10261.pdf 3-17363 2016-12-05 Notice that Initial Decision Has Become Final Initial Decision Sand International, Inc. N/A 33-10262 https://www.sec.gov/litigation/admin/2016/33-10262.pdf 34-79481 3-17708 2016-12-06 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Equidate, Inc. Equidate Holdings LLC N/A 33-10263 https://www.sec.gov/rules/other/2016/33-10263.pdf NO FILE NUMBER 2016-12-06 Order Granting a Waiver of Rule 506 and Rule Disqualification Provisions Orders Stifel, Nicolaus & Co., Inc. N/A 33-10264 https://www.sec.gov/litigation/admin/2016/33-10264.pdf 34-79507 IC-32383 3-17716 2016-12-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrance A. N/A 33-10265 https://www.sec.gov/rules/final/2016/33-10265.pdf 34-79519 39-2513 IC-32387 2016-12-09 Final Rule Final Rule Revisions to the EDGAR Filer Manual, Volume I and Volume II http://www.federalregister.gov/citation/82-FR-7645 82-FR-7645 33-10266 https://www.sec.gov/rules/other/2016/33-10266.pdf 34-79544 2016-12-14 Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2017 Orders PCAOB's 2017 Budget and Accounting Support Fee http://www.federalregister.gov/citation/81-FR-92885 81-FR-92885 33-10267 https://www.sec.gov/litigation/admin/2016/33-10267.pdf 34-79571 3-17726 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Nguyen, Lan Phuong Esq. N/A 33-10268 https://www.sec.gov/litigation/admin/2016/33-10268.pdf 34-79573 3-17727 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Muellerleile, Michael J. Esq. M2 Law Professional Corp. N/A 33-10269 https://www.sec.gov/litigation/admin/2016/33-10269.pdf 34-79574 3-17728 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Felix, Joel N/A 33-10270 https://www.sec.gov/litigation/admin/2016/33-10270.pdf 34-79575 3-17729 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Empire Stock Transfer Inc. Blevins, Matthew J. N/A 33-10271 https://www.sec.gov/rules/other/2016/33-10271.pdf NO FILE NUMBER 2016-12-16 Order Granting a Waiver from Being an Ineligible Issuer Orders Deutsche Bank Aktiengesellschaft N/A 33-10272 https://www.sec.gov/litigation/admin/2016/33-10272.pdf 34-79576 IA-4590 3-17730 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Deutsche Bank Securities Inc. N/A 33-10273 https://www.sec.gov/rules/other/2016/33-10273.pdf 3-17730 2016-12-16 Order Granting a Waiver from Being an Ineligible Issuer Orders Deutsche Bank Aktiengesellschaft N/A 33-10274 https://www.sec.gov/litigation/admin/2016/33-10274.pdf 34-79605 3-15619 2016-12-19 Order Making Findings and Imposing a Cease-and-Desist order AP Settled Doxey, Joseph P. N/A 33-10275 https://www.sec.gov/rules/other/2016/33-10275.pdf 2016-12-21 Order Granting a Waiver Orders Goldman, Sachs & Co. Goldman Sachs Group, Inc. N/A 34-76816 https://www.sec.gov/rules/sro/edgx/2016/34-76816.pdf SR-EDGX-2015-67 2016-01-04 Notice / Immediate Effectiveness Related to Fees for Use of EDGX Exchange, Inc. SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-987 81-FR-987 34-76817 https://www.sec.gov/rules/sro/nasdaq/2016/34-76817.pdf SR-NASDAQ-2015-161 2016-01-04 Notice / Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and the First Trust RiverFront Dynamic Devel SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-978 81-FR-978 34-76818 https://www.sec.gov/litigation/admin/2016/34-76818.pdf 3-17034 2016-01-04 Order Instituting Cease-and-Desist Proceeding, Making Findings, And Imposing A Cease-and-Desist Proceeding AP Settled Sheilds, Vivan S. N/A 34-76819 https://www.sec.gov/rules/sro/nysearca/2016/34-76819.pdf SR-NYSEARCA-2015-110 2016-01-04 Notice / Designation of a Longer Period for Commission Action on Proposed Rule Change to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-987 81-FR-987 34-76820 https://www.sec.gov/rules/sro/bats/2016/34-76820.pdf SR-BATS-2015-100 2016-01-04 Notice / of Designation of a Longer Period for Commission Action on Proposed Rule Change to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-989 81-FR-989 34-76821 https://www.sec.gov/rules/sro/occ-an/2016/34-76821.pdf SR-OCC-2015-805 2016-01-04 Notice / No Objection as Modified by Amendment Nos. 1, 2 and 3, Concerning The Options Clearing Corporation's Non-Bank Liquidity Facility SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-3208 81-FR-3208 34-76822 https://www.sec.gov/rules/sro/nms/2016/34-76822.pdf 4-443 2016-01-05 Notice / Immediate Effectiveness of Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add EDGX Exchange, Inc as a Plan Sponsor SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/81-FR-1251 81-FR-1251 34-76823 https://www.sec.gov/rules/sro/nms/2016/34-76823.pdf 4-546 2016-01-05 Notice / Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add the EDGX Exchange, Inc. as a Participant SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/81-FR-1260 81-FR-1260 34-76824 https://www.sec.gov/rules/sro/cboe/2016/34-76824.pdf SR-CBOE-2015-118 2016-01-05 Notice / Immediate Effectiveness to Extend the Credit Option Margin Pilot Program through January 17, 2017 SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-1255 81-FR-1255 34-76825 https://www.sec.gov/rules/sro/nasdaq/2016/34-76825.pdf SR-NASDAQ-2015-162 2016-01-05 Notice / Immediate Effectiveness to Amend Nasdaq Rule 7015 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-1257 81-FR-1257 34-76826 https://www.sec.gov/rules/sro/nasdaq/2016/34-76826.pdf SR-NASDAQ-2015-164 2016-01-05 Notice / Immediate Effectiveness to Amend Rule 7014 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-1249 81-FR-1249 34-76827 https://www.sec.gov/litigation/admin/2016/34-76827.pdf 3-16916 2016-01-05 Order Making Findings And Imposing Remedial Sanctions AP Settled King, Jeffrey A. N/A 34-76828 https://www.sec.gov/rules/sro/cboe/2016/34-76828.pdf SR-CBOE-2015-115 2016-01-05 Notice / Immediate Effectiveness to Fees for Certain CBOE Real-Time Data Feeds SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-1268 81-FR-1268 34-76829 https://www.sec.gov/rules/sro/bx/2016/34-76829.pdf SR-BX-2015-086 2016-01-05 Notice / Immediate Effectiveness to Amend the Retail Price Improvement Program SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-1238 81-FR-1238 34-76830 https://www.sec.gov/rules/sro/nasdaq/2016/34-76830.pdf SR-NASDAQ-2015-163 2016-01-05 Notice / Immediate Effectiveness to Delay of Implementation of Kill Switch SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-1266 81-FR-1266 34-76831 https://www.sec.gov/rules/sro/bx/2016/34-76831.pdf SR-BX-2015-088 2016-01-05 Notice / Immediate Effectiveness to Delay of Implementation of Kill Switch SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-1261 81-FR-1261 34-76832 https://www.sec.gov/rules/sro/bats/2016/34-76832.pdf SR-BATS-2015-119 2016-01-05 Notice / Immediate Effectiveness to Amend Rule 11.22, Data Products, to Describe IPO Auction Viewer SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-1252 81-FR-1252 34-76833 https://www.sec.gov/rules/sro/nasdaq/2016/34-76833.pdf SR-NASDAQ-2015-159 2016-01-05 Notice / to Implement Additional Price Protections in the Opening Process SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-1240 81-FR-1240 34-76834 https://www.sec.gov/litigation/opinions/2016/34-76834.pdf 3-16900 2016-01-05 Order Directing Additional Briefing Order Success Trade Securities, Inc. Ahmed, Fuad N/A 34-76835 https://www.sec.gov/rules/sro/ise/2016/34-76835.pdf SR-ISE-2015-44 2016-01-05 Notice / Immediate Effectiveness to Establish the Securities Trader and Securities Trader Principal Registration Categories SRO Filing International Securities Exchange http://www.federalregister.gov/citation/81-FR-1245 81-FR-1245 34-76836 https://www.sec.gov/rules/sro/isegemini/2016/34-76836.pdf SR-ISEGEMINI-2015-28 2016-01-05 Notice / Immediate Effectiveness to Establish the Securities Trader and Securities Trader Principal Registration Categories SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-1263 81-FR-1263 34-76837 https://www.sec.gov/litigation/admin/2016/34-76837.pdf 3-15211 2016-01-05 Notice of Amended Proposed Plan of Distribution and Opportunity for Comment Notice Charles Vista, LLC Lorenzo, Francis V. Lorenzo, Gregg C. N/A 34-76838 https://www.sec.gov/litigation/admin/2016/34-76838.pdf IA-4305 3-17035 2016-01-05 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Desai, Shreyans N/A 34-76839 https://www.sec.gov/litigation/admin/2016/33-10001.pdf 33-10001 IA-4306 3-17036 2016-01-06 Order Instituting Administrative And Cease-And-Desist AP Settled J.P. Morgan Securities LLC N/A 34-76840 https://www.sec.gov/rules/sro/ficc/2016/34-76840.pdf SR-FICC-2015-005 2016-01-06 Notice / Immediate Effectiveness to Modify the Government Securities Division Fee Schedule SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-1450 81-FR-1450 34-76841 https://www.sec.gov/rules/sro/bats/2016/34-76841.pdf SR-BATS-2015-101 2016-01-06 Notice / Designation of a Longer Period to Adopt Rule 8.17 to Provide a Process for an Expedited Client Suspension Proceeding and Rule 12.15 to Prohibit Disruptive Quoting and Trading Activity SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-1457 81-FR-1457 34-76842 https://www.sec.gov/rules/sro/cboe/2016/34-76842.pdf SR-CBOE-2015-117 2016-01-06 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-1455 81-FR-1455 34-76843 https://www.sec.gov/litigation/admin/2016/34-76843.pdf 3-17037 2016-01-06 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Palmer, Wayne L. N/A 34-76844 https://www.sec.gov/rules/sro/bats/2016/34-76844.pdf SR-BATS-2015-123 2016-01-07 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-1655 81-FR-1655 34-76845 https://www.sec.gov/rules/sro/nyse/2016/34-76845.pdf SR-NYSE-2016-07 2016-01-07 Notice / Immediate Effectiveness to Amend Rule 132.30(9) to Conform the Exchange's Rules to Industry-Wide Standards for Recording the Capacity in which a Member Organization Executes a Transaction SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-1668 81-FR-1668 34-76846 https://www.sec.gov/litigation/admin/2016/34-76846.pdf 3-17038 2016-01-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Divia.com, Inc. Environmental Products & Technologies Corp. (a/k/a Enviro Products & Technologies Corp.) The Financial Group Connection, Inc. (a/k/a Financial Group Connection, Inc.) Design Products, Inc. Four Peaks Group Inc. China Holdings Group, Inc. N/A 34-76847 https://www.sec.gov/litigation/admin/2016/34-76847.pdf 3-17039 2016-01-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Corvair Resources Inc. Denver Resources Inc. Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.) Dalian Capital Group, Inc. N/A 34-76848 https://www.sec.gov/rules/other/2016/34-76848.pdf NO FILE NUMBER 2016-01-07 Order Order Order Making Fiscal Year 2016 Annual Adjustments to Transaction Fee Rates http://www.federalregister.gov/citation/81-FR-1458 81-FR-1458 34-76849 https://www.sec.gov/rules/sro/bats/2016/34-76849.pdf SR-BATS-2015-121 2016-01-07 Notice / Filing and Immediate Effectiveness of A Proposed Rule Changes to Rules 11.5, Registration Market Makers, 11.6 Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers In A Security, and 11.8, Obligations of Market SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-1657 81-FR-1657 34-76850 https://www.sec.gov/rules/sro/finra/2016/34-76850.pdf SR-FINRA-2016-001 2016-01-07 Notice / Immediate Effectiveness SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-1666 81-FR-1666 34-76851 https://www.sec.gov/rules/sro/edga/2016/34-76851.pdf SR-EDGA-2015-49 2016-01-07 Notice / Notice of Filing and Immediate Effectiveness of a Proposed Rule Change to Rules 11.17, Registration of Market Makers, and 11.20, Obligations of Market Makers SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-1647 81-FR-1647 34-76852 https://www.sec.gov/rules/sro/byx/2016/34-76852.pdf SR-BYX-2015-53 2016-01-07 Notice / Immediate Effectiveness to Rules 11.5, Registration of Market Makers, 11.6, Obligations of Market Maker Authorized Traders, 11.7, Registration of Market Makers in a Security, and 11.8, Obligations of Market Makers SRO Filing BATS Y-Exchange, Inc http://www.federalregister.gov/citation/81-FR-1661 81-FR-1661 34-76853 https://www.sec.gov/rules/sro/edgx/2016/34-76853.pdf SR-EDGX-2015-68 2016-01-07 Notice / Immediate Effectiveness to Rules 11.17, Registration of Market Makers, and 11.20, Obligations of Market Makers SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-1651 81-FR-1651 34-76854 https://www.sec.gov/rules/sro/finra/2016/34-76854.pdf SR-FINRA-2015-48 2016-01-07 Notice / Designation of a Longer Period to Establish Rules to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Plan to Implement A Tick Size Pilot Program SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-1670 81-FR-1670 34-76855 https://www.sec.gov/rules/sro/finra/2016/34-76855.pdf SR-FINRA-2015-47 2016-01-07 Notice / Designation of a Longer Period to Establish Rules to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-1670 81-FR-1670 34-76856 https://www.sec.gov/rules/sro/17d-2/2016/34-76856.pdf 4-694 2016-01-08 Notice / Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, Inc. SRO Filing Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 N/A 34-76857 https://www.sec.gov/rules/sro/cboe/2016/34-76857.pdf SR-CBOE-2016-003 2016-01-08 Notice / Immediate Effectiveness Related to Limit Order Price Protections for Stock-option Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-1980 81-FR-1980 34-76858 https://www.sec.gov/rules/sro/phlx/2016/34-76858.pdf SR-PHLX-2015-109 2016-01-08 Notice / Immediate Effectiveness to Amend Permit Fees SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-1976 81-FR-1976 34-76859 https://www.sec.gov/litigation/admin/2016/34-76859.pdf 3-17041 2016-01-08 Corrected Order Instituting Administrative Proceedings, Making Findings AP Settled Olivia, John N/A 34-76860 https://www.sec.gov/litigation/suspensions/2016/34-76860.pdf 500-1 2016-01-11 Trading Suspension Trading Suspension DC Brands International Inc. http://www.federalregister.gov/citation/81-FR-1665 81-FR-1665 34-76861 https://www.sec.gov/litigation/admin/2016/34-76861.pdf 3-17042 2016-01-11 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated DC Brands International, Inc. N/A 34-76862 https://www.sec.gov/rules/sro/bats/2016/34-76862.pdf SR-BATS-2015-94 2016-01-11 Notice / to List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-2282 81-FR-2282 34-76863 https://www.sec.gov/rules/sro/bats/2016/34-76863.pdf SR-BATS-2015-120 2016-01-11 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-2275 81-FR-2275 34-76864 https://www.sec.gov/rules/sro/bats/2016/34-76864.pdf SR-BATS-2015-122 2016-01-11 Notice / Immediate Effectiveness to Rules 27.1, Definitions, and 27.4, Temporary Rule Governing Phase-Out of P and P/A Orders SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-2266 81-FR-2266 34-76865 https://www.sec.gov/rules/sro/nyse/2016/34-76865.pdf SR-NYSE-2016-06 2016-01-11 Notice / Immediate Effectiveness to Adopt a Trading License Fee for Calendar Year 2016, Effective January 4, 2016 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-2264 81-FR-2264 34-76866 https://www.sec.gov/litigation/admin/2016/34-76866.pdf 3-17043 2016-01-11 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Crawford, Paul D. N/A 34-76867 https://www.sec.gov/rules/sro/phlx/2016/34-76867.pdf SR-PHLX-2015-115 2016-01-11 Notice / Immediate Effectiveness to Amend Chapter VIII of the Pricing Schedule SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-2271 81-FR-2271 34-76868 https://www.sec.gov/rules/sro/bx/2016/34-76868.pdf SR-BX-2015-087 2016-01-11 Notice / Immediate Effectiveness to Amend Rule 7015 SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-2268 81-FR-2268 34-76869 https://www.sec.gov/rules/sro/nysearca/2016/34-76869.pdf SR-NYSEARCA-2015-86 2016-01-11 Order / Notice / Order Granting Accelerated Approval Relating to Auctions for Pillar, the Exchange's New Trading Technology Platform SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-2276 81-FR-2276 34-76870 https://www.sec.gov/rules/sro/dtc/2016/34-76870.pdf SR-DTC-2016-001 2016-01-11 Notice / Immediate Effectiveness to Amend the DTC Custody Service Guide to Codify Its Current Procedures for Assigning a Value to Custody Service Securities for Shipping Insurance Valuation Purposes SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-2270 81-FR-2270 34-76871 https://www.sec.gov/rules/sro/nysearca/2016/34-76871.pdf SR-NYSEARCA-2015-114 2016-01-11 Notice / Order Granting Accelerated Approval and Trade Shares of the Market Vectors Dynamic Put Write ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-2261 81-FR-2261 34-76872 https://www.sec.gov/litigation/admin/2016/34-76872.pdf 3-17044 2016-01-11 Order Instituting Administrative proceedings and Notice of Hearing AP Litigated Go Green Smokeless Oil International, Inc. T.O Entertainment, Inc. (f/k/a IBI Acquisitions, Inc. Xian Resources, Ltd. N/A 34-76873 https://www.sec.gov/litigation/admin/2016/34-76873.pdf 3-17045 2016-01-11 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled NHS Financial, Inc. N/A 34-76874 https://www.sec.gov/rules/sro/nasdaq/2016/34-76874.pdf SR-NASDAQ-2015-167 2016-01-12 Notice / Immediate Effectiveness to Amend Section (a)(6) of Rule 1120, Continuing Education Requirements SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-2935 81-FR-2935 34-76875 https://www.sec.gov/rules/sro/bx/2016/34-76875.pdf SR-BX-2016-002 2016-01-12 Notice / Immediate Effectiveness to Amend Section (a)(6) of Rule 1120 (Continuing Education Requirements) SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-2925 81-FR-2925 34-76876 https://www.sec.gov/litigation/admin/2016/33-10002.pdf 33-10002 AAER-3731 3-16729 2016-01-12 Order Making Findings and Imposing a Cease-and-Desist Order and Penalties AP Settled Miller Energy Resources, Inc. N/A 34-76877 https://www.sec.gov/litigation/admin/2016/34-76877.pdf 3-16389 2016-01-12 Order Approving Plan of Distribution Order Graham, Brett Thomas VCAP Securitites, LLC N/A 34-76878 https://www.sec.gov/litigation/admin/2016/34-76878.pdf IA-4310 3-17046 2016-01-12 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Higgins, Richard M. N/A 34-76879 https://www.sec.gov/litigation/admin/2016/34-76879.pdf AAER-3732 3-17047 2016-01-12 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hackney, Reid A., CPA N/A 34-76880 https://www.sec.gov/rules/sro/phlx/2016/34-76880.pdf SR-PHLX-2015-118 2016-01-12 Notice / Immediate Effectiveness to Amend Section (a)(4) of Rule 640, Continuing Education for Registered Persons SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-2928 81-FR-2928 34-76881 https://www.sec.gov/rules/sro/cboe/2016/34-76881.pdf SR-CBOE-2015-119 2016-01-12 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-2931 81-FR-2931 34-76882 https://www.sec.gov/litigation/admin/2016/34-76882.pdf 3-17048 2016-01-13 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Litigated Champion Enterprises, Inc. (a/k/a CEI Liquidation Estate) N/A 34-76883 https://www.sec.gov/rules/other/2016/34-76883.pdf 265-29 2016-01-13 Notice of Meeting Notice Equity Market Structure Advisory Committee http://www.federalregister.gov/citation/81-FR-2931 81-FR-2931 34-76884 https://www.sec.gov/rules/sro/bats/2016/34-76884.pdf SR-BATS-2015-124 2016-01-13 Notice / to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the REX VolMAX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-3195 81-FR-3195 34-76885 https://www.sec.gov/litigation/admin/2016/34-76885.pdf IA-4311 3-17049 2016-01-13 Order Instituting Administrative Proceedings And Notice of Hearing AP Litigated RAHFCO Management Group, LLC N/A 34-76886 https://www.sec.gov/rules/sro/nasdaq/2016/34-76886.pdf SR-NASDAQ-2015-166 2016-01-13 Notice / Immediate Effectiveness to Chapter XV, entitled "Options Pricing" SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-3220 81-FR-3220 34-76887 https://www.sec.gov/rules/sro/dtc/2016/34-76887.pdf SR-DTC-2015-011 2016-01-13 Order / Regarding the Acknowledgment of End-of-Day Net-Net Settlement Balances by Settling Banks SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-3218 81-FR-3218 34-76888 https://www.sec.gov/rules/sro/cboe/2016/34-76888.pdf SR-CBOE-2015-122 2016-01-13 Notice / Immediate Effectiveness Relating to COPS SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-3210 81-FR-3210 34-76889 https://www.sec.gov/rules/sro/nysemkt/2016/34-76889.pdf SR-NYSEMKT-2015-113 2016-01-13 Notice / Immediate Effectiveness to Amend Market Data Fees for the NYSE Amex Options Product SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-3225 81-FR-3225 34-76890 https://www.sec.gov/rules/sro/nysearca/2016/34-76890.pdf SR-NYSEARCA-2015-130 2016-01-13 Notice / Immediate Effectiveness to Amend Market Data Fees for the NYSE Arca Options Product SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-3213 81-FR-3213 34-76891 https://www.sec.gov/rules/sro/bats/2016/34-76891.pdf SR-BATS-2015-102 2016-01-13 Notice / Designation of a Longer Period to Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot Program SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-3218 81-FR-3218 34-76892 https://www.sec.gov/rules/sro/miax/2016/34-76892.pdf SR-MIAX-2016-01 2016-01-13 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-3206 81-FR-3206 34-76893 https://www.sec.gov/rules/sro/ise/2016/34-76893.pdf SR-ISE-2015-30 2016-01-13 Notice / Designation of Longer Period to Amend Rule 804(g) SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-3217 81-FR-3217 34-76894 https://www.sec.gov/rules/sro/isegemini/2016/34-76894.pdf SR-ISEGEMINI-2015-17 2016-01-13 Notice / Designation of a Longer Period to Amend Rule 804(g) SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-3213 81-FR-3213 34-76895 https://www.sec.gov/rules/sro/cboe/2016/34-76895.pdf SR-CBOE-2015-121 2016-01-13 Notice / Immediate Effectiveness to Amend Rule 8.3 Relating to Appointment Costs SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-3203 81-FR-3203 34-76896 https://www.sec.gov/litigation/admin/2016/34-76896.pdf IA-4313 3-16936 2016-01-13 Order Making Findings and Imposing Remedial Sanctions AP Settled Brooks, Jonathan Warren N/A 34-76897 https://www.sec.gov/litigation/admin/2016/34-76897.pdf IA-4314 3-17051 2016-01-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Everhart Financial Group, Inc. Everhart, Richard Scott Romeo, Matthew James N/A 34-76898 https://www.sec.gov/litigation/admin/2016/34-76898.pdf 3-17052 2016-01-14 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Andain, Inc. N/A 34-76899 https://www.sec.gov/litigation/admin/2016/34-76899.pdf 3-17053 2016-01-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Goldman, Sachs & Co. N/A 34-76900 https://www.sec.gov/rules/sro/nyse/2016/34-76900.pdf SR-NYSE-2016-02 2016-01-14 Notice / Immediate Effectiveness Amending the Fees for NYSE OpenBook SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-3506 81-FR-3506 34-76901 https://www.sec.gov/rules/sro/nysemkt/2016/34-76901.pdf SR-NYSEMKT-2016-03 2016-01-14 Notice / Immediate Effectiveness Amending the Fees for NYSE MKT OpenBook SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-3514 81-FR-3514 34-76902 https://www.sec.gov/rules/sro/phlx/2016/34-76902.pdf SR-PHLX-2016-01 2016-01-14 Notice / Immediate Effectiveness to Delete Phlx Rules 792, 794, 797, and 798 SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-3527 81-FR-3527 34-76903 https://www.sec.gov/rules/sro/nysearca/2016/34-76903.pdf SR-NYSEARCA-2016-01 2016-01-14 Notice / Immediate Effectiveness Amending the Fees for NYSE ArcaBook SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-3547 81-FR-3547 34-76904 https://www.sec.gov/litigation/admin/2016/34-76904.pdf 3-17054 2016-01-14 Order Instituting Cease-and Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Debaggis, Vincent J. N/A 34-76905 https://www.sec.gov/litigation/admin/2016/34-76905.pdf 3-17055 2016-01-14 Order Instituting Cease-and Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled State Street Bank and Trust Company N/A 34-76906 https://www.sec.gov/rules/sro/nysemkt/2016/34-76906.pdf SR-NYSEMKT-2016-04 2016-01-14 Notice / Immediate Effectiveness Amending the Fees for NYSE MKT BBO and NYSE MKT Trades SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-3500 81-FR-3500 34-76907 https://www.sec.gov/rules/sro/nysemkt/2016/34-76907.pdf SR-NYSEMKT-2016-07 2016-01-14 Notice / Immediate Effectiveness Amending Rule 132.30(9) - Equities to Conform the Exchange's Rules to Industry-Wide Standards for Recording the Capacity in Which a Member Organization Executes a Transaction SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-3530 81-FR-3530 34-76908 https://www.sec.gov/rules/sro/finra/2016/34-76908.pdf SR-FINRA-2015-036 2016-01-14 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Partial Amendment No. 1 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-3532 81-FR-3532 34-76909 https://www.sec.gov/rules/sro/cboe/2016/34-76909.pdf SR-CBOE-2015-106 2016-01-14 Order / to Permit P.M.-Settled Options on Broad-Based Indexes to Expire on Any Wednesday of the Month by Expanding the End of Week/End of Month Pilot Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-3512 81-FR-3512 34-76910 https://www.sec.gov/rules/sro/phlx/2016/34-76910.pdf SR-PHLX-2016-02 2016-01-14 Notice / Immediate Effectiveness to Delete Obsolete Rules 1000B - 1012B and to Amend Rule 722 SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-3489 81-FR-3489 34-76911 https://www.sec.gov/rules/sro/nysemkt/2016/34-76911.pdf SR-NYSEMKT-2016-05 2016-01-14 Notice / Immediate Effectiveness Amending the Fees for NYSE MKT Order Imbalances SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-3496 81-FR-3496 34-76912 https://www.sec.gov/rules/sro/nyse/2016/34-76912.pdf SR-NYSE-2016-03 2016-01-14 Notice / Immediate Effectiveness Amending the Fees for NYSE BBO and NYSE Trades SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-3490 81-FR-3490 34-76913 https://www.sec.gov/litigation/opinions/2016/34-76913.pdf 3-16353 2016-01-14 Order Granting Petition for Review and Scheduling Briefs Order Spring Hill Capital Partners, LLC Spring Hill Capital Markets, LLC White, Kevin D. Spring Hill Capital Holdings, LLC N/A 34-76914 https://www.sec.gov/rules/sro/nysearca/2016/34-76914.pdf SR-NYSEARCA-2016-03 2016-01-14 Notice / Immediate Effectiveness Amending the Fees for NYSE Arca Integrated Feed SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-3484 81-FR-3484 34-76915 https://www.sec.gov/rules/sro/bx/2016/34-76915.pdf SR-BX-2016-001 2016-01-14 Notice / Immediate Effectiveness to Amend Exchange Rule 7018 SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-3545 81-FR-3545 34-76916 https://www.sec.gov/litigation/admin/2016/34-76916.pdf IC-31957 3-17056 2016-01-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Invent Ventures, Inc. Knight, Bryce M. N/A 34-76917 https://www.sec.gov/litigation/admin/2016/34-76917.pdf 3-16678 2016-01-15 Order Making Findings and Revoking Registration AP Settled Gundaker/ Jordan American Holdings (a/k/a Jordan American Holdings, Inc.) N/A 34-76918 https://www.sec.gov/litigation/admin/2016/34-76918.pdf 3-16907 2016-01-15 Notice That Initial Decision Has Become Final Notice New Leaf Brands, Inc. N/A 34-76919 https://www.sec.gov/litigation/admin/2016/34-76919.pdf 3-16906 2016-01-15 Notice That Initial Decision Has Become Final Notice Biostem U.S. Corp. Accentia Biopharmaceuticals, Inc. N/A 34-76920 https://www.sec.gov/rules/sro/oc/2016/34-76920.pdf SR-OC-2015-03 2016-01-15 Notice / Relating to the Summary Imposition of Fines SRO Filing OneChicago, LLC http://www.federalregister.gov/citation/81-FR-3850 81-FR-3850 34-76921 https://www.sec.gov/rules/other/2016/34-76921.pdf 2016-2 2016-01-15 Order Determining Whistleblower Award Claim Order Redacted N/A 34-76922 https://www.sec.gov/rules/proposed/2016/34-76922.pdf S7-15-15 2016-01-15 Reopening of comment period Ext. of Comment Period Access to Data Obtained by Security-Based Swap Data Repositories and Exemption from Indemnification Requirement http://www.federalregister.gov/citation/81-FR-3354 81-FR-3354 34-76923 https://www.sec.gov/rules/sro/cboe/2016/34-76923.pdf SR-CBOE-2016-002 2016-01-15 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-3841 81-FR-3841 34-76924 https://www.sec.gov/litigation/admin/2016/34-76924.pdf 3-16411 2016-01-19 Notice That Initial Decision Has Become Final Notice China Printing & Packaging, Inc. Silvan Industries, Inc. N/A 34-76925 https://www.sec.gov/litigation/admin/2016/34-76925.pdf 3-16942 2016-01-19 Notice That Initial Decision Has Become Final Notice Zoro Mining Corp. Public Media Works, Inc. Friendly Energy Exploration N/A 34-76926 https://www.sec.gov/litigation/admin/2016/34-76926.pdf 3-16928 2016-01-19 Notice That Initial Decision Has Become Final Notice Pan Asia Mining Corp. Petro Horizon Energy Corp. Powerhouse Energy Corp. N/A 34-76927 https://www.sec.gov/litigation/admin/2016/33-10004.pdf 33-10004 IA-4315 3-17057 2016-01-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist order AP Settled Equinox Fund Management, LLC N/A 34-76928 https://www.sec.gov/litigation/admin/2016/34-76928.pdf IA-4316 3-17058 2016-01-19 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Barclays Capital Inc. N/A 34-76929 https://www.sec.gov/rules/sro/phlx/2016/34-76929.pdf SR-PHLX-2016-03 2016-01-19 Notice / Immediate Effectiveness to Make Nonsubstantive, Clarifying Amendments to Several Rules Relating to the Clearing of Exchange Options Transactions SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-4074 81-FR-4074 34-76930 https://www.sec.gov/litigation/admin/2016/34-76930.pdf 3-16900 2016-01-19 Extension Order Order Ahmed, Fuad Success Trade Securities, Inc. N/A 34-76931 https://www.sec.gov/rules/sro/finra/2016/34-76931.pdf SR-FINRA-2016-002 2016-01-19 Notice / Immediate Effectiveness Relating to Alternative Trading System Volume and Trading Information SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-4076 81-FR-4076 34-76932 https://www.sec.gov/litigation/admin/2016/34-76932.pdf IA-4317 3-17059 2016-01-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Snedeker, Michael T. N/A 34-76933 https://www.sec.gov/litigation/opinions/2016/33-10005.pdf 33-10005 IA-4318 IC-31962 3-15967 2016-01-19 Order Granting Motion for Extension Order Labine, Lawrence M. N/A 34-76934 https://www.sec.gov/litigation/opinions/2016/34-76934.pdf IA-4319 3-14655 2016-01-19 Order Vacating Municipal Advisor Bar Order Pinard, Dean Zenon N/A 34-76935 https://www.sec.gov/rules/sro/nysemkt/2016/34-76935.pdf SR-NYSEMKT-2016-09 2016-01-20 Notice / Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-4350 81-FR-4350 34-76936 https://www.sec.gov/rules/sro/ise/2016/34-76936.pdf SR-ISE-2016-02 2016-01-20 Notice / Immediate Effectiveness Relating to Back-Up Primary Market Makers SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-4347 81-FR-4347 34-76937 https://www.sec.gov/rules/sro/nysearca/2016/34-76937.pdf SR-NYSEARCA-2016-09 2016-01-20 Notice / Immediate Effectiveness Amending the Fees for NYSE Arca BBO and NYSE Arca Trades SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-4353 81-FR-4353 34-76938 https://www.sec.gov/litigation/admin/2016/34-76938.pdf AAER-3733 3-17060 2016-01-20 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ocwen Financial Corp. N/A 34-76939 https://www.sec.gov/litigation/suspensions/2016/34-76939.pdf 500-1 2016-01-21 Trading Suspension Trading Suspension Vadda Energy Corp. http://www.federalregister.gov/citation/81-FR-4080 81-FR-4080 34-76940 https://www.sec.gov/litigation/admin/2016/34-76940.pdf 3-17061 2016-01-21 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated China Ticket Center, Inc. Nanotailor, Inc. Dawn Capital Corp. Vadda Energy Corp. New Century Energy Corp. N/A 34-76941 https://www.sec.gov/litigation/admin/2016/34-76941.pdf 3-16920 2016-01-21 Notice That Initial Decision Has Become Final Notice Oriental Nonferrous Metals Technology Co., Ltd. Stand International Holdings, Ltd. Queen 1, Inc. Pantheon China Acquisition Corp. Queen 2, Inc. N/A 34-76942 https://www.sec.gov/litigation/admin/2016/34-76942.pdf 3-16921 2016-01-21 Notice That Initial Decision Has Become Final Notice Orgral Technologies Corp. Professional Services Network, Inc. UBX Technologies, Inc. N/A 34-76943 https://www.sec.gov/litigation/admin/2016/34-76943.pdf 3-16745 2016-01-21 Notice That Initial Decision Has Become Final Notice Modern City Entertainment, Inc. N/A 34-76944 https://www.sec.gov/rules/sro/nasdaq/2016/34-76944.pdf SR-NASDAQ-2016-002 2016-01-21 Notice / to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-4712 81-FR-4712 34-76945 https://www.sec.gov/rules/sro/bats/2016/34-76945.pdf SR-BATS-2015-108 2016-01-21 Notice / Designation of Longer Period for Commission Action to Adopt Rule 11.27 to Implement the Quoting and Trading Requirements of the Tick Size Pilot Program SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-4734 81-FR-4734 34-76946 https://www.sec.gov/rules/sro/nasdaq/2016/34-76946.pdf SR-NASDAQ-2016-006 2016-01-21 Notice / Immediate Effectiveness to Amend Subsection (a)(7) of Rule 7003, Registration and Processing Fees SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-4691 81-FR-4691 34-76947 https://www.sec.gov/rules/sro/bx/2016/34-76947.pdf SR-BX-2016-004 2016-01-21 Notice / Immediate Effectiveness to Amend Subsection (a)(7) of Rule 7003, Registration and Processing Fees SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-4693 81-FR-4693 34-76948 https://www.sec.gov/litigation/admin/2016/33-10006.pdf 33-10006 IA-4320 IC-31971 3-15003 2016-01-21 Order Scheduling Oral Argument Order Young, Bernerd E. N/A 34-76949 https://www.sec.gov/litigation/admin/2016/33-10007.pdf 33-10007 3-17062 2016-01-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Spiegel, Edward H. ARRG Corp. N/A 34-76950 https://www.sec.gov/rules/sro/nasdaq/2016/34-76950.pdf SR-NASDAQ-2016-003 2016-01-21 Notice / Immediate Effectiveness to Amend the Options Regulatory Fee SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-4687 81-FR-4687 34-76951 https://www.sec.gov/litigation/admin/2016/34-76951.pdf 3-17063 2016-01-21 Order Instituting Administrative Proceedings And Notice of Hearing AP Litigated Daytona Systems, Inc. Equitel, Inc. N/A 34-76952 https://www.sec.gov/rules/sro/bx/2016/34-76952.pdf SR-BX-2016-003 2016-01-21 Notice / Immediate Effectiveness Regarding SQF Port Fees SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-4721 81-FR-4721 34-76953 https://www.sec.gov/rules/exorders/2016/34-76953.pdf SR-BYX-2012-019 2016-01-21 Order / Granting and Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/81-FR-4728 81-FR-4728 34-76954 https://www.sec.gov/rules/sro/bats/2016/34-76954.pdf SR-BATS-2016-02 2016-01-21 Notice / to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the iShares iBonds Dec 2023 AMT-Free Muni Bond ETF, iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT-Free Muni Bond ETF, and iShares iBonds Dec 2026 AMT SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-4695 81-FR-4695 34-76955 https://www.sec.gov/rules/sro/nysearca/2016/34-76955.pdf SR-NYSEARCA-2015-93 2016-01-21 Notice / Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-4724 81-FR-4724 34-76955A https://www.sec.gov/rules/sro/nysearca/2016/34-76955a.pdf SR-NYSEARCA-2015-93 2016-03-02 Notice / Designation of a Longer Period for Commission Action on Proposed Rule Change, as Modified by Amendment No. 1, Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-12174 81-FR-12174 34-76956 https://www.sec.gov/rules/sro/nasdaq/2016/34-76956.pdf SR-NASDAQ-2016-005 2016-01-21 Notice / to Adopt a Limit Order Protection and a Market Order Protection SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-4684 81-FR-4684 34-76957 https://www.sec.gov/rules/sro/ise/2016/34-76957.pdf SR-ISE-2016-03 2016-01-21 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-4710 81-FR-4710 34-76958 https://www.sec.gov/rules/proposed/2016/34-76958.pdf S7-25-15 2016-01-21 Extension of comment period Notice Extension of Comment Period for Disclosure of Payments by Resource Extraction Issuers Release http://www.federalregister.gov/citation/81-FR-4598 81-FR-4598 34-76959 https://www.sec.gov/rules/sro/c2/2016/34-76959.pdf SR-C2-2015-033 2016-01-21 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Price Protection Mechanisms For Quotes and Orders SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-4708 81-FR-4708 34-76960 https://www.sec.gov/rules/sro/cboe/2016/34-76960.pdf SR-CBOE-2015-107 2016-01-21 Notice of Filing of Amendment No. 2 and Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment Nos. 1 and 2 Thereto, Relating to Price Protection Mechanisms For Quotes and Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-4728 81-FR-4728 34-76961 https://www.sec.gov/litigation/suspensions/2016/34-76961.pdf 500-1 2016-01-22 Trading Suspension Trading Suspension Incentra Solutions, Inc. Peer Review Mediatin & Arbitration, Inc. 99Cent Stuff, Inc. Maxray Optical Technology Co. Ltd. Bizzingo, Inc. Clicker, Inc. http://www.federalregister.gov/citation/81-FR-4346 81-FR-4346 34-76962 https://www.sec.gov/litigation/admin/2016/34-76962.pdf 3-17064 2016-01-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Peer Review Mediation & Arbitration, Inc. Bizzingo, Inc. 99 Cent Stuff, Inc. Clicker, Inc. Incentra Solutions, Inc. Maxray Optical Technology Co. Ltd. N/A 34-76963 https://www.sec.gov/litigation/suspensions/2016/34-76963.pdf 500-1 3-17064 3-76963 3-17065 2016-01-22 Trading Suspension Trading Suspension Oldwebsites.com, Inc. RPHL Acquisiton Corp. (a/k/a Rockport Helathcare Group, Inc.) (RPHL) The Brainy Brands Company, Inc. (TBBC) TheraBiogen, Inc. (TRAB) U.S. Helicopter Corporation (USHP) Vicor Technologies, Inc.(VCRTQ) RPHL Acquisition Corp. The Brainy Brands Company Inc. http://www.federalregister.gov/citation/81-FR-4349 81-FR-4349 34-76964 https://www.sec.gov/litigation/admin/2016/34-76964.pdf 3-17065 2016-01-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Oldwebsites.com, Inc. N/A 34-76965 https://www.sec.gov/rules/sro/byx/2016/34-76965.pdf SR-BYX-2016-01 2016-01-22 Notice / Immediate Effectiveness to Rule 11.24, Retail Price Improvement Program, to Extend the Pilot Period SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/81-FR-4682 81-FR-4682 34-76966 https://www.sec.gov/rules/sro/phlx/2016/34-76966.pdf SR-PHLX-2016-06 2016-01-22 Notice / Immediate Effectiveness to Amend a Quote Spread Parameter Provision SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-4724 81-FR-4724 34-76967 https://www.sec.gov/rules/sro/nasdaq/2016/34-76967.pdf SR-NASDAQ-2016-004 2016-01-22 Notice / Immediate Effectiveness to Amend NOM Rules at Chapter XV, Section 2 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-4731 81-FR-4731 34-76968 https://www.sec.gov/rules/sro/nysearca/2016/34-76968.pdf SR-NYSEARCA-2016-10 2016-01-22 Notice / Immediate Effectiveness Establishing the NYSE Arca Order Imbalances Proprietary Market Data Product SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-4689 81-FR-4689 34-76969 https://www.sec.gov/rules/sro/nysearca/2016/34-76969.pdf SR-NYSEARCA-2016-13 2016-01-22 Notice / Immediate Effectiveness Amending the Exchange's Schedule of Fees and Charges to Define the Term "Exchange Traded Products" and to Provide for the Proration of Annual Fees Applicable to Exchange Traded Products That Have Liquidated SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-4726 81-FR-4726 34-76970 https://www.sec.gov/rules/sro/finra/2016/34-76970.pdf SR-FINRA-2015-040 2016-01-22 Notice / Order Accelerated to Adopt the Funding Portal Rules and Related Forms and Rule 4518 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-4931 81-FR-4931 34-76971 https://www.sec.gov/rules/sro/nyse/2016/34-76971.pdf SR-NYSE-2015-46 2016-01-25 Order Instituting Proceedings to Determine Whether to Disapprove a Proposed Rule Change to Establish Rules to Comply with the Quoting and Trading Requirements of the Plan to Implement a Tick Size Pilot Plan Submitted to the Commission pursuant to Rule 608 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-5027 81-FR-5027 34-76972 https://www.sec.gov/rules/sro/nyse/2016/34-76972.pdf SR-NYSE-2016-08 2016-01-26 Notice / Immediate Effectiveness Amending the Fees for NYSE Order Imbalances and NYSE Alerts SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-5143 81-FR-5143 34-76973 https://www.sec.gov/rules/sro/nyse/2016/34-76973.pdf SR-NYSE-2016-09 2016-01-26 Notice / Immediate Effectiveness Amending the Fees for NYSE Integrated Feed SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-5159 81-FR-5159 34-76974 https://www.sec.gov/rules/sro/nysearca/2016/34-76974.pdf SR-NYSEARCA-2015-110 2016-01-26 Notice / Amendment No. 2 Amending NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-5149 81-FR-5149 34-76975 https://www.sec.gov/rules/sro/nysemkt/2016/34-76975.pdf SR-NYSEMKT-2016-11 2016-01-26 Notice / Immediate Effectiveness Amending the Fees for NYSE MKT Integrated Feed SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-5139 81-FR-5139 34-76976 https://www.sec.gov/litigation/admin/2016/33-10008.pdf 33-10008 IA-4322 IC-31972 3-15446 2016-01-27 Order Scheduling Oral Argument Order J.S. Oliver Capital Management, L.P. Mausner, Ian O. N/A 34-76977 https://www.sec.gov/litigation/admin/2016/34-76977.pdf 3-17068 2016-01-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Renaldi, Salvatore N/A 34-76978 https://www.sec.gov/litigation/admin/2016/34-76978.pdf AAER-3735 3-17069 2016-01-27 Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension AP Litigated Lee, Justin Moongyu Lee, Esq., CPA N/A 34-76979 https://www.sec.gov/litigation/admin/2016/34-76979.pdf 3-17070 2016-01-27 Order Instituting Administrative And Cease-and-Desist Proceedings AP Settled Jones, Stephen Prolman, David 3C Advisors & Associates, Inc. N/A 34-76980 https://www.sec.gov/litigation/admin/2016/34-76980.pdf 3-17020 2016-01-27 Order Denying Petition to Life Temporary Suspension and Directing Hearing Order Dalmy, Diane D., Esq. N/A 34-76981 https://www.sec.gov/rules/sro/nysearca/2016/34-76981.pdf SR-NYSEARCA-2016-20 2016-01-28 Notice / Immediate Effectiveness to Reflect Changes to the Investment Strategy for the PowerShares S&P 500® Downside Hedged Portfolio SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-5798 81-FR-5798 34-76982 https://www.sec.gov/rules/sro/nysemkt/2016/34-76982.pdf SR-NYSEMKT-2015-80 2016-01-28 Order / Deleting Rule 410B - Equities Governing Reporting Requirements for Off-Exchange Transactions SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-5793 81-FR-5793 34-76983 https://www.sec.gov/rules/sro/nyse/2016/34-76983.pdf SR-NYSE-2015-48 2016-01-28 Order / Deleting Rule 410B Governing Reporting Requirements for Off-Exchange Transactions SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-5807 81-FR-5807 34-76984 https://www.sec.gov/rules/sro/phlx/2016/34-76984.pdf SR-PHLX-2016-07 2016-01-28 Notice / Immediate Effectiveness to Make Minor Changes to Rule 1064, Crossing, Facilitation and Solicited Orders SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-5796 81-FR-5796 34-76985 https://www.sec.gov/litigation/admin/2016/34-76985.pdf 3-17071 2016-01-28 Corrected Order Instituting Administrative Proceedings, Making Findings, And Imposing Remedial Sanctions AP Settled Dressner, Philip A. N/A 34-76986 https://www.sec.gov/litigation/admin/2016/34-76986.pdf 3-17072 2016-01-28 Corrected Order Instituting Administrative Proceedings, Making Findings, And Imposing Remedial Sanctions AP Settled Boyles, Kevin A. N/A 34-76987 https://www.sec.gov/litigation/admin/2016/34-76987.pdf 3-17073 2016-01-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Engenyous Technologies, Inc. Gifts of Learning Foundation, Inc. Equitex 2000, Inc. Diversified Health & Fitness, Inc. N/A 34-76988 https://www.sec.gov/litigation/admin/2016/34-76988.pdf 3-17074 2016-01-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Eight-Eight Acquisition Corp. I Eight-Eight Acquisition Corp. II Eight-Eight Acquisition Corp. III N/A 34-76989 https://www.sec.gov/rules/sro/phlx/2016/34-76989.pdf SR-PHLX-2015-94 2016-01-28 Notice / Designation of a Longer Period For Commission Action to Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Options SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-5811 81-FR-5811 34-76990 https://www.sec.gov/rules/sro/ise/2016/34-76990.pdf SR-ISE-2016-04 2016-01-28 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-5806 81-FR-5806 34-76991 https://www.sec.gov/litigation/admin/2016/33-10009.pdf 33-10009 IA-4323 IC-31973 3-17075 2016-01-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled QED Benchmark Management, L.L.C. Kuperman, Peter N/A 34-76992 https://www.sec.gov/rules/sro/nysemkt/2016/34-76992.pdf SR-NYSEMKT-2016-10 2016-01-28 Notice / Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule to Add an Early Adopter Specialist Credit SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-5802 81-FR-5802 34-76993 https://www.sec.gov/rules/sro/cboe/2016/34-76993.pdf SR-CBOE-2016-004 2016-01-28 Notice / Immediate Effectiveness Relating to the Options Regulatory Fee SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-5800 81-FR-5800 34-76994 https://www.sec.gov/rules/sro/nysearca/2016/34-76994.pdf SR-NYSEARCA-2015-121 2016-01-28 Order / to Provide for Price Collar Thresholds for Trading Halt Auctions SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-5809 81-FR-5809 34-76995 https://www.sec.gov/rules/sro/c2/2016/34-76995.pdf SR-C2-2016-001 2016-01-28 Notice / Immediate Effectiveness Relating to the Options Regulatory Fee SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-5795 81-FR-5795 34-76996 https://www.sec.gov/rules/sro/nysemkt/2016/34-76996.pdf SR-NYSEMKT-2016-12 2016-01-28 Notice / Amending the NYSE MKT Company Guide to Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled to Receive Complimentary Products and Services from the Exchange SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-5803 81-FR-5803 34-76997 https://www.sec.gov/rules/sro/icc/2016/34-76997.pdf SR-ICC-2016-001 2016-01-29 Notice / Immediate Effectiveness to Revise the ICC Risk Management Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-6063 81-FR-6063 34-76998 https://www.sec.gov/rules/other/2016/34-76998.pdf 10-221 2016-01-29 Order / Findings and Opinion of the Commission for Registration as s National Securities Exchange Order ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-6066 81-FR-6066 34-76999 https://www.sec.gov/rules/sro/msrb/2016/34-76999.pdf SR-MSRB-2016-01 2016-01-29 Notice / Consisting of Proposed Amendments to Rule A-3, on Membership on the Board SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-6088 81-FR-6088 34-77000 https://www.sec.gov/rules/sro/nysearca/2016/34-77000.pdf SR-NYSEARCA-2016-22 2016-01-29 Notice / Immediate Effectiveness Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-6085 81-FR-6085 34-77001 https://www.sec.gov/litigation/admin/2016/33-10010.pdf 33-10010 3-17077 2016-01-31 Order Instituting Administrative And Cease-And-Desist Proceedings, Making Findings, And Imposing AP Settled Barclays Capital Inc. N/A 34-77002 https://www.sec.gov/litigation/admin/2016/33-10013.pdf 33-10013 3-17078 2016-01-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Credit Suisse Securities (USA) LLC N/A 34-77003 https://www.sec.gov/litigation/admin/2016/33-10014.pdf 33-10014 3-17079 2016-01-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Unknown Credit Suisse Securities (USA) LLC N/A 34-77004 https://www.sec.gov/litigation/admin/2016/34-77004.pdf 3-17014 2016-02-01 Order Making Findings and Revoking Registration of Securities AP Settled Starcore International Ventures Ltd. (a/k/a Starcore International Mines Ltd.) N/A 34-77005 https://www.sec.gov/litigation/admin/2016/34-77005.pdf AAER-3736 3-17080 2016-02-01 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled SAP SE N/A 34-77006 https://www.sec.gov/rules/sro/bx/2016/34-77006.pdf SR-BX-2016-008 2016-02-01 Notice / to Adopt a Limit Order Protection and a Market Order Protection SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-6308 81-FR-6308 34-77007 https://www.sec.gov/rules/sro/phlx/2016/34-77007.pdf SR-PHLX-2016-12 2016-02-01 Notice / to Adopt a Limit Order Protection and a Market Order Protection SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-6314 81-FR-6314 34-77008 https://www.sec.gov/rules/sro/nysemkt/2016/34-77008.pdf SR-NYSEMKT-2015-106 2016-02-01 Order / Amending the Seventh Amended and Restated Operating Agreement of the Exchange to Establish a Committee for Review as a Sub-Committee of the ROC and Make Conforming Changes to Rules and the NYSE MKT Company Guide SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-6311 81-FR-6311 34-77009 2016-02-01 INTENTIONALLY OMITTED 34-77010 https://www.sec.gov/litigation/admin/2016/34-77010.pdf 3-17081 2016-02-01 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Six Diamond Resorts International Simplayer.com Ltd. Zimtu Technologies, Inc. RSL Communications Ltd. N/A 34-77011 https://www.sec.gov/litigation/admin/2016/34-77011.pdf 3-17082 2016-02-01 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Lyric International, Inc. Helionetics, Inc. LDP-III, A California Limited Partnership Seiler Pollution Control Systems, Inc. Mortgage Bancfund of America II, L.P. (The) DCI Telecommunications, Inc. Q-Net Technologies, Inc. N/A 34-77012 https://www.sec.gov/litigation/admin/2016/34-77012.pdf 3-16940 2016-02-02 Notice That Initial Decision Has Become Final Notice CodeSmart Holdings, Inc. N/A 34-77013 https://www.sec.gov/litigation/admin/2016/34-77013.pdf 3-16935 2016-02-02 Notice That Initial Decision Has Become Final Notice American Power Corp. Locan, Inc. N/A 34-77014 https://www.sec.gov/rules/sro/nysemkt/2016/34-77014.pdf SR-NYSEMKT-2016-16 2016-02-02 Notice / Immediate Effectiveness Amending Certain of Its Rules Related to Binary Return Derivatives Contracts SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-6566 81-FR-6566 34-77015 https://www.sec.gov/rules/sro/finra/2016/34-77015.pdf SR-FINRA-2016-003 2016-02-02 Notice / Immediate Effectiveness to Extend the Implementation Date of the "No-Remuneration" Indicator SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-6555 81-FR-6555 34-77016 https://www.sec.gov/litigation/admin/2016/34-77016.pdf NO FILE NUMBER 2016-02-02 Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds Order Omnibus Order Directing the Appointment of Tax Administrator in Administrative Proceedings that Establish Distribution Funds N/A 34-77017 https://www.sec.gov/litigation/admin/2016/34-77017.pdf IA-4324 3-17083 2016-02-02 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Beckman, Jason Bo-Alan N/A 34-77018 https://www.sec.gov/litigation/admin/2016/33-10016.pdf 33-10016 3-17084 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Barclays Capital Inc. N/A 34-77019 https://www.sec.gov/litigation/admin/2016/33-10017.pdf 33-10017 3-17085 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled First Midstate Incorporated N/A 34-77020 https://www.sec.gov/litigation/admin/2016/33-10018.pdf 33-10018 3-17086 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Boenning & Scattergood, Inc. N/A 34-77021 https://www.sec.gov/litigation/admin/2016/33-10019.pdf 33-10019 3-17087 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled D.A. Davidson & Co. N/A 34-77022 https://www.sec.gov/litigation/admin/2016/33-10020.pdf 33-10020 3-17088 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Jefferies LLC N/A 34-77023 https://www.sec.gov/litigation/admin/2016/33-10021.pdf 33-10021 3-17089 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Keybanc Capital Markets Inc. N/A 34-77024 https://www.sec.gov/litigation/admin/2016/33-10022.pdf 33-10022 3-17090 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Janney Montgomery Scott LLC N/A 34-77025 https://www.sec.gov/litigation/admin/2016/33-10023.pdf 33-10023 3-17091 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hilltop Securities Inc. N/A 34-77026 https://www.sec.gov/litigation/admin/2016/33-10024.pdf 33-10024 3-17092 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled TD Securities (USA) LLC N/A 34-77027 https://www.sec.gov/litigation/admin/2016/33-10025.pdf 33-10025 3-17093 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Municipal Capital Markets Group, Inc. N/A 34-77028 https://www.sec.gov/litigation/admin/2016/33-10026.pdf 33-10026 3-17094 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Mitsubishi UFJ Securities (USA), Inc. N/A 34-77029 https://www.sec.gov/litigation/admin/2016/33-10027.pdf 33-10027 3-17095 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Roosevelt & Cross, Incorporated N/A 34-77030 https://www.sec.gov/litigation/admin/2016/33-10028.pdf 33-10028 3-17096 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Wells Fargo Bank, N.A Municipal Products Group N/A 34-77031 https://www.sec.gov/litigation/admin/2016/33-10029.pdf 33-10029 3-17097 2016-02-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled United Bankers' Bank N/A 34-77032 https://www.sec.gov/rules/sro/phlx/2016/34-77032.pdf SR-PHLX-2016-04 2016-02-02 Notice / Immediate Effectiveness to Amend the Options Regulatory Fee SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-6560 81-FR-6560 34-77033 https://www.sec.gov/rules/sro/bats/2016/34-77033.pdf SR-BATS-2016-12 2016-02-02 Notice / Immediate Effectiveness to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-6558 81-FR-6558 34-77034 https://www.sec.gov/rules/sro/miax/2016/34-77034.pdf SR-MIAX-2016-03 2016-02-02 Notice / Immediate Effectiveness to Amend Exchange Rules 503 and 515 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-6562 81-FR-6562 34-77035 https://www.sec.gov/rules/sro/miax/2016/34-77035.pdf SR-MIAX-2016-02 2016-02-02 Notice / Immediate Effectiveness to Amend Exchange Rule 301 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-6556 81-FR-6556 34-77036 https://www.sec.gov/rules/sro/edgx/2016/34-77036.pdf SR-EDGX-2016-01 2016-02-02 Notice / Immediate Effectiveness to Rule 21.1, Definitions, Relating to the Operation of the Attribution Feature of EDGX Options SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-6552 81-FR-6552 34-77037 https://www.sec.gov/rules/other/2016/34-77037.pdf 2016-3 2016-02-02 Order Determining Whistleblower Award Claim Order Redacted N/A 34-77038 https://www.sec.gov/litigation/opinions/2016/33-10031.pdf 33-10031 3-16386 2016-02-02 Order Granting Petition for Review and Scheduling Briefs Order Carnahan, Timothy W. Cyios Corporation N/A 34-77039 https://www.sec.gov/litigation/opinions/2016/33-10032.pdf 33-10032 AAER-3737 3-16386 2016-02-02 Notice That initial Decision Has Become Final Notice Anderson, Traci J., CPA N/A 34-77040 https://www.sec.gov/litigation/admin/2016/33-10033.pdf 33-10033 IA-4325 IC-31979 3-16202 2016-02-03 Notice That Initial Decision Has Become Final Notice Krisnos Holdings, Inc. Fordgate Acquisition Corp. Krinos, George N. N/A 34-77041 https://www.sec.gov/rules/sro/occ/2016/34-77041.pdf SR-OCC-2016-001 2016-02-03 Notice / Immediate Effectiveness to Revise The Options Clearing Corporation's Schedule of Fees SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-6917 81-FR-6917 34-77042 https://www.sec.gov/rules/sro/occ/2016/34-77042.pdf SR-OCC-2015-018 2016-02-03 Order / Adoption of a Charter of a New Committee of The Options Clearing Corporation's Board of Directors, the Technology Committee SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-6915 81-FR-6915 34-77043 https://www.sec.gov/rules/sro/dtc/2016/34-77043.pdf SR-DTC-2016-002 2016-02-03 Notice / Immediate Effectiveness Regarding the Discontinuance of the Facsimile and Hardcopy Delivery Methods of Security Position Reports SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-6913 81-FR-6913 34-77044 https://www.sec.gov/rules/sro/nysearca/2016/34-77044.pdf SR-NYSEARCA-2016-16 2016-02-03 Notice / Immediate Effectiveness to List and Trade Binary Return Derivatives SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-6908 81-FR-6908 34-77045 https://www.sec.gov/rules/sro/nysearca/2016/34-77045.pdf SR-NYSEARCA-2015-113 2016-02-03 Order / Relating to the Index Underlying the WisdomTree Put Write Strategy Fund SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-6916 81-FR-6916 34-77046 https://www.sec.gov/litigation/admin/2016/34-77046.pdf 3-14594 2016-02-03 Order Granting Extension of Time to Submit Proposed Plan of Distribution Order Credit Suisse Asset Management, LLC Credit Suisse Alternative Capital, LLC (f/k/a Credit Suisse Alternative Capital, Inc.) Bhatt, Samir H. N/A 34-77047 https://www.sec.gov/rules/sro/nyse/2016/34-77047.pdf SR-NYSEMKT-2015-56 SR-NYSE-2015-31 2016-02-03 Notice / of Withdrawal Amending the NYSE Trades Market Data and NYSE MKT Trades Market Data Product Offerings SRO Filing NYSE MKT LLC New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-6912 81-FR-6912 34-77048 https://www.sec.gov/litigation/admin/2016/34-77048.pdf IA-4326 IC-31983 3-15471 2016-02-03 Order Approving Plan of Distribution Order Sarkauskas and Associates, Inc. Sarkauskas, James M. N/A 34-77049 https://www.sec.gov/rules/sro/cboe/2016/34-77049.pdf SR-CBOE-2016-005 2016-02-04 Notice / Relating to Professionals SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-7173 81-FR-7173 34-77050 https://www.sec.gov/rules/sro/nysearca/2016/34-77050.pdf SR-NYSEARCA-2016-23 2016-02-04 Notice / Immediate Effectiveness Relating to the AdvisorShares Athena High Dividend ETF's Investments in Sponsored and Unsponsored American Depositary Receipts SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-7161 81-FR-7161 34-77051 https://www.sec.gov/rules/sro/msrb/2016/34-77051.pdf SR-MSRB-2016-02 2016-02-04 Notice / Immediate Effectiveness Relating to the Content Outline for the Series 9/10 Examination Program SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-7180 81-FR-7180 34-77052 https://www.sec.gov/litigation/admin/2016/34-77052.pdf IA-4327 3-17098 2016-02-04 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Donnelly, Michael N/A 34-77053 https://www.sec.gov/rules/sro/bx/2016/34-77053.pdf SR-BX-2016-007 2016-02-04 Notice / Immediate Effectiveness to Adopt an Options Regulatory Fee SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-7163 81-FR-7163 34-77054 https://www.sec.gov/rules/sro/phlx/2016/34-77054.pdf SR-PHLX-2016-10 2016-02-04 Notice / Relating to Professional Customer Definition SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-7166 81-FR-7166 34-77055 https://www.sec.gov/rules/sro/box/2016/34-77055.pdf SR-BOX-2016-02 2016-02-04 Notice / Immediate Effectiveness to Amend the Fee Schedule to Lower Certain Fees for Non-Auction Transactions on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-7171 81-FR-7171 34-77056 https://www.sec.gov/litigation/admin/2016/34-77056.pdf 3-17099 2016-02-04 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled E.S. Financial Services, Inc. n/k/a Brickell Global Markets, Inc. N/A 34-77057 https://www.sec.gov/litigation/admin/2016/34-77057.pdf AAER-3738 3-17100 2016-02-04 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Plaza, Ignacio Cueto N/A 34-77058 https://www.sec.gov/litigation/admin/2016/34-77058.pdf AAER-3739 3-17101 2016-02-04 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled SciClone Pharmaceuticals, Inc. N/A 34-77059 https://www.sec.gov/litigation/admin/2016/34-77059.pdf IA-4328 IC-31984 3-15141 2016-02-04 Order Scheduling Oral Argument Order Riad, Mohammed Swanson, Kevin Timothy N/A 34-77060 https://www.sec.gov/litigation/admin/2016/34-77060.pdf 3-17102 2016-02-04 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Kingly Chateau Corp. Lucy's Water World, Inc. Bailey Frances Corp. N/A 34-77061 https://www.sec.gov/litigation/admin/2016/34-77061.pdf 3-17103 2016-02-04 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated China Renewable Construction Materials, Inc. WNC Housing Tax Credit Fund VI, L.P., Series 12 CBC Acquisition Corp. 1 Whoopass Poker Corp. N/A 34-77062 https://www.sec.gov/litigation/opinions/2016/34-77062.pdf 3-16577 2016-02-04 Opinion Opinion Ramcon Financial LLC N/A 34-77063 https://www.sec.gov/litigation/admin/2016/34-77063.pdf 3-15982 2016-02-04 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount Order Morgan Stanley Mortgage Capital Holdings LLC Morgan Stanley ABS Capital I Inc., Morgan Stanley and Co. LLC N/A 34-77064 https://www.sec.gov/rules/other/2016/33-10034.pdf 33-10034 265-27 2016-02-05 Notice of Meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-7179 81-FR-7179 34-77065 https://www.sec.gov/rules/sro/bats/2016/34-77065.pdf SR-BATS-2016-15 2016-02-05 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-7379 81-FR-7379 34-77066 https://www.sec.gov/rules/sro/nasdaq/2016/34-77066.pdf SR-NASDAQ-2016-008 2016-02-05 Notice / to Amend Rule 4120 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-7398 81-FR-7398 34-77067 https://www.sec.gov/rules/sro/nysearca/2016/34-77067.pdf SR-NYSEARCA-2016-24 2016-02-05 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-7390 81-FR-7390 34-77068 https://www.sec.gov/litigation/opinions/2016/33-10035.pdf 33-10035 IA-4329 IC-31985 3-15842 2016-02-05 Order Dismissing Untimely Petition For Review Order Cooper, Jacob Keith N/A 34-77069 https://www.sec.gov/rules/sro/bats/2016/34-77069.pdf SR-BATS-2016-07 2016-02-05 Notice / Immediate Effectiveness to Amend Chapter XXI of BZX Options to Further Align the Rules with those of EDGX Options SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-7386 81-FR-7386 34-77070 https://www.sec.gov/rules/sro/nysearca/2016/34-77070.pdf SR-NYSEARCA-2015-102 2016-02-05 Notice/ Amendment No. 2 / Order Accelerating to Provide that the Co-location Services Offered by the Exchange include Three Time Feeds and Four Partial Cabinet Bundle Options SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-7401 81-FR-7401 34-77071 https://www.sec.gov/rules/sro/nysemkt/2016/34-77071.pdf SR-NYSEMKT-2015-89 2016-02-05 Notice / Amendment No. 2 / Order Accelerating to Provide that the Co-location Services Offered by the Exchange include Three Time Feeds and Four Partial Cabinet Bundle Options SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-7382 81-FR-7382 34-77072 https://www.sec.gov/rules/sro/nyse/2016/34-77072.pdf SR-NYSE-2015-53 2016-02-05 Notice / Amendment No.1 / Order Accelerating to Provide that the Co-location Services Offered by the Exchange include Three Time Feeds and Four Partial Cabinet Bundle Options SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-7394 81-FR-7394 34-77073 https://www.sec.gov/litigation/admin/2016/33-10036.pdf 33-10036 AAER-3740 3-17104 2016-02-05 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Whelan, Kelly A., CPA BioElectronics Corp. Bedwell, Robert P., CPA St. John's, LLC IBEX, LLC Whelan, Andrew J. N/A 34-77074 https://www.sec.gov/rules/sro/nysemkt/2016/34-77074.pdf SR-NYSEMKT-2016-14 2016-02-05 Notice / Immediate Effectiveness Amending Supplementary Material .10 to Rule 103B - Equities to Provide that Any Senior Official of a Listed Company with the Rank of Corporate Secretary or Higher can Sign the Written Request of a Listed Company Seeking to SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-7392 81-FR-7392 34-77075 https://www.sec.gov/litigation/admin/2016/34-77075.pdf 3-16444 2016-02-05 Order / Directing Transfer of Remaining Funds to the United States Treasury Order Stilwell Value LLC Stilwell, Joseph N/A 34-77076 https://www.sec.gov/rules/sro/phlx/2016/34-77076.pdf SR-PHLX-2016-16 2016-02-08 Notice / Immediate Effectiveness to Delete Obsolete Rules 1000C - 1009C SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-7618 81-FR-7618 34-77077 https://www.sec.gov/rules/sro/nasdaq/2016/34-77077.pdf SR-NASDAQ-2016-014 2016-02-08 Notice / Immediate Effectiveness to Retroactively Apply Recently-Reduced Port Fees SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-7597 81-FR-7597 34-77078 https://www.sec.gov/rules/sro/bats/2016/34-77078.pdf SR-BATS-2016-04 2016-02-08 Notice / to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the SPDR DoubleLine Short Term Total Return Tactical ETF of the SSgA Active Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-7599 81-FR-7599 34-77079 https://www.sec.gov/rules/sro/icc/2016/34-77079.pdf SR-ICC-2016-002 2016-02-08 Notice / Change to Provide for the Clearance of Certain Asia-Pacific Credit Default Swap Contracts SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-7613 81-FR-7613 34-77080 https://www.sec.gov/rules/sro/nasdaq/2016/34-77080.pdf SR-NASDAQ-2016-019 2016-02-08 Notice / Immediate Effectiveness to Include NextShares in the Lead Market Maker Program SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-7620 81-FR-7620 34-77081 https://www.sec.gov/rules/sro/cboe/2016/34-77081.pdf SR-CBOE-2016-007 2016-02-08 Notice / Immediate Effectiveness Relating to Adopting a Principles-Based Approach to Prohibit the Misuse of Material Nonpublic Information by Designated Primary Market-Makers ("DPMs") and Lead Market-Makers ("LMMs"). SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-7609 81-FR-7609 34-77082 https://www.sec.gov/rules/pcaob/2016/34-77082.pdf PCAOB-2016-01 2016-02-08 Notice/ on Improving the Transparency of Audits: Rules to Require Disclosure of Certain Audit Participants on a new PCAOB Form and Related Amendments to Auditing Standards Notice Public Company Accounting Oversight Board http://www.federalregister.gov/citation/81-FR-7928 81-FR-7928 34-77083 https://www.sec.gov/litigation/admin/2016/34-77083.pdf 3-17106 2016-02-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Williams, Tyson D. N/A 34-77084 https://www.sec.gov/litigation/opinions/2016/34-77084.pdf 3-16814 2016-02-08 Order Granting Motion to Dismiss Application for Review Order Manzella, Aliza A. N/A 34-77085 https://www.sec.gov/rules/sro/nysemkt/2016/34-77085.pdf SR-NYSEMKT-2016-19 2016-02-09 Notice / Immediate Effectiveness Amending Rule 990NY(8) to Correct a Typographical Error SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-7882 81-FR-7882 34-77086 https://www.sec.gov/rules/sro/bats/2016/34-77086.pdf SR-BATS-2016-03 2016-02-09 Notice / to List and Trade the Shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-7857 81-FR-7857 34-77087 https://www.sec.gov/litigation/admin/2016/33-10037.pdf 33-10037 AAER-3741 3-17107 2016-02-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Monsanto Company Hartke, Anthony P., CPA Brunnquell, Sara M., CPA Nienas, Jonathan W. N/A 34-77088 https://www.sec.gov/litigation/opinions/2016/33-10038.pdf 33-10038 3-16509 2016-02-09 Order Denying Stay Order Daspin, Edward M., aka "Edward (Ed) Michael Agostini, Luigi N/A 34-77089 https://www.sec.gov/rules/sro/17d-2/2016/34-77089.pdf 4-694 2016-02-09 Order / Approving Proposed Plan for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the National Stock Exchange, Inc. SRO Filing Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 http://www.federalregister.gov/citation/81-FR-7871 81-FR-7871 34-77090 https://www.sec.gov/rules/sro/bats/2016/34-77090.pdf SR-BATS-2016-06 2016-02-09 Notice / Immediate Effectiveness to Amend Rule 21.16, Risk Monitor Mechanism, Relating to the BATS Equity Options Trading Platform SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-7851 81-FR-7851 34-77091 https://www.sec.gov/rules/sro/edgx/2016/34-77091.pdf SR-EDGX-2016-02 2016-02-09 Notice / Immediate Effectiveness to Amend Rule 21.16, Risk Monitor Mechanism, Relating to the EDGX Equity Options Trading Platform SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-7848 81-FR-7848 34-77092 https://www.sec.gov/rules/sro/box/2016/34-77092.pdf SR-BOX-2016-03 2016-02-09 Notice / Immediate Effectiveness to Add Rule 7310 (Drill-through Protection) to Implement a New Price Protection Feature SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-7873 81-FR-7873 34-77093 https://www.sec.gov/rules/sro/cboe/2016/34-77093.pdf SR-CBOE-2016-008 2016-02-09 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-7867 81-FR-7867 34-77094 https://www.sec.gov/litigation/admin/2016/34-77094.pdf 3-17108 2016-02-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Spector, Jarrod L. N/A 34-77095 https://www.sec.gov/rules/sro/box/2016/34-77095.pdf SR-BOX-2016-04 2016-02-09 Notice / Immediate Effectiveness to Amend Rule 7070 (Opening the Market) to Implement a New Price Protection Feature for the Opening SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-7853 81-FR-7853 34-77096 https://www.sec.gov/rules/sro/box/2016/34-77096.pdf SR-BOX-2016-05 2016-02-09 Notice / Immediate Effectiveness to Amend Rule 7290 (Price Protection for Limit Orders) to Enhance the Protections Provided to Participants Executing Orders and Quotes on the Exchange SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-7879 81-FR-7879 34-77097 https://www.sec.gov/rules/sro/miax/2016/34-77097.pdf SR-MIAX-2016-05 2016-02-09 Notice / Immediate Effectiveness to Amend Its Fee Schedule to Implement a Professional Rebate Program SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-7877 81-FR-7877 34-77098 https://www.sec.gov/rules/sro/finra/2016/34-77098.pdf SR-FINRA-2015-059 2016-02-09 Order / to Amend the Derivatives and Other Off-Balance Sheet Items Schedule Pursuant to FINRA Rule 4524 (Supplemental FOCUS Information) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-7865 81-FR-7865 34-77099 https://www.sec.gov/litigation/admin/2016/34-77099.pdf IC-31991 3-16888 2016-02-09 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Roberts, Phillip Cory Bay Peak, LLC N/A 34-77100 https://www.sec.gov/litigation/admin/2016/34-77100.pdf 3-16953 2016-02-10 Notice That Initial Decision Has Become Final Notice FirstChina Capital, Inc. Echelon Acquisition Corp. N/A 34-77101 https://www.sec.gov/litigation/admin/2016/34-77101.pdf 3-17033 2016-02-10 Order Making Findings and Revoking Registration AP Settled DE Acquisition 7, Inc. DE Acquisition 9, Inc. DE Acquisition 8, Inc. DE Acquisition 12, Inc. DE Acquisition 10, Inc. N/A 34-77102 https://www.sec.gov/litigation/admin/2016/34-77102.pdf 3-17110 2016-02-10 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Disaster Preparedness Systems, Inc. EMO Corp. Electric Moto Corp. N/A 34-77103 https://www.sec.gov/rules/sro/finra/2016/34-77103.pdf SR-FINRA-2015-029 2016-02-10 Notice / Designation of a Longer Period for Comission Action to Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1, in the Consolidated FINRA Rulebook SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-8109 81-FR-8109 34-77104 https://www.sec.gov/rules/final/2016/34-77104.pdf S7-06-15 2016-02-10 Final rule Final Rule Security-Based Swap Transactions Connected with a Non-U.S. Person's Dealing Activity That Are Arranged, Negotiated, or Executed By Personnel Located in a U.S. Branch or Office or in a U.S. Branch or Office of an Agent; Security-Based Swap Dealer De Minimi http://www.federalregister.gov/citation/81-FR-8597 81-FR-8597 34-77105 https://www.sec.gov/rules/sro/bats/2016/34-77105.pdf SR-BATS-2015-102 2016-02-10 Notice / Partial Amendment No. 2 / Accelerating Approval to Adopt Rule 11.27 Regarding the Data Collection Requirements of the Tick Size Pilot SRO Filing BATS Exchange Inc. http://www.federalregister.gov/citation/81-FR-8112 81-FR-8112 34-77106 https://www.sec.gov/rules/sro/nysemkt/2016/34-77106.pdf SR-NYSEMKT-2016-18 2016-02-10 Notice / Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-8107 81-FR-8107 34-77107 https://www.sec.gov/litigation/opinions/2016/34-77107.pdf 3-17109 2016-02-10 Order Directing the Filing of Briefs Order Ballard, John Vincent N/A 34-77108 https://www.sec.gov/litigation/admin/2016/34-77108.pdf 3-16353 2016-02-10 Extension Order Order White, Kevin D. Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC Spring Hill Capital Holdings, LLC N/A 34-77109 https://www.sec.gov/litigation/admin/2016/34-77109.pdf 3-17111 2016-02-10 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Fadel, Abdallah N/A 34-77110 https://www.sec.gov/rules/sro/nysemkt/2016/34-77110.pdf SR-NYSEMKT-2016-23 2016-02-11 Notice / Immediate Effectiveness Modifying the Amex Options Deep Market Data Product SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-8310 81-FR-8310 34-77111 https://www.sec.gov/rules/sro/nysearca/2016/34-77111.pdf SR-NYSEARCA-2016-29 2016-02-11 Notice / Immediate Effectiveness Modifying the Arca Options Deep Market Data Product SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-8291 81-FR-8291 34-77112 https://www.sec.gov/rules/other/2016/34-77112.pdf SR-OCC-2015-02 2016-02-11 Order / Setting Aside Action by Delegated Authority, Approving Proposed Rule Change Concerning The Options Clearing Corporation's Capital Plan and Denying Motions SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-8294 81-FR-8294 34-77113 https://www.sec.gov/litigation/opinions/2016/34-77113.pdf 3-13109 2016-02-11 Order Requesting Additional Briefs Order Pierce, Brent Gordon N/A 34-77114 https://www.sec.gov/litigation/admin/2016/33-10039.pdf 33-10039 AAER-3742 3-17112 2016-02-11 Order Instituting Public Administrative and Cease-and-Desist Proceedings AP Settled Woo, Susan, CPA Frazer Frost, LLP Suen, Miranda, CPA N/A 34-77115 https://www.sec.gov/litigation/admin/2016/34-77115.pdf IA-4333 IC-31994 3-16463 2016-02-11 Extension Order Order Osunkwo, David I. Aegis Capital, LLC Lamm, Diane W. Circle One Wealth Management, LLC Strategic Consulting Advisors, LLC N/A 34-77116 https://www.sec.gov/rules/sro/nasdaq/2016/34-77116.pdf SR-NASDAQ-2016-012 2016-02-11 Notice / Immediate Effectiveness to Amend NOM Rules at Chapter XV, Section 2 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-8319 81-FR-8319 34-77117 https://www.sec.gov/rules/sro/nysearca/2016/34-77117.pdf SR-NYSEARCA-2016-08 2016-02-11 Notice / to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-8269 81-FR-8269 34-77118 https://www.sec.gov/rules/sro/nysearca/2016/34-77118.pdf SR-NYSEARCA-2016-04 2016-02-11 Notice / Immediate Effectiveness to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE Arca Equities SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-8265 81-FR-8265 34-77119 https://www.sec.gov/rules/sro/nyse/2016/34-77119.pdf SR-NYSE-2016-01 2016-02-11 Notice / to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the Exchange Price List SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-8313 81-FR-8313 34-77120 https://www.sec.gov/rules/sro/nysemkt/2016/34-77120.pdf SR-NYSEMKT-2016-02 2016-02-11 Notice / Immediate Effectiveness to the Co-location Services Offered by the Exchange to Include a Means for Co-located Users to Receive the NASDAQ TotalView Ultra Market Data Feed Through a Wireless Connection and Reflect Changes to the NYSE MKT Equities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-8316 81-FR-8316 34-77121 https://www.sec.gov/rules/sro/phlx/2016/34-77121.pdf SR-PHLX-2016-22 2016-02-11 Notice / Immediate Effectiveness Regarding Rule 505 and Rule 506 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-8308 81-FR-8308 34-77122 https://www.sec.gov/rules/sro/17d-2/2016/34-77122.pdf 4-697 2016-02-11 Notice / Plan for the Allocation of Regulatory Responsibilities Between FINRA and ISE Mercury, LLC Notice FINRA http://www.federalregister.gov/citation/81-FR-8566 81-FR-8566 34-77123 https://www.sec.gov/rules/sro/nms/2016/34-77123.pdf 4-533 2016-02-11 Notice / Amendment No. 3 to the National Market System Plan for the Selection and Reservation of Securities Symbols Submitted by Financial Industry Regulatory Authority, Inc., BATS Exchange, Inc., BOX Options Exchange, LLC, Chicago Board Options Exchange, SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/81-FR-8264 81-FR-8264 34-77124 https://www.sec.gov/rules/sro/nysearca/2016/34-77124.pdf SR-NYSEARCA-2016-18 2016-02-12 Notice / Immediate Effectiveness to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-8548 81-FR-8548 34-77125 https://www.sec.gov/rules/sro/phlx/2016/34-77125.pdf SR-PHLX-2016-14 2016-02-12 Notice / Immediate Effectiveness to Amend Rule 1066 SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-8571 81-FR-8571 34-77126 https://www.sec.gov/rules/sro/nysearca/2016/34-77126.pdf SR-NYSEARCA-2015-68 2016-02-12 Notice / Designation of a Longer Period for Comission Action Relating to Implementation of a Fee on Securities Lending and Repurchase Transactions with Respect to Shares of the CurrencyShares® Euro Trust and the CurrencyShares® Japanese Yen Trust SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-8551 81-FR-8551 34-77127 https://www.sec.gov/rules/sro/nasdaq/2016/34-77127.pdf SR-NASDAQ-2016-015 2016-02-12 Notice / Immediate Effectiveness to Options Pricing at Chapter XV, Section 2 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-8551 81-FR-8551 34-77128 https://www.sec.gov/rules/sro/nysearca/2016/34-77128.pdf SR-NYSEARCA-2015-107 2016-02-12 Notice / Designation of a Longer Period for Comission Action to List and Trade Shares of the REX Gold Hedged S&P 500 ETF and the REX Gold Hedged FTSE Emerging Markets ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-8557 81-FR-8557 34-77129 https://www.sec.gov/rules/sro/bx/2016/34-77129.pdf SR-BX-2016-010 2016-02-12 Notice / Immediate Effectiveness Regarding Fees and Rebates Applicable to Firms and to Adopt Tiers Applicable to Options Overlying SPY SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-8558 81-FR-8558 34-77130 https://www.sec.gov/litigation/admin/2016/34-77130.pdf 3-16846 2016-02-12 Order Appointing Tax Administrator Order UBS Financial Services Incorporated of Puerto Rico N/A 34-77131 https://www.sec.gov/litigation/admin/2016/34-77131.pdf 3-16398 2016-02-12 Order Appointing Tax Administrator Order Dyche, Sandra N/A 34-77132 https://www.sec.gov/litigation/admin/2016/34-77132.pdf 3-17113 2016-02-12 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated White Horse Resources, Inc. Zylorain, Inc. Wentworth VII, Inc. Xtreme Healthcare Corporation Wentworth VIII, Inc. Wentworth V, Inc. Wentworth IV, Inc. Wentworth VI, Inc. N/A 34-77133 https://www.sec.gov/litigation/admin/2016/34-77133.pdf 3-17114 2016-02-12 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Shelby Acquisition IV, Inc. Shelby Acquisition III, Inc. Western Hemisphere Investments Corporation Shelby Acquisition I, Inc. (n/k/a Phoenix Capital Source, Inc.) Shearson Financial Network, Inc. US WATS Inc. Shelby Acquisition ll, Inc. Whirlwind Marketing, Inc. N/A 34-77134 https://www.sec.gov/litigation/admin/2016/34-77134.pdf 3-17115 2016-02-12 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Schooler, Louis V. N/A 34-77135 https://www.sec.gov/litigation/admin/2016/34-77135.pdf 3-17116 2016-02-12 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Ves Ventures & Holdings, Inc. (a/k/a Helio Energia, Inc., a/k/a Accelerated Acquisition XXI, Inc.) China Rogxin Chemical Holding Group, Inc. N/A 34-77136 https://www.sec.gov/litigation/admin/2016/34-77136.pdf IA-4334 3-17117 2016-02-12 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Merrick, Gregory L. N/A 34-77137 https://www.sec.gov/rules/sro/nasdaq/2016/34-77137.pdf SR-NASDAQ-2015-144 2016-02-12 Order Granting Approval of Proposed Rule Change to Amend Rules 5810(4), 5810(c), and 5820(d) to Provide Staff with Limited Discretion SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-8582 81-FR-8582 34-77138 https://www.sec.gov/litigation/admin/2016/34-77138.pdf 3-16965 2016-02-16 Notice That Initial Decision Has Become Final Notice African Copper Corp. Genmed Holding Corp. N/A 34-77139 https://www.sec.gov/litigation/admin/2016/34-77139.pdf 3-16954 2016-02-16 Notice that Initial Decision Has Become Final Notice Riverdale Mining Inc. Tresoro Mining Corp. N/A 34-77140 https://www.sec.gov/rules/sro/nysearca/2016/34-77140.pdf SR-NYSEARCA-2016-27 2016-02-16 Notice / Immediate Effectiveness Amending Rule 7.35P to Provide for Price Collar Thresholds for Trading Halt Auctions SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-8812 81-FR-8812 34-77141 https://www.sec.gov/rules/sro/edga/2016/34-77141.pdf SR-EDGA-2016-02 2016-02-16 Notice / Amendment No. 1 , to Adopt an Early Trading Session and Three New Time-in-Force Instructions SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-8797 81-FR-8797 34-77142 https://www.sec.gov/rules/sro/edgx/2016/34-77142.pdf SR-EDGX-2016-06 2016-02-16 Notice / Amendment No. 1 to Adopt an Early Trading Session and Three New Time-in-Force Instructions SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-8806 81-FR-8806 34-77143 https://www.sec.gov/rules/sro/phlx/2016/34-77143.pdf SR-PHLX-2016-09 2016-02-16 Notice / Immediate Effectiveness Relating to a Policy for Amending Billing Information and a Research Fee SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-8814 81-FR-8814 34-77144 https://www.sec.gov/rules/sro/box/2016/34-77144.pdf SR-BOX-2016-07 2016-02-16 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-8803 81-FR-8803 34-77145 https://www.sec.gov/litigation/admin/2016/34-77145.pdf AAER-3743 3-17118 2016-02-16 Order Instituting Cease-and-Desist Proceedings, Making findings, and Imposing a Cease-and-Desist order AP Settled PTC Inc. N/A 34-77146 https://www.sec.gov/rules/sro/edga/2016/34-77146.pdf SR-EDGA-2016-01 2016-02-16 Notice / to Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc. SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-8788 81-FR-8788 34-77147 https://www.sec.gov/rules/sro/edgx/2016/34-77147.pdf SR-EDGX-2016-04 2016-02-16 Notice / to Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-8767 81-FR-8767 34-77148 https://www.sec.gov/rules/sro/17d-2/2016/34-77148.pdf S7-966 2016-02-16 Notice / Order Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorpo SRO Filing Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 http://www.federalregister.gov/citation/81-FR-8775 81-FR-8775 34-77149 https://www.sec.gov/rules/sro/17d-2/2016/34-77149.pdf 4-551 2016-02-16 Notice / Order Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among NYSE MKT LLC, BATS Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, the Chicago Board Options Exchange, Incorpo SRO Filing Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 http://www.federalregister.gov/citation/81-FR-8781 81-FR-8781 34-77150 https://www.sec.gov/litigation/admin/2016/34-77150.pdf IA-4335 IC-31997 3-17119 2016-02-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing remedial Sanctions and a Cease-and-Desist Order AP Settled Grom, Charles P. N/A 34-77151 https://www.sec.gov/litigation/admin/2016/34-77151.pdf 3-16947 2016-02-17 Notice That Initial Decision Has Become Final Notice Teliphone Corp. Inelco Corp. N/A 34-77152 https://www.sec.gov/rules/sro/nasdaq/2016/34-77152.pdf SR-NASDAQ-2016-020 2016-02-17 Notice / Immediate Effectiveness to Amend Nasdaq Rule 7014 and Nasdaq Rule 7018 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-9061 81-FR-9061 34-77153 https://www.sec.gov/rules/sro/phlx/2016/34-77153.pdf SR-PHLX-2016-19 2016-02-17 Notice / Immediate Effectiveness to Extend the FLEX No Minimum Value Pilot SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-9039 81-FR-9039 34-77154 https://www.sec.gov/rules/sro/box/2016/34-77154.pdf SR-BOX-2016-08 2016-02-17 Notice / Immediate Effectiveness to Reduce the Order Handling Period for Directed Orders from Three Seconds to One Second SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-9063 81-FR-9063 34-77155 https://www.sec.gov/rules/sro/bats/2016/34-77155.pdf SR-BATS-2016-10 2016-02-17 Notice / to Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc. SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9008 81-FR-9008 34-77156 https://www.sec.gov/rules/sro/byx/2016/34-77156.pdf SR-BYX-2016-02 2016-02-17 Notice / to Amend the Certificate of Incorporation and Bylaws of the Exchange's Ultimate Parent Company, BATS Global Markets, Inc. SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9052 81-FR-9052 34-77157 https://www.sec.gov/rules/proposed/2016/34-77157.pdf S7-02-16 2016-02-17 Proposed rule Proposed Rule Covered Broker-Dealer Provisions under Title ll of the Dodd-Frank Wall Stre http://www.federalregister.gov/citation/81-FR-10798 81-FR-10798 34-77158 https://www.sec.gov/rules/sro/finra/2016/34-77158.pdf SR-FINRA-2016-008 2016-02-17 Notice / Immediate Effectiveness to Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-9065 81-FR-9065 34-77159 https://www.sec.gov/rules/sro/bats/2016/34-77159.pdf SR-BATS-2015-105 2016-02-17 Notice / Designation for a Longer Period to Rule 14.11(i), Managed Fund Shares, to List and Trade the Shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9041 81-FR-9041 34-77160 https://www.sec.gov/rules/sro/nysearca/2016/34-77160.pdf SR-NYSEARCA-2016-14 2016-02-17 Notice / Relating to Listing and Trading of Shares of WBI Tactical Rotation Shares under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-9029 81-FR-9029 34-77161 https://www.sec.gov/litigation/admin/2016/34-77161.pdf AAER-3744 3-17120 2016-02-17 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Glidewell, Donald J., CPA N/A 34-77162 https://www.sec.gov/litigation/admin/2016/34-77162.pdf AAER-3745 3-17121 2016-02-17 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Barcenas, Julieta Favela N/A 34-77163 https://www.sec.gov/litigation/opinions/2016/34-77163.pdf 3-16293 2016-02-17 Order Striking Respondent's "Offer of Proof" Order Buono, John, CPA Bebo, Laurie N/A 34-77164 https://www.sec.gov/rules/sro/finra/2016/34-77164.pdf SR-FINRA-2015-048 2016-02-17 Notice / Order Accelerated to Adopt FINRA Rule 6191(b) and Amend FINRA Rule 7440 to Implement the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-9043 81-FR-9043 34-77165 https://www.sec.gov/rules/sro/phlx/2016/34-77165.pdf SR-SCCP-2015-02 SR-NASDAQ-2015-160 SR-PHLX-2015-113 SR-BSECC-2015-002 SR-BX-2015-085 2016-02-17 Order / to Amend the By-Laws of NASDAQ, Inc. SRO Filing Stock Clearing Corporation of Philadelphia NASDAQ Stock Market LLC NASDAQ OMX PHLX LLC Boston Stock Exchange Clearing Corporation NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-9041 81-FR-9041 34-77166 https://www.sec.gov/litigation/admin/2016/34-77166.pdf 3-17122 2016-02-17 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated New World Batteries, Inc. North Pacific GeoPower Corp. Northern Canadian Uranium Inc. (f/k/a Northern Canadian Minerals Inc.) Digiblue Media, Inc. Morgain Minerals Inc. N/A 34-77167 https://www.sec.gov/litigation/admin/2016/34-77167.pdf 3-17123 2016-02-17 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Mentergy Ltd. (a/k/a Gilat Communications Ltd.) Nu Energy Inc. Ceyoniq AG (n/k/a CEYONIQ, Inc.) Mid-Am Systems, Inc. Market Data Consultants, Inc. N/A 34-77168 https://www.sec.gov/rules/sro/nysemkt/2016/34-77168.pdf SR-NYSEMKT-2016-21 2016-02-18 Notice / Immediate Effectiveness Amending the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-9027 81-FR-9027 34-77169 https://www.sec.gov/rules/sro/nysearca/2016/34-77169.pdf SR-NYSEARCA-2016-26 2016-02-18 Notice / Immediate Effectiveness Amending the NYSE Arca schedule of Options Fees and Charges SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-9025 81-FR-9025 34-77170 https://www.sec.gov/rules/sro/nysearca/2016/34-77170.pdf SR-NYSEARCA-2015-104 2016-02-18 Notice / Withdrawal to Adopt a New Policy Relating to Trade Reports for Exchange Traded Products SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-9038 81-FR-9038 34-77171 https://www.sec.gov/rules/sro/bats/2016/34-77171.pdf SR-BATS-2015-101 2016-02-18 Order / to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Disruptive Quoting and Trading Activity SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9017 81-FR-9017 34-77172 https://www.sec.gov/rules/proposed/2016/34-77172.pdf S7-27-15 2016-02-18 Extension of Comment Period Ext. of Comment Period Extension of Comment Period for Advance Notice of Proposed Rulemaking; Concept Release; Request for Comment http://www.federalregister.gov/citation/81-FR-8867 81-FR-8867 34-77173 https://www.sec.gov/rules/exorders/2016/34-77173.pdf TP 15-15 2016-02-18 Order / Limited Exemptions from Regulation M Order WisdomTree Put Write Strategy Fund http://www.federalregister.gov/citation/81-FR-9231 81-FR-9231 34-77174 https://www.sec.gov/rules/sro/nysemkt/2016/34-77174.pdf SR-NYSEMKT-2016-22 2016-02-18 Notice / Immediate Effectiveness Amending Rule 341A(a)(4) to Provide for Web-Based Delivery of the Exchange's Continuing Education Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-9233 81-FR-9233 34-77175 https://www.sec.gov/rules/sro/finra/2016/34-77175.pdf SR-FINRA-2016-007 2016-02-18 Notice / to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development or Significant Modification of Algorithmic Trading Strategies SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-9235 81-FR-9235 34-77176 https://www.sec.gov/litigation/admin/2016/34-77176.pdf IC-31998 3-16008 2016-02-18 Order Making Findings and Imposing a Cease-and-Desist Order AP Settled Moore, Charles Crucible Capital Group, Inc. N/A 34-77177 https://www.sec.gov/litigation/opinions/2016/33-10040.pdf 33-10040 3-16509 2016-02-18 Order Granting Extension Order Agostini, Luigi Lux, Lawrence R. Daspin, Edward M. a/k/a "Edward (ED) Michael" N/A 34-77178 https://www.sec.gov/litigation/suspensions/2016/34-77178.pdf 500-1 2016-02-19 Order of Suspension of Trading Trading Suspension Interactive Health Network AI Document Services, Inc. Creative Edge Nutrition, Inc. http://www.federalregister.gov/citation/81-FR-9016 81-FR-9016 34-77179 https://www.sec.gov/rules/sro/nysearca/2016/34-77179.pdf SR-NYSEARCA-2016-17 2016-02-19 Notice / Relating to Listing and Trading of Shares of the JPMorgan Diversified Alternative ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-9521 81-FR-9521 34-77180 https://www.sec.gov/rules/sro/finra/2016/34-77180.pdf SR-FINRA-2016-006 2016-02-19 Notice / to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-9545 81-FR-9545 34-77181 https://www.sec.gov/rules/sro/edgx/2016/34-77181.pdf SR-EDGX-2016-03 2016-02-19 Notice / Immediate Effectiveness to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, Amending the Exchange's Minor Rule Violation Plan SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9566 81-FR-9566 34-77182 https://www.sec.gov/rules/sro/bats/2016/34-77182.pdf SR-BATS-2016-08 2016-02-19 Notice / Immediate Effectiveness to Rules 8.15, Imposition of Fines for Minor Violation(s) of Rules, and 25.3, Penalty for Minor Rule Violations, to Amend the Minor Rule Violation Plan SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9543 81-FR-9543 34-77183 https://www.sec.gov/rules/sro/nysearca/2016/34-77183.pdf SR-NYSEARCA-2016-28 2016-02-19 Notice / to List and Trade Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-9535 81-FR-9535 34-77184 https://www.sec.gov/rules/sro/nysearca/2016/34-77184.pdf SR-NYSEARCA-2015-125 2016-02-19 Notice / Designation of a Longer Period to List and Trade of Shares of RiverFront Dynamic Unconstrained Income ETF and RiverFront Dynamic Core Income ETF Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-9532 81-FR-9532 34-77185 https://www.sec.gov/litigation/admin/2016/34-77185.pdf 3-17124 2016-02-19 Order Instituting Cease-and-Desist, Making Findings, and Imposing Remedial Sanctions AP Settled Prezioso, Nicholas A. N/A 34-77186 https://www.sec.gov/rules/sro/phlx/2016/34-77186.pdf SR-PHLX-2016-20 2016-02-19 Notice / Immediate Effectiveness Relating to Partnerships SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-9531 81-FR-9531 34-77187 https://www.sec.gov/rules/sro/byx/2016/34-77187.pdf SR-BYX-2016-04 2016-02-19 Notice / Immediate Effectiveness to Rule 11.13(b)(3)(H), Order Execution and Routing, to Amend the Operation of Non-Displayed Orders and Reserve Orders SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9556 81-FR-9556 34-77188 https://www.sec.gov/rules/sro/bats/2016/34-77188.pdf SR-BATS-2016-18 2016-02-19 Notice / Immediate Effectiveness to Rule 11.13(b)(3)(H), Order Execution and Routing, to Amend the Operation of Non-Displayed Orders and Reserve Orders SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9568 81-FR-9568 34-77189 https://www.sec.gov/rules/sro/edgx/2016/34-77189.pdf SR-EDGX-2016-08 2016-02-19 Notice / Immediate Effectiveness to Rule 11.6, Definitions, to Amend the Operation of Orders with a Non-Displayed Instruction and Orders with Reserve Quantity SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9571 81-FR-9571 34-77190 https://www.sec.gov/rules/sro/edga/2016/34-77190.pdf SR-EDGA-2016-03 2016-02-19 Notice / Immediate Effectiveness to Rule 11.6, Definitions, to Amend the Operation of Orders with a Non-Displayed Instruction and Orders with Reserve Quantity SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9570 81-FR-9570 34-77191 https://www.sec.gov/rules/sro/nasdaq/2016/34-77191.pdf SR-NASDAQ-2016-025 2016-02-19 Notice / Immediate Effectiveness to Amend Nasdaq Rule 5940 to Adopt Entry and Annual Fees for NextShares SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-9559 81-FR-9559 34-77192 https://www.sec.gov/rules/sro/nasdaq/2016/34-77192.pdf SR-NASDAQ-2015-161 2016-02-19 Notice / Designation of a Longer Period Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and First Tru SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-9575 81-FR-9575 34-77193 https://www.sec.gov/rules/sro/box/2016/34-77193.pdf SR-BOX-2016-09 2016-02-19 Notice / Immediate Effectiveness to Amend the Fee Schedule to Eliminate Certain Fees Which Relate to the Series 56 Examination and to Include Certain Fees Which Relate to Series 57 Examination and Continuing Education SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-9557 81-FR-9557 34-77194 https://www.sec.gov/rules/sro/c2/2016/34-77194.pdf SR-C2-2016-002 2016-02-19 Notice / Immediate Effectiveness to Amend Rule 8.2 SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-9533 81-FR-9533 34-77195 https://www.sec.gov/litigation/admin/2016/33-10042.pdf 33-10042 3-17125 2016-02-19 Order Instituting Administrative and Cease-and-Desist, Making Findings, and Imposing Remedial Sanctions AP Litigated IBC Funds, LLC N/A 34-77196 https://www.sec.gov/rules/sro/finra/2016/34-77196.pdf SR-FINRA-2016-005 2016-02-19 Notice / to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-9550 81-FR-9550 34-77197 https://www.sec.gov/rules/sro/nysearca/2016/34-77197.pdf SR-NYSEARCA-2016-34 2016-02-19 Notice / Immediate Effectiveness Amending Rule 7.31P(a)(2)(C) Relating to Repricing Events SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-9573 81-FR-9573 34-77198 https://www.sec.gov/rules/sro/nyse/2016/34-77198.pdf SR-NYSE-2016-12 2016-02-19 Notice / Immediate Effectiveness Amending the NYSE Listed Company Manual to Adopt a Requirement that Listed Foreign Private Issuers Must, At a Minimum, Submit a Form 6-K to the Securities and Exchange Commission Containing Semi-Annual Unaudited Financial SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-9563 81-FR-9563 34-77199 https://www.sec.gov/rules/sro/ise/2016/34-77199.pdf SR-ISE-2016-05 2016-02-22 Notice / Notice Immediate Effectiveness to Correct the Text of ISE Rule 313 SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-9909 81-FR-9909 34-77200 https://www.sec.gov/rules/sro/cboe/2016/34-77200.pdf SR-CBOE-2016-009 2016-02-22 Notice / Notice Relating to LMMs and DPMs SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-9910 81-FR-9910 34-77201 https://www.sec.gov/litigation/opinions/2016/33-10044.pdf 33-10044 IA-4336 IC-31999 3-16311 2016-02-22 Order Granting Petition for Review and Scheduling Briefs Order Dembski, Timothy S. N/A 34-77202 https://www.sec.gov/rules/sro/bats/2016/34-77202.pdf SR-BATS-2015-100 2016-02-22 Notice / Amendments No. 1 No. 3, and No. 4 / Order Instituting Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change, as Modified by Amendments No. 1, No. 3, and No. 4, to Amend BATS Rule 14.11(i) to Adopt SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-9989 81-FR-9989 34-77203 https://www.sec.gov/rules/sro/nysearca/2016/34-77203.pdf SR-NYSEARCA-2015-110 2016-02-22 Notice / of Filing of Amendment No. 4 / Order / Order Instituting Proceedings to Determine Whether to Approve or Disapprove, a Proposed Rule Change, as Modified by Amendment No. 4 Thereto, Amending NYSE Arca Equities Rule 8.600 to Adopt Generic List SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-9900 81-FR-9900 34-77204 https://www.sec.gov/litigation/opinions/2016/34-77204.pdf 3-16293 2016-02-22 Order Partially Granting Motion for a Protective Order Order Buono, John, CPA Bebo. Laurie N/A 34-77205 https://www.sec.gov/rules/sro/nms/2016/34-77205.pdf 4-631 2016-02-22 Notice / Tenth Amendment to the NMS Plan to Address Extraordinary Market Volatility Notice Joint Industry Plan http://www.federalregister.gov/citation/81-FR-10315 81-FR-10315 34-77206 https://www.sec.gov/litigation/admin/2016/34-77206.pdf 3-16846 2016-02-23 Extension Order Order UBS Financial Services Incorporated of Puerto Rico N/A 34-77207 https://www.sec.gov/litigation/admin/2016/34-77207.pdf AAER-3746 3-17126 2016-02-23 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated Maiher, Jason N/A 34-77208 https://www.sec.gov/litigation/admin/2016/34-77208.pdf 3-16398 2016-02-23 Extension Order Order Dyche, Sandra N/A 34-77209 https://www.sec.gov/rules/sro/bats/2016/34-77209.pdf SR-BATS-2015-94 2016-02-23 Notice / Designation of a Longer Period to List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-10315 81-FR-10315 34-77210 https://www.sec.gov/rules/sro/nysemkt/2016/34-77210.pdf SR-NYSEMKT-2016-27 2016-02-23 Notice / Immediate Effectiveness Amending Sections 1206 and 1212T of the NYSE MKT Company Guide SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-10308 81-FR-10308 34-77211 https://www.sec.gov/rules/sro/edgx/2016/34-77211.pdf SR-EDGX-2016-10 2016-02-23 Notice / Immediate Effectiveness Related to Fees as Applicable to the Equity Options Platform SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-10300 81-FR-10300 34-77212 https://www.sec.gov/rules/sro/finra/2016/34-77212.pdf SR-FINRA-2016-004 2016-02-23 Notice / Immediate Effectiveness to Adopt FINRA Rule 0151 (Coordination with the MSRB) and Amend FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-10306 81-FR-10306 34-77213 https://www.sec.gov/rules/sro/byx/2016/34-77213.pdf SR-BYX-2016-03 2016-02-23 Notice / to Adopt an Early Trading Session and Three New Time-in Force Instructions SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/81-FR-10310 81-FR-10310 34-77214 https://www.sec.gov/rules/sro/bats/2016/34-77214.pdf SR-BATS-2016-14 2016-02-23 Notice / to Adopt an Early Trading Session and Three New Time-in-Force Instructions SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-10351 81-FR-10351 34-77215 https://www.sec.gov/litigation/admin/2016/33-10045.pdf 33-10045 IA-4340 3-16354 2016-02-23 Notice That Initial Decision Has Become Final Notice RTAG Inc. d/b/a Retirement Tax Advisory Group Scurlock, Riichard Hampton, III N/A 34-77216 https://www.sec.gov/alj/aljdec/2016/33-10046.pdf 33-10046 IA-4341 3-16354 2016-02-23 Notice That Initial Decision Has Become Final Notice Karaski, Dennis K. Carrio, Jose F. Carrio, Karasik & Associates, LLP N/A 34-77217 https://www.sec.gov/alj/aljdec/2016/33-10047.pdf 33-10047 IA-4342 3-16354 2016-02-23 Notice That Initial Decision Has Become Final Notice Salovay, Michael J. N/A 34-77218 https://www.sec.gov/rules/sro/finra/2016/34-77218.pdf SR-FINRA-2015-047 2016-02-23 Notice / Amendment No. 1 / Order Accelerating to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-10290 81-FR-10290 34-77219 https://www.sec.gov/litigation/admin/2016/34-77219.pdf 3-16962 2016-02-24 Notice That Initial Decision Has Become Final Notice Games on Demand International, Inc. (a/k/a Firmware Technologies Inc.) Equity Ventures Group, Inc. N/A 34-77220 https://www.sec.gov/litigation/admin/2016/34-77220.pdf 3-17103 2016-02-24 Order Making Findings and Revoking Registration AP Settled WNC Housing Tax Credit Fund VI, L.P., Series 12 N/A 34-77221 https://www.sec.gov/rules/sro/phlx/2016/34-77221.pdf SR-PHLX-2016-26 2016-02-24 Notice / Immediate Effectiveness to Amend Section II of the Exchange's Pricing Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-10693 81-FR-10693 34-77222 https://www.sec.gov/rules/sro/bats/2016/34-77222.pdf SR-BATS-2016-17 2016-02-24 Notice / , to Amend its Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-10345 81-FR-10345 34-77223 https://www.sec.gov/litigation/admin/2016/34-77223.pdf 3-16575 2016-02-24 Extension Order Order Banks, Wayne Zilmer, Claus Computer Sciences Corporation Laphen, Michael Mancuso, Michael Wakefield, Paul N/A 34-77224 https://www.sec.gov/litigation/admin/2016/34-77224.pdf AAER-3747 IA-4344 3-17130 2016-02-24 Order Instituting Administrative Proceedings, Making Findings, and Imposing remedial Sanctions AP Settled Lee, David S., CPA N/A 34-77225 https://www.sec.gov/litigation/admin/2016/34-77225.pdf 3-17131 2016-02-24 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Lopez, Mark A. N/A 34-77226 https://www.sec.gov/rules/sro/nasdaq/2016/34-77226.pdf SR-NASDAQ-2016-023 2016-02-24 Notice / to Amend Rules 4702 and 4703 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-10687 81-FR-10687 34-77227 https://www.sec.gov/litigation/admin/2016/34-77227.pdf 3-17132 2016-02-24 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Infrastructure International, Inc. N/A 34-77228 https://www.sec.gov/litigation/admin/2016/34-77228.pdf 3-17133 2016-02-24 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Bonamour, Inc. TexStar Oil Corporation N/A 34-77229 https://www.sec.gov/rules/sro/box/2016/34-77229.pdf SR-BOX-2016-10 2016-02-25 Notice / Immediate Effectiveness to Make Non-Controversial and Clerical Amendments to its Rules SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-10945 81-FR-10945 34-77230 https://www.sec.gov/rules/sro/isegemini/2016/34-77230.pdf SR-ISEGEMINI-2016-01 2016-02-25 Notice / Immediate Effectiveness to Correct the Text of ISE Gemini Rule 306 SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-10937 81-FR-10937 34-77231 https://www.sec.gov/litigation/admin/2016/34-77231.pdf AAER-3748 3-17134 2016-02-25 Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension AP Litigated Quintanilla, Timothy, CPA N/A 34-77232 https://www.sec.gov/rules/sro/nasdaq/2016/34-77232.pdf SR-NASDAQ-2016-026 2016-02-25 Notice / Immediate Effectiveness to Amend Rule 5745 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-10933 81-FR-10933 34-77233 https://www.sec.gov/rules/sro/nasdaq/2016/34-77233.pdf SR-NASDAQ-2016-021 2016-02-25 Notice / to the Listing and Trading of the Shares of the First Trust Alternative Absolute Return Strategy ETF of First Trust Exchange-Traded Fund VII SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-10925 81-FR-10925 34-77234 https://www.sec.gov/rules/sro/iceeu/2016/34-77234.pdf SR-ICEEU-2016-004 2016-02-25 Notice / Relating to Additions to Permitted Cover SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-10949 81-FR-10949 34-77235 https://www.sec.gov/rules/sro/nasdaq/2016/34-77235.pdf SR-NASDAQ-2015-159 2016-02-25 Order / to Implement Additional Price Protections in the Opening Process SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-10935 81-FR-10935 34-77236 https://www.sec.gov/rules/sro/nysearca/2016/34-77236.pdf SR-NYSEARCA-2016-30 2016-02-25 Notice / Immediate Effectiveness Amending Rule 7.44P Retail Liquidity Program SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-10943 81-FR-10943 34-77237 https://www.sec.gov/litigation/admin/2016/34-77237.pdf 3-17135 2016-02-25 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated DE Acquisition 5, Inc. GimmeaBid.com, Inc. (a/k/a Gimmeabid Com Inc.) DE Acquisition 11, Inc. N/A 34-77238 https://www.sec.gov/litigation/admin/2016/34-77238.pdf 3-17136 2016-02-25 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Chardan China Acquisition Corp. Garden Bay International, Ltd. N/A 34-77239 https://www.sec.gov/rules/sro/nasdaq/2016/34-77239.pdf SR-NASDAQ-2016-027 2016-02-25 Notice / Immediate Effectiveness to Amend Nasdaq Rule 7018 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-10946 81-FR-10946 34-77240 https://www.sec.gov/rules/exorders/2016/34-77240.pdf TP 15-06 2016-02-25 Order / Granting Limited Exemptions from Exchange Act Section 11(d), Exchange Act Rules 10b-10, 10b-17, and 11d1-2, and Rules 101 and 102 of Regulation M Order Eaton Vance ETMF Trust Eaton Vance Balanced NextShares Eaton Vance NextShares Trust II http://www.federalregister.gov/citation/81-FR-10939 81-FR-10939 34-77241 https://www.sec.gov/rules/sro/nysemkt/2016/34-77241.pdf SR-NYSEMKT-2016-30 2016-02-26 Notice / Immediate Effectiveness Adopting Investigation, Disciplinary, Sanction, and Other Procedural Rules Modeled on the Rules of the New York Stock Exchange LLC and Certain Conforming and Technical Changes SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-11311 81-FR-11311 34-77242 https://www.sec.gov/rules/sro/edgx/2016/34-77242.pdf SR-EDGX-2016-12 2016-02-26 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equity Options Platform SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-11335 81-FR-11335 34-77243 https://www.sec.gov/rules/sro/finra/2016/34-77243.pdf SR-FINRA-2016-009 2016-02-26 Notice / Immediate Effectiveness to Amend FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-11337 81-FR-11337 34-77244 https://www.sec.gov/litigation/admin/2016/34-77244.pdf IA-4345 3-17137 2016-02-26 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Giordano, Joseph A. N/A 34-77245 https://www.sec.gov/rules/sro/phlx/2016/34-77245.pdf SR-PHLX-2016-23 2016-02-26 Notice / Immediate Effectiveness to Adopt a Kill Switch SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-11307 81-FR-11307 34-77246 https://www.sec.gov/rules/sro/ise/2016/34-77246.pdf SR-ISE-2015-30 2016-02-26 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rule 804(g) SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-11305 81-FR-11305 34-77247 https://www.sec.gov/rules/sro/isegemini/2016/34-77247.pdf SR-ISEGEMINI-2015-17 2016-02-26 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend Rule 804(g) SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-11309 81-FR-11309 34-77248 https://www.sec.gov/alj/aljdec/2016/34-77248.pdf AAER-3749 3-16399 2016-02-26 Notice That Initial Decision Has Become Final Notice Halpern, Barbara, CPA Halpern & Associates LLC N/A 34-77249 https://www.sec.gov/litigation/opinions/2016/33-10048.pdf 33-10048 IC-32008 3-15514 2016-02-26 Order Scheduling Briefs Order Feldmann, Richard D. N/A 34-77250 https://www.sec.gov/litigation/admin/2016/34-77250.pdf 3-16979 2016-02-29 Notice that Initial Decision Has Become Final Notice Ben Franklin Financial, Inc. (a/k/a Franklin Ben Financial, Inc.) and Gali Global Holdings Ltd. Dayton General Systems, Inc. Display.IT Holdings PLC Cincinnati Regional Initiative Inc. (a/k/a Midwest Regional Authority, Inc., a/k/a Buffalo Capital II Ltd.) N/A 34-77251 https://www.sec.gov/rules/sro/miax/2016/34-77251.pdf SR-MIAX-2016-06 2016-02-29 Notice / Immediate Effectiveness to Amend the MIAX Options Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-11614 81-FR-11614 34-77252 https://www.sec.gov/rules/sro/bx/2016/34-77252.pdf SR-BX-2016-012 2016-02-29 Notice / Immediate Effectiveness to Amend BX Options Chapter VII, Section 6 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-11634 81-FR-11634 34-77253 https://www.sec.gov/litigation/admin/2016/34-77253.pdf IA-4346 IC-32012 3-17139 2016-02-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Santos, Maximillian N/A 34-77254 https://www.sec.gov/litigation/admin/2016/34-77254.pdf AAER-3750 3-17140 2016-02-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled KeyBanc Capital Markets Inc. N/A 34-77255 https://www.sec.gov/litigation/admin/2016/34-77255.pdf 3-16991 2016-03-01 Order Making Findings and Revoking Registration of Securities AP Settled Downers Gap, Inc. N/A 34-77256 https://www.sec.gov/rules/sro/bats/2016/34-77256.pdf SR-BATS-2016-23 2016-03-01 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-11872 81-FR-11872 34-77257 https://www.sec.gov/litigation/admin/2016/34-77257.pdf 3-17141 2016-03-01 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Zajick, Donald C. Metzler, Patricia Zajick Metzler, Daniel P. N/A 34-77258 https://www.sec.gov/litigation/admin/2016/34-77258.pdf 3-17142 2016-03-01 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Gincel, Lawrence M. N/A 34-77259 https://www.sec.gov/litigation/admin/2016/34-77259.pdf 3-17143 2016-03-01 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Salamone, Craig N. N/A 34-77260 https://www.sec.gov/litigation/admin/2016/34-77260.pdf 3-17144 2016-03-01 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Map IV Acquisition, Inc. Med-Zone Biotechnologies Acquisition, Inc. Millennium Direct, Inc N/A 34-77261 https://www.sec.gov/litigation/admin/2016/34-77261.pdf AAER-3751 3-17145 2016-03-01 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Qualcomm Incorporated N/A 34-77262 https://www.sec.gov/litigation/admin/2016/34-77262.pdf 3-17075 2016-03-01 Order Appointing Tax Administrator Order QED Benchmark Management, L.L.C. Kuperman, Peter N/A 34-77263 https://www.sec.gov/litigation/admin/2016/33-10049.pdf 33-10049 IA-4347 IC-32016 3-15446 2016-03-01 Order Rescheduling Oral Argument Order Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A 34-77264 https://www.sec.gov/rules/sro/phlx/2016/34-77264.pdf SR-PHLX-2016-12 2016-03-01 Notice / Withdrawal to Adopt Limit Order Protection and Market Order Protection SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-11850 81-FR-11850 34-77265 https://www.sec.gov/rules/exorders/2016/34-77265.pdf NO FILE NUMBER 2016-03-01 Order Order Order Granting Exemptions from Certain Provisions of Rule 613 Pursuant to Section 36(a)(1) of the Securities Exchange Act of 1934 http://www.federalregister.gov/citation/81-FR-11856 81-FR-11856 34-77266 https://www.sec.gov/rules/sro/bx/2016/34-77266.pdf SR-BX-2016-008 2016-03-01 Notice / Withdrawal to Adopt Limit Order Protection and Market Order Protection SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-11872 81-FR-11872 34-77267 https://www.sec.gov/rules/sro/nasdaq/2016/34-77267.pdf SR-NASDAQ-2016-005 2016-03-01 Notice / Withdrawal to Adopt Limit Order Protection and Market Order Protection SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-11872 81-FR-11872 34-77268 https://www.sec.gov/rules/sro/nysearca/2016/34-77268.pdf SR-NYSEARCA-2016-36 2016-03-01 Notice / Immediate Effectiveness to Amend Exchange Rule 7.21, Obligations of Market Maker Authorized Traders SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-11870 81-FR-11870 34-77269 https://www.sec.gov/rules/sro/finra/2016/34-77269.pdf SR-FINRA-2016-010 2016-03-01 Notice / to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-11851 81-FR-11851 34-77270 https://www.sec.gov/litigation/admin/2016/34-77270.pdf 3-17146 2016-03-01 Order Instituting Administrative Proceedings, and Notice of Hearing AP Litigated Rey, Janice D. N/A 34-77271 https://www.sec.gov/litigation/admin/2016/34-77271.pdf 3-17147 2016-03-01 Order Instituting Administrative Proceedings, and Notice of Hearing AP Litigated McLean, Devon C. N/A 34-77272 https://www.sec.gov/litigation/admin/2016/34-77272.pdf 3-17148 2016-03-02 Order Insituting proceedings AP Litigated Natural Resources Corporation N/A 34-77273 https://www.sec.gov/litigation/admin/2016/34-77273.pdf 3-17149 2016-03-02 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Elsinore Capital II, Ltd. Free DA Connection Systems, Inc. (a/k/a Free DA Connection Services, Inc., a/k/a Earthshine International Ltd.) EPS Solutions Corp. N/A 34-77274 https://www.sec.gov/rules/sro/nysearca/2016/34-77274.pdf SR-NYSEARCA-2016-35 2016-03-02 Notice / Immediate Effectiveness to the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-12154 81-FR-12154 34-77275 https://www.sec.gov/rules/sro/nysemkt/2016/34-77275.pdf SR-NYSEMKT-2016-28 2016-03-02 Notice / Immediate Effectiveness Amending the Fees for NYSE Amex Options Proprietary Market Data as They Apply to Federal Agency Customers SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-12187 81-FR-12187 34-77276 https://www.sec.gov/rules/sro/nysearca/2016/34-77276.pdf SR-NYSEARCA-2016-32 2016-03-02 Notice / Immediate Effectiveness Amending the Fees for NYSE Arca Options Proprietary Market Data as They Apply to Federal Agency Customers SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-12188 81-FR-12188 34-77277 https://www.sec.gov/rules/sro/nms/2016/34-77277.pdf 4-657 2016-03-03 Notice / Immediate Effectiveness to Implement a Tick Size Pilot Program to Add National Stock Exchange, Inc. as a Participant SRO Filing Joint Industry Plan / National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-12162 81-FR-12162 34-77278 https://www.sec.gov/litigation/admin/2016/34-77278.pdf 3-17151 2016-03-03 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Wisdom Holdings, Inc. Vanport Acquisition I, Corp. Reid, Joseph Denard (a/k/a Reid Joseph Denard) Shared 1, Inc. Yang Holding Company Youngheart Production Holding Co., Inc. Westview Acquisition Corp. Wi-Net Communications Inc. N/A 34-77279 https://www.sec.gov/rules/sro/nysemkt/2016/34-77279.pdf SR-NYSEMKT-2016-32 2016-03-03 Notice / Immediate Effectiveness Amending the Fees for NYSE MKT Proprietary Market Data as They Apply to Federal Agency Customers SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-12150 81-FR-12150 34-77280 https://www.sec.gov/rules/sro/nyse/2016/34-77280.pdf SR-NYSE-2016-19 2016-03-03 Notice / Immediate Effectiveness Amending the Fees for NYSE Proprietary Market Data as They Apply to Federal Agency Customers SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-12177 81-FR-12177 34-77281 https://www.sec.gov/rules/sro/nysearca/2016/34-77281.pdf SR-NYSEARCA-2016-37 2016-03-03 Notice / Immediate Effectiveness Amending the Fees for NYSE Arca Proprietary Market Data as They Apply to Federal Agency Customers SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-12163 81-FR-12163 34-77282 https://www.sec.gov/rules/sro/bx/2016/34-77282.pdf SR-BX-2016-013 2016-03-03 Notice / Immediate Effectiveness to Amend Access Services Fees under Rule 7015 SRO Filing NASDAQ OMX BX, Inc. http://www.federalregister.gov/citation/81-FR-12184 81-FR-12184 34-77283 https://www.sec.gov/rules/sro/phlx/2016/34-77283.pdf SR-PHLX-2016-30 2016-03-03 Notice / Immediate Effectiveness to Amend the Pricing Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-12160 81-FR-12160 34-77284 https://www.sec.gov/rules/sro/bats/2016/34-77284.pdf SR-BATS-2016-24 2016-03-03 Notice / Immediate Effectiveness to Amend Rule 11.23, Auctions, to Lengthen the Auction Information Dissemination Periods for the Opening and Closing Auctions in BZX Listed Securities SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-12175 81-FR-12175 34-77285 https://www.sec.gov/rules/sro/nasdaq/2016/34-77285.pdf SR-NASDAQ-2016-029 2016-03-03 Notice / Immediate Effectiveness to Amend Access Services Fees under Rule 7015 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-12151 81-FR-12151 34-77286 https://www.sec.gov/rules/sro/phlx/2016/34-77286.pdf SR-PHLX-2016-31 2016-03-03 Notice / Immediate Effectiveness to Amend Access Services Fees under Chapter VIII of the Pricing Schedule SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-12541 81-FR-12541 34-77287 https://www.sec.gov/rules/sro/bats/2016/34-77287.pdf SR-BATS-2015-124 2016-03-03 Notice / Designation of a Longer Period to BATS Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concept SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23540 81-FR-23540 34-77288 https://www.sec.gov/litigation/admin/2016/34-77288.pdf 3-17152 2016-03-03 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Gourevitch, Mikhail N/A 34-77289 https://www.sec.gov/rules/sro/nysearca/2016/34-77289.pdf SR-NYSEARCA-2016-31 2016-03-03 Notice / Immediate Effectiveness Establishing Fees for the NYSE Arca Order Imbalances Data Feed SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-12535 81-FR-12535 34-77290 https://www.sec.gov/litigation/admin/2016/34-77290.pdf 3-17153 2016-03-03 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Nordion (Canada) Inc. N/A 34-77291 https://www.sec.gov/rules/sro/bats/2016/34-77291.pdf SR-BATS-2015-108 2016-03-03 Notice / Order Accelerated to Adopt BATS Rule 11.27(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-12543 81-FR-12543 34-77292 https://www.sec.gov/rules/sro/isemercury/2016/34-77292.pdf SR-ISEMERCURY-2016-02 2016-03-04 Notice / Immediate Effectiveness to Establish the Schedule of Fees SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-12770 81-FR-12770 34-77293 https://www.sec.gov/rules/sro/nysemkt/2016/34-77293.pdf SR-NYSEMKT-2016-34 2016-03-04 Notice / Immediate Effectiveness to Modify the NYSE Amex Options Fee Schedule Relating to ByRDs Transaction Fees SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-12762 81-FR-12762 34-77294 https://www.sec.gov/rules/sro/nysearca/2016/34-77294.pdf SR-NYSEARCA-2016-40 2016-03-04 Notice / Immediate Effectiveness to Modify the NYSE Arca Options Fee Schedule Relating to ByRDs Transaction Fees SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-12775 81-FR-12775 34-77295 https://www.sec.gov/rules/sro/phlx/2016/34-77295.pdf SR-PHLX-2016-32 2016-03-04 Notice / Immediate Effectiveness to Amend Provisions Related to Options Disputes SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-12769 81-FR-12769 34-77296 https://www.sec.gov/litigation/opinions/2016/34-77296.pdf 3-17076 2016-03-04 Order Scheduling Briefs Order Akindemowo, Kenny N/A 34-77297 https://www.sec.gov/rules/sro/cboe/2016/34-77297.pdf SR-CBOE-2016-014 2016-03-04 Notice / Immediate Effectiveness Related to Complex Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-12764 81-FR-12764 34-77298 https://www.sec.gov/rules/sro/edgx/2016/34-77298.pdf SR-EDGX-2016-14 2016-03-04 Notice / Immediate Effectiveness to Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-12757 81-FR-12757 34-77299 https://www.sec.gov/rules/sro/edga/2016/34-77299.pdf SR-EDGA-2016-05 2016-03-04 Notice / Immediate Effectiveness to Amend its Rules as well as Certain Corporate Documents of the Exchange to Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-12759 81-FR-12759 34-77300 https://www.sec.gov/litigation/admin/2016/34-77300.pdf 3-17154 2016-03-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled First Southwest Company, LLC N/A 34-77301 https://www.sec.gov/rules/sro/nasdaq/2016/34-77301.pdf SR-NASDAQ-2016-028 2016-03-07 Notice / Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-12990 81-FR-12990 34-77302 https://www.sec.gov/rules/sro/nyse/2016/34-77302.pdf SR-NYSE-2016-13 2016-03-07 Notice / Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-12998 81-FR-12998 34-77303 https://www.sec.gov/rules/sro/nysearca/2016/34-77303.pdf SR-NYSEARCA-2016-21 2016-03-07 Notice / Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-13003 81-FR-13003 34-77304 https://www.sec.gov/rules/sro/nysemkt/2016/34-77304.pdf SR-NYSEMKT-2016-17 2016-03-07 Notice / Establishing Procedures for the Allocation of Cages to Its Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Requirements and Fee SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-12981 81-FR-12981 34-77305 https://www.sec.gov/rules/sro/nyse/2016/34-77305.pdf SR-NYSE-2016-18 2016-03-07 Notice / Amending Rule 123C to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-12977 81-FR-12977 34-77306 https://www.sec.gov/rules/sro/nysemkt/2016/34-77306.pdf SR-NYSEMKT-2016-31 2016-03-07 Notice / Amending Rule 123C-Equities to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-12986 81-FR-12986 34-77307 https://www.sec.gov/rules/sro/bats/2016/34-77307.pdf SR-BATS-2016-25 2016-03-07 Notice / Immediate Effectiveness to Amend its Rules as well as Certain Corporate Documents of the Exchange to Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-12996 81-FR-12996 34-77308 https://www.sec.gov/rules/sro/byx/2016/34-77308.pdf SR-BYX-2016-07 2016-03-07 Notice / Immediate Effectiveness to Amend its Rules as well as Certain Corporate Documents of the Exchange to Reflect a Legal Name Change by BATS Global Markets, Inc. and the Legal Names of Certain Subsidiaries SRO Filing BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/81-FR-12975 81-FR-12975 34-77309 https://www.sec.gov/rules/sro/nasdaq/2016/34-77309.pdf SR-NASDAQ-2016-035 2016-03-07 Notice / to Establish a Secondary Contingency Procedure to Enable the Exchange to Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-13007 81-FR-13007 34-77310 https://www.sec.gov/rules/sro/bats/2016/34-77310.pdf SR-BATS-2016-27 2016-03-07 Notice / Immediate Effectiveness to Amend Rule 11.27(b), Compliance with Data Collection Requirements, Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BZX Exchange, Inc. f/k/a BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-13012 81-FR-13012 34-77311 https://www.sec.gov/rules/sro/iceeu/2016/34-77311.pdf SR-ICEEU-2016-002 2016-03-07 Notice / Immediate Effectiveness Relating to the Delegation of Authority to Approve Certain Rule and Procedure Amendments SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-13010 81-FR-13010 34-77312 https://www.sec.gov/litigation/admin/2016/33-10050.pdf 33-10050 3-17155 2016-03-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Parisi, Francis N/A 34-77313 https://www.sec.gov/litigation/admin/2016/34-77313.pdf 3-17156 2016-03-08 Order Instituting Proceedings, Making Findings, and Revoking Registration of Securities AP Settled eCareer Holdings, Inc. N/A 34-77314 https://www.sec.gov/litigation/admin/2016/34-77314.pdf 3-17006 2016-03-08 Notice That Initial Decision Has Become Final Notice Expect the Best, Inc. Dewpoint Environmental, Inc. ELF Inc. First Omega of Louisiana, Inc. Earth Energy Reserves, Inc. DLR Funding, Inc. N/A 34-77315 https://www.sec.gov/litigation/admin/2016/34-77315.pdf 3-17007 2016-03-08 Notice that Initial Decision has Become Final Notice Dome Holding Corp. E-Gold Group, Inc. Fortune Pharmaceutical, Inc. ESCO, Inc. N/A 34-77316 https://www.sec.gov/rules/sro/msrb/2016/34-77316.pdf SR-MSRB-2016-03 2016-03-08 Notice / Immediate Effectiveness Consisting of an Amendment to Rule G-33, on Calculations, and an Interpretive Notice SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-13426 81-FR-13426 34-77317 https://www.sec.gov/litigation/admin/2016/34-77317.pdf 3-17158 2016-03-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Birks, Frederick J. N/A 34-77318 https://www.sec.gov/litigation/admin/2016/33-10051.pdf 33-10051 IA-4349 IC-32024 3-17157 812-14574 2016-03-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Zoernack, Steven Invesco Distributors, Inc. EquityStar Capital Management, LLC N/A 34-77319 https://www.sec.gov/rules/sro/cboe/2016/34-77319.pdf SR-CBOE-2016-016 2016-03-08 Notice / Order Accelerating Related to Options that Overlie the MSCI EAFE Index and the MSCI Emerging Markets Index SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-13429 81-FR-13429 34-77320 https://www.sec.gov/rules/sro/nasdaq/2016/34-77320.pdf SR-NASDAQ-2016-002 2016-03-08 Notice / Designation of Longer Period for Commission Action to List and Trade Shares of the First Trust Municipal High Income ETF SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-13429 81-FR-13429 34-77321 https://www.sec.gov/rules/sro/17d-2/2016/34-77321.pdf 4-697 2016-03-08 Order / Approving and Declaring Effective Plan for the Allocation of Regulatory Responsibilities Order ISE Mercury, LLC Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-13434 81-FR-13434 34-77322 https://www.sec.gov/rules/other/2016/34-77322.pdf 2016-4 2016-03-08 Order Determining Whistleblower Award Claims Order Redacted N/A 34-77323 https://www.sec.gov/rules/sro/nms/2016/34-77323.pdf 4-443 2016-03-08 Notice / Immediate Effectiveness Amendment to the Plan for the Purpose of Developing and Implementing Procedures Designed to Facilitate the Listing and Trading of Standardized Options to Add ISE Mercury, LLC as a Plan Sponsor Notice Joint Industry Plan http://www.federalregister.gov/citation/81-FR-13433 81-FR-13433 34-77324 https://www.sec.gov/rules/sro/nms/2016/34-77324.pdf 4-546 2016-03-08 Notice / Immediate Effectiveness of Amendment to the Options Order Protection and Locked/Crossed Market Plan to Add ISE Mercury LLC, as a Participant SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/81-FR-13425 81-FR-13425 34-77325 https://www.sec.gov/litigation/admin/2016/34-77325.pdf 3-17159 2016-03-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Davis, Stephen H., Esq N/A 34-77326 https://www.sec.gov/litigation/admin/2016/34-77326.pdf 3-17160 2016-03-08 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) N/A 34-77327 https://www.sec.gov/litigation/admin/2016/34-77327.pdf 3-17161 2016-03-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled ET Binary Options Ltd. Banc de Binary Ltd BDB Services Ltd. Seychelles BO Systems Ltd. Oren Shabat Laurent N/A 34-77328 https://www.sec.gov/rules/exorders/2016/34-77328.pdf TP 16-4 2016-03-09 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and rules 101 and 102 0f Regulation M to PowerShares DWA tactical Multi-Asset Income Portfolio Pursuant to Exchange Act Rule 10b-17(b()2) and Rules 101(d) and 102*e) of Regulation M Order Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and rules 101 and 102 0f Regulation M to PowerShares DWA tactical Multi-Asset Income Portfolio Pursuant to Exchange Act Rule 10b-17(b()2) and Rules 101(d) and 102*e) of Regulation M http://www.federalregister.gov/citation/81-FR-13855 81-FR-13855 34-77329 https://www.sec.gov/rules/sro/edgx/2016/34-77329.pdf SR-EDGX-2016-16 2016-03-09 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equity Options Platform. SRO Filing Bats EDGX Exchange, Inc. f/k/a EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-13866 81-FR-13866 34-77330 https://www.sec.gov/rules/sro/bats/2016/34-77330.pdf SR-BATS-2016-26 2016-03-09 Notice / Immediate Effectiveness Related to Fees for Use of BATS Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. f/k/a BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-13861 81-FR-13861 34-77331 https://www.sec.gov/rules/sro/chx/2016/34-77331.pdf SR-CHX-2016-01 2016-03-09 Notice / to Adopt and Amend Rules to Permit the Exchange to Initiate CHX SNAP Cycles SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-13857 81-FR-13857 34-77332 https://www.sec.gov/rules/sro/nyse/2016/34-77332.pdf SR-NYSE-2016-16 2016-03-09 Notice / Amending Rule 98 to Provide that When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Such Orders Would Not be Required to be Designated as DMM Interest SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-13851 81-FR-13851 34-77333 https://www.sec.gov/rules/sro/bats/2016/34-77333.pdf SR-BATS-2016-02 2016-03-09 Notice / Designation of Longer Period for Commission Action to Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the iShares iBonds Dec 2023 AMT-Free Muni Bond ETF, iShares iBonds Dec 2024 AMT-Free Muni Bond ETF, iShares iBonds Dec 2025 AMT- SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-13854 81-FR-13854 34-77334 https://www.sec.gov/rules/sro/isegemini/2016/34-77334.pdf SR-ISEGEMINI-2016-02 2016-03-09 Notice / Immediate Effectiveness to Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-13864 81-FR-13864 34-77335 https://www.sec.gov/rules/sro/ise/2016/34-77335.pdf SR-ISE-2016-06 2016-03-09 Notice / Immediate Effectiveness to Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria SRO Filing International Securities Exchange http://www.federalregister.gov/citation/81-FR-13869 81-FR-13869 34-77336 https://www.sec.gov/rules/sro/occ/2016/34-77336.pdf SR-OCC-2016-005 2016-03-10 Notice / Immediate Effectiveness to Simplify The Options Clearing Corporation's Schedule of Fees SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-14153 81-FR-14153 34-77337 https://www.sec.gov/rules/sro/nysearca/2016/34-77337.pdf SR-NYSEARCA-2015-76 2016-03-10 Notice / of Withdrawal to List and Trade Shares of the Global Currency Gold Fund under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-14154 81-FR-14154 34-77338 https://www.sec.gov/rules/sro/nasdaq/2016/34-77338.pdf SR-NASDAQ-2016-030 2016-03-10 Notice / Relating to the Listing and Trading of the Shares of the Elkhorn Dorsey Wright Commodity Rotation Portfolio of Elkhorn ETF Trust SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-14142 81-FR-14142 34-77339 https://www.sec.gov/rules/sro/bx/2016/34-77339.pdf SR-BX-2016-016 2016-03-10 Notice / Immediate Effectiveness Regarding Fees and Rebates to Adopt the Select Symbols Options Tier Schedule SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-14155 81-FR-14155 34-77340 https://www.sec.gov/rules/sro/nysearca/2016/34-77340.pdf SR-NYSEARCA-2015-93 2016-03-10 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-14163 81-FR-14163 34-77341 https://www.sec.gov/rules/sro/phlx/2016/34-77341.pdf SR-PHLX-2015-94 2016-03-10 Notice / Amendment No. 1 / Order Accelerating to Make Permanent the Pilot Program Eliminating Minimum Value Sizes for Opening Transactions in New Series of FLEX Options SRO Filing NASDAQ OMX PHLX LLC http://www.federalregister.gov/citation/81-FR-14160 81-FR-14160 34-77342 https://www.sec.gov/litigation/admin/2016/34-77342.pdf AAER-3753 3-17163 2016-03-10 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Allred, Joseph R., CPA N/A 34-77343 https://www.sec.gov/litigation/admin/2016/34-77343.pdf AAER-3754 3-17164 2016-03-10 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Gray, Wayne, CPA N/A 34-77344 https://www.sec.gov/litigation/admin/2016/34-77344.pdf AAER-3755 3-17165 2016-03-10 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Krueger, David S., CPA N/A 34-77345 https://www.sec.gov/litigation/admin/2016/34-77345.pdf AAER-3756 3-17166 2016-03-10 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Magnum Hunter Resources Corporation N/A 34-77346 https://www.sec.gov/litigation/admin/2016/34-77346.pdf AAER-3757 3-17167 2016-03-10 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Ormand, Ronald D. N/A 34-77347 https://www.sec.gov/litigation/admin/2016/34-77347.pdf IA-4350 3-17168 2016-03-10 Order Instituting Administrative Proceedings, Investment Advisers, Making Findings, and Imposing Remedial Sanctions AP Settled Stephens, Steele V. N/A 34-77348 https://www.sec.gov/rules/sro/nysemkt/2016/34-77348.pdf SR-NYSEMKT-2016-29 2016-03-11 Notice / Immediate Effectiveness Amending Sections 401 and 402 of the NYSE MKT Company Guide to Harmonize the Exchange's Immediate Release and Trading Halt Policies SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-14506 81-FR-14506 34-77349 https://www.sec.gov/rules/sro/nysearca/2016/34-77349.pdf SR-NYSEARCA-2016-43 2016-03-11 Notice / Immediate Effectiveness Amending Rules 7.31P(j) and 7.34P(c) to Allow Q Orders to Participate in the Early Trading Session and Late Trading Session SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-14500 81-FR-14500 34-77350 https://www.sec.gov/rules/sro/bx/2016/34-77350.pdf SR-BX-2016-014 2016-03-11 Notice / Immediate Effectiveness to Amend Exchange Rule 7018 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-14495 81-FR-14495 34-77351 https://www.sec.gov/rules/sro/phlx/2016/34-77351.pdf SR-PHLX-2016-33 2016-03-11 Notice / Immediate Effectiveness to Rebates and Fees for Adding and Removing Liquidity in SPY SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-14509 81-FR-14509 34-77352 https://www.sec.gov/rules/sro/nysearca/2016/34-77352.pdf SR-NYSEARCA-2015-68 2016-03-11 Notice / of Withdrawal Relating to Implementation of a Fee on Securities Lending and Repurchase Transactions with Respect to Shares of the CurrencyShares® Euro Trust and the CurrencyShares® Japanese Yen Trust SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-14513 81-FR-14513 34-77353 https://www.sec.gov/rules/sro/nasdaq/2016/34-77353.pdf SR-NASDAQ-2016-034 2016-03-11 Notice / Regarding Monthly Distributions, Excess Returns, and Share Index Factors of Certain AccuShares® Trust I Funds SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-14489 81-FR-14489 34-77354 https://www.sec.gov/rules/sro/nasdaq/2016/34-77354.pdf SR-NASDAQ-2016-032 2016-03-11 Notice / Immediate Effectiveness to Amend the Market Quality Incentive Programs under Rule 7014 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-14502 81-FR-14502 34-77355 https://www.sec.gov/rules/sro/nasdaq/2016/34-77355.pdf SR-NASDAQ-2016-031 2016-03-11 Notice / Immediate Effectiveness to Amend Fees under Rule 7018(a) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-14497 81-FR-14497 34-77356 https://www.sec.gov/rules/sro/nysemkt/2016/34-77356.pdf SR-NYSEMKT-2016-36 2016-03-14 Notice / Immediate Effectiveness to extend the deadline for implementing Rule 967.1NY(a)(2) and (3) SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-14917 81-FR-14917 34-77357 https://www.sec.gov/rules/sro/nysearca/2016/34-77357.pdf SR-NYSEARCA-2016-41 2016-03-14 Notice / Immediate Effectiveness Extending the Deadline for Implementing Rule 6.61(a)(2) and (3) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-14912 81-FR-14912 34-77358 https://www.sec.gov/rules/sro/occ/2016/34-77358.pdf SR-OCC-2016-004 2016-03-14 Notice / Related to the Adoption of an Options Exchange Risk Control Standards Policy SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-14921 81-FR-14921 34-77359 https://www.sec.gov/rules/sro/nysearca/2016/34-77359.pdf SR-NYSEARCA-2016-39 2016-03-14 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-14916 81-FR-14916 34-77360 https://www.sec.gov/rules/other/2016/34-77360.pdf NO FILE NUMBER 2016-03-14 Order Approving Application for Relief from a Statutory Disqualification Order Rattner, Steven N/A 34-77361 https://www.sec.gov/rules/sro/icc/2016/34-77361.pdf SR-ICC-2016-002 2016-03-14 Order / to Provide for the Clearance of Certain Asia-Pacific Credit Default Swap Contracts SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-14914 81-FR-14914 34-77362 https://www.sec.gov/litigation/admin/2016/34-77362.pdf IA-4351 3-17169 2016-03-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled FSC Securities Corporation SagePoint Financial, Inc. Royal Alliance Associates, Inc. N/A 34-77363 https://www.sec.gov/rules/sro/nyse/2016/34-77363.pdf SR-NYSE-2016-20 2016-03-14 Notice / Immediate Effectiveness to Amend its Price List Effective March 1, 2016 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-14902 81-FR-14902 34-77364 https://www.sec.gov/rules/sro/msrb/2016/34-77364.pdf SR-MSRB-2016-04 2016-03-14 Notice / Consisting of Proposed Amendments to Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-14906 81-FR-14906 34-77365 https://www.sec.gov/rules/sro/cboe/2016/34-77365.pdf SR-CBOE-2016-018 2016-03-14 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-14910 81-FR-14910 34-77366 https://www.sec.gov/rules/sro/msrb/2016/34-77366.pdf SR-MSRB-2016-05 2016-03-14 Notice / Immediate Effectiveness to Revise an Effective Date of Several Previously-Approved Amendments to Rule G-14, on Transaction Reporting SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-14919 81-FR-14919 34-77367 https://www.sec.gov/rules/other/2016/33-10054.pdf 33-10054 NO FILE NUMBER 2016-03-14 Order Order Order Approving PCAOB Budget and Annual Accounting Support Fee for Calendar Year 2016 http://www.federalregister.gov/citation/81-FR-14905 81-FR-14905 34-77368 https://www.sec.gov/rules/other/2016/34-77368.pdf 2016-5 2016-03-14 Order Determining Whistleblower Award Claim Order Redacted N/A 34-77369 https://www.sec.gov/litigation/admin/2016/34-77369.pdf IA-4352 IC-32027 3-17170 2016-03-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Malone, David K. Detter, Mark R. Central States Capital Markets, LLC Stepp, John D. N/A 34-77370 https://www.sec.gov/rules/sro/nysemkt/2016/34-77370.pdf SR-NYSEMKT-2016-35 2016-03-15 Notice / Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-15136 81-FR-15136 34-77371 https://www.sec.gov/rules/sro/nysemkt/2016/34-77371.pdf SR-NYSEMKT-2016-33 2016-03-15 Notice / Immediate Effectiveness to Amend its Price List Effective March 1, 2016 SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-15139 81-FR-15139 34-77372 https://www.sec.gov/litigation/admin/2016/33-10055.pdf 33-10055 AAER-3758 3-17171 2016-03-15 Order Instituting Cease-and-Desist proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled ModusLink Global Solutions, Inc. Lawler, Joseph C. Venable, Catherine L. Crane, Steven G. N/A 34-77373 https://www.sec.gov/litigation/admin/2016/34-77373.pdf IC-32028 3-17172 2016-03-15 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Clare, Barry B. N/A 34-77374 https://www.sec.gov/rules/sro/nysearca/2016/34-77374.pdf SR-NYSEARCA-2016-42 2016-03-15 Notice / Immediate Effectiveness Amending NYSE Arca Equities Rule 7.33 to Conform the Exchange's Rules to Industry-Wide Standards for Recording the Capacity in which an ETP Holder Executes a Transaction SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-15141 81-FR-15141 34-77375 https://www.sec.gov/litigation/opinions/2016/34-77375.pdf 3-16768 2016-03-15 Opinion Opinion McCune, Michael Earl N/A 34-77376 https://www.sec.gov/litigation/admin/2016/34-77376.pdf 3-16990 2016-03-16 Notice That Initial Decision Has Become Final Initial Decision Geocan Energy Inc. (a/k/a Arsenal Energy Inc.) Cadan Resources Corp. Doreal Energy Corp. Consolidated Global Minerals Ltd. N/A 34-77377 https://www.sec.gov/litigation/admin/2016/34-77377.pdf 3-16525 2016-03-16 Notice that Initial Decision has Become Final Notice RKO Resources, Inc. (a/k/a Shamika 2 Gold, Inc.) N/A 34-77378 https://www.sec.gov/rules/sro/nasdaq/2016/34-77378.pdf SR-NASDAQ-2016-037 2016-03-16 Notice / Immediate Effectiveness to Amend Transaction Fees at Rule 7018(a) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-15359 81-FR-15359 34-77379 https://www.sec.gov/rules/sro/bats/2016/34-77379.pdf SR-BATS-2016-16 2016-03-16 Notice / to List and Trade Shares of the Pointbreak Diversified Commodity Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-15387 81-FR-15387 34-77380 https://www.sec.gov/rules/exorders/2016/34-77380.pdf TP 16-5 2016-03-16 Order Order Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M to First Trust Dorsey Wright Dynamic Focus 5 ETF Pursuant to Exchange Act Rule 10b-17(b)92) and Rules 101(d) and 102(e) of Regulation M http://www.federalregister.gov/citation/81-FR-15382 81-FR-15382 34-77381 https://www.sec.gov/rules/sro/nasdaq/2016/34-77381.pdf SR-NASDAQ-2016-033 2016-03-16 Notice / to Offer Remote ITCH to Trade Options Wave Ports SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-15394 81-FR-15394 34-77382 https://www.sec.gov/rules/other/2016/34-77382.pdf NO FILE NUMBER 2016-03-16 Order Denying Petition for Review Order Brown v. Gardiner, Koch, Weisberg & Wrona N/A 34-77383 https://www.sec.gov/litigation/admin/2016/34-77383.pdf 3-17173 2016-03-16 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Wolff, Eric J. N/A 34-77384 https://www.sec.gov/rules/sro/nyse/2016/34-77384.pdf SR-NYSE-2016-14 2016-03-17 Notice / Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-15371 81-FR-15371 34-77385 https://www.sec.gov/rules/sro/nysearca/2016/34-77385.pdf SR-NYSEARCA-2016-25 2016-03-17 Notice / Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-15378 81-FR-15378 34-77386 https://www.sec.gov/rules/sro/nysemkt/2016/34-77386.pdf SR-NYSEMKT-2016-20 2016-03-17 Notice / Amending and Restating the Fifth Amended and Restated Bylaws of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-15366 81-FR-15366 34-77387 https://www.sec.gov/litigation/suspensions/2016/34-77387.pdf 500-1 2016-03-17 Trading Suspension Trading Suspension Broke Out, Inc. http://www.federalregister.gov/citation/81-FR-15143 81-FR-15143 34-77388 https://www.sec.gov/rules/sro/nyse/2016/34-77388.pdf SR-NYSE-2016-21 2016-03-17 Notice / Immediate Effectiveness Adopting a Decommission Extension Fee for receipt of the NYSE BBO and NYSE Trades Market Data Products SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-15363 81-FR-15363 34-77389 https://www.sec.gov/rules/sro/nysemkt/2016/34-77389.pdf SR-NYSEMKT-2016-37 2016-03-17 Notice / Immediate Effectiveness Adopting a Decommission Extension Fee for receipt of the NYSE MKT BBO and NYSE MKT Trades Market Data Products SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-15375 81-FR-15375 34-77390 https://www.sec.gov/rules/sro/msrb/2016/34-77390.pdf SR-MSRB-2016-01 2016-03-17 Order / Consisting of Proposed Amendments to Rule A-3, on Membership on the Board SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-15582 81-FR-15582 34-77391 https://www.sec.gov/rules/sro/finra/2016/34-77391.pdf SR-FINRA-2015-054 2016-03-17 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change to Adopt FINRA Capital Acquisition Broker Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-15588 81-FR-15588 34-77392 https://www.sec.gov/rules/sro/nasdaq/2016/34-77392.pdf SR-NASDAQ-2016-036 2016-03-17 Notice / Immediate Effectiveness to Include U.S. Non-Display Policies in the Nasdaq Rule Book SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-15600 81-FR-15600 34-77393 https://www.sec.gov/litigation/admin/2016/34-77393.pdf IA-4353 3-17174 2016-03-17 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Dowd, Kevin L. N/A 34-77394 https://www.sec.gov/rules/sro/batsedgx/2016/34-77394.pdf SR-BATSEDGX-2016-02 2016-03-17 Notice / Immediate Effectiveness Related to Fees for Use of the Exchange SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-15596 81-FR-15596 34-77395 https://www.sec.gov/rules/sro/nms/2016/34-77395.pdf 4-533 2016-03-17 Order / Approving Amendment No. 3 for the Selection and Reservation of Securities Symbols SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/81-FR-15587 81-FR-15587 34-77396 https://www.sec.gov/litigation/opinions/2016/34-77396.pdf 3-15869 2016-03-17 Opinion Opinion Dratel, William M. Dratel Group, Inc. (The) N/A 34-77397 https://www.sec.gov/litigation/admin/2016/34-77397.pdf 3-17175 2016-03-17 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated MetaMorphix Inc. CONCERTSBYU.COM, Inc. Freedom Bancshares, Inc. N/A 34-77398 https://www.sec.gov/litigation/opinions/2016/34-77398.pdf 3-16658 2016-03-17 Opinion Opinion DePietro, Michael Albert N/A 34-77399 https://www.sec.gov/litigation/opinions/2016/34-77399.pdf 3-16678 2016-03-17 Order Dismissing Petition for Review Order Gundaker/Jordan American Holdings (a/k/a Jordan American Holdigs, Inc.) N/A 34-77400 https://www.sec.gov/rules/exorders/2016/34-77400.pdf NO FILE NUMBER 2016-03-18 Order Order Order Granting a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 http://www.federalregister.gov/citation/81-FR-15599 81-FR-15599 34-77401 https://www.sec.gov/rules/sro/nysemkt/2016/34-77401.pdf SR-NYSEMKT-2016-12 2016-03-17 Order / Amending the NYSE MKT Company Guide to Create a New Section 146 Under Which a Certain Category of Newly Listed Issuers Would Be Entitled to Receive Complimentary Products and Services from the Exchange SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-15585 81-FR-15585 34-77402 https://www.sec.gov/rules/sro/phlx/2016/34-77402.pdf SR-PHLX-2016-21 2016-03-18 Notice / Immediate Effectiveness to Amend Rebates and Fees for Adding and Removing Liquidity in SPY SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-15761 81-FR-15761 34-77403 https://www.sec.gov/rules/sro/box/2016/34-77403.pdf SR-BOX-2016-12 2016-03-18 Notice / Immediate Effectiveness To Comply with the Requirements of the Amended and Restated Limited Liability Company Agreement of BOX Holdings, and to Permit Certain Ownership Changes Pursuant Thereto SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-15772 81-FR-15772 34-77404 https://www.sec.gov/rules/sro/finra/2016/34-77404.pdf SR-FINRA-2016-011 2016-03-18 Notice / Immediate Effectiveness to Modify the Dissemination Protocols for TRACE-Eligible Securities SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-15770 81-FR-15770 34-77405 https://www.sec.gov/rules/sro/nysearca/2016/34-77405.pdf SR-NYSEARCA-2016-08 2016-03-18 Notice / Designation of Longer Prior for Commission Action to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and To Permit Listing and Trading of Share of Fifteen Issues of the Precidian ETFs Trust SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-15774 81-FR-15774 34-77406 https://www.sec.gov/rules/other/2016/34-77406.pdf 10-222 2016-03-18 Notice/Amendment Nos. 2, 3, and 4/Order Instituting Proceedings/ Notice of Designation of Longer Period for Commission Action on Proceedings to Determine Whether to Grant or Deny, an Application for Registration as a National Securities Exchange Under Section 6 of the Securities Exchange Act of 1934, as Modified by Amendment Nos. 1, 2, 3, and 4 Thereto Notice Investors' Exchange LLC http://www.federalregister.gov/citation/81-FR-15765 81-FR-15765 34-77407 https://www.sec.gov/rules/interp/2016/34-77407.pdf S7-03-16 2016-03-18 Proposed Interpretation Interpr.-Solic. of Commts Notice of Proposed Commission Interpretation Regarding Automated Quotations Under Regulation NMS http://www.federalregister.gov/citation/81-FR-15660 81-FR-15660 34-77408 https://www.sec.gov/rules/other/2016/33-10056.pdf 33-10056 IA-4354 IC-32031 S7-04-16 2016-03-18 Semiannual Regulatory Agenda Notice Semiannual Regulatory Agenda http://www.federalregister.gov/citation/81-FR-37470 81-FR-37470 34-77409 https://www.sec.gov/rules/sro/isemercury/2016/34-77409.pdf SR-ISEMERCURY-2016-05 2016-03-21 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-16240 81-FR-16240 34-77410 https://www.sec.gov/rules/sro/ise/2016/34-77410.pdf SR-ISE-2016-07 2016-03-21 Notice / Immediate Effectiveness to Eliminate the Strict Concentration Limits on Primary Market Makers SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-16248 81-FR-16248 34-77411 https://www.sec.gov/litigation/opinions/2016/34-77411.pdf IA-4356 3-16374 2016-03-21 Opinion Opinion Wulf, David R. N/A 34-77412 https://www.sec.gov/rules/sro/isemercury/2016/34-77412.pdf SR-ISEMERCURY-2016-06 2016-03-21 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-16238 81-FR-16238 34-77413 https://www.sec.gov/rules/sro/icc/2016/34-77413.pdf SR-ICC-2016-003 2016-03-21 Notice / to Revise the ICC Operational Risk Management Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-16245 81-FR-16245 34-77414 https://www.sec.gov/litigation/opinions/2016/34-77414.pdf IC-32034 3-16008 2016-03-21 Order Dismissing Proceeding Order Crucible Capital Group, Inc. N/A 34-77415 https://www.sec.gov/rules/sro/occ/2016/34-77415.pdf SR-OCC-2016-006 2016-03-22 Notice / Immediate Effectiveness Related to the Voluntary Termination by Offset and Re-matching of Matched-Book Positions in the Stock Loan/Hedge Program SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-17231 81-FR-17231 34-77416 https://www.sec.gov/rules/sro/batsedgx/2016/34-77416.pdf SR-BATSEDGX-2016-01 2016-03-22 Notice / Immediate Effectiveness to Adopt Exchange Rule 11.27 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGX Exchange, Inc. f/k/a EDGX Exchange, Inc http://www.federalregister.gov/citation/81-FR-17225 81-FR-17225 34-77417 https://www.sec.gov/rules/sro/batsedga/2016/34-77417.pdf SR-BATSEDGA-2016-01 2016-03-22 Notice / Immediate Effectiveness SRO Filing Bats EDGA Exchange, Inc. f/k/a EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-17219 81-FR-17219 34-77418 https://www.sec.gov/rules/sro/batsbyx/2016/34-77418.pdf SR-BATSBYX-2016-01 2016-03-22 Notice / Immediate Effectiveness to Adopt Exchange Rule 11.27 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. f/k/a BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/81-FR-17213 81-FR-17213 34-77419 https://www.sec.gov/rules/sro/nasdaq/2016/34-77419.pdf SR-NASDAQ-2016-041 2016-03-22 Notice / Immediate Effectiveness Relating to the Listing and Trading of the Shares of the Eaton Vance Global Income Builder NextShares of the Eaton Vance ETMF Trust SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-17211 81-FR-17211 34-77420 https://www.sec.gov/litigation/opinions/2016/33-10057.pdf 33-10057 IC-32037 3-16318 2016-03-22 Order Granting Petition for Review and Scheduling Briefs Order Clug, Alexandre S. N/A 34-77421 https://www.sec.gov/litigation/admin/2016/34-77421.pdf 3-17019 2016-03-23 Notice That Initial Decision Has Become Final Notice USChina Venture II, Inc. USChina Venture I, Inc. N/A 34-77422 https://www.sec.gov/litigation/admin/2016/34-77422.pdf 3-17028 2016-03-23 Notice That Initial Decision Has Become Final Notice Zhong Wen International Holding Co., Ltd. N/A 34-77423 https://www.sec.gov/litigation/admin/2016/34-77423.pdf 3-16980 2016-03-23 Notice that Initial Decision has Become Final Notice Fox Energy Corp. N/A 34-77424 https://www.sec.gov/rules/sro/nysemkt/2016/34-77424.pdf SR-NYSEMKT-2016-39 2016-03-23 Notice / Immediate Effectiveness Extending the Pilot Period for the Exchange's Retail Liquidity Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-17522 81-FR-17522 34-77425 https://www.sec.gov/rules/sro/nysearca/2016/34-77425.pdf SR-NYSEARCA-2016-47 2016-03-23 Notice / Immediate Effectiveness to Extend the Pilot Period for the Exchange's Retail Liquidity Program, Which is Currently Scheduled to Expire on March 31, 2016, until August 31, 2016 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-17523 81-FR-17523 34-77426 https://www.sec.gov/rules/sro/nyse/2016/34-77426.pdf SR-NYSE-2016-25 2016-03-23 Notice / Immediate Effectiveness Extending the Pilot Period for the Exchange's Retail Liquidity Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-17533 81-FR-17533 34-77427 https://www.sec.gov/rules/sro/iceeu/2016/34-77427.pdf SR-ICEEU-2016-003 2016-03-23 Notice / Immediate Effectiveness Relating to Additions to Permitted Cover SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-17529 81-FR-17529 34-77428 https://www.sec.gov/rules/sro/nasdaq/2016/34-77428.pdf SR-NASDAQ-2016-038 2016-03-23 Notice / Immediate Effectiveness to Amend Chapter XI (Doing Business with the Public), Section 8 (Supervision of Accounts) of the Exchange's Rulebook SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-17525 81-FR-17525 34-77429 https://www.sec.gov/rules/sro/bx/2016/34-77429.pdf SR-BX-2016-017 2016-03-23 Notice / Immediate Effectiveness to Amend Chapter XI (Doing Business with the Public), Section 8 (Supervision of Accounts) of the Exchange's Rulebook SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-17511 81-FR-17511 34-77430 https://www.sec.gov/rules/sro/finra/2016/34-77430.pdf SR-FINRA-2015-057 2016-03-23 Order / to Adopt FINRA Rule 2273 (Educational Communication Related to Recruitment Practices and Account Transfers) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-17513 81-FR-17513 34-77431 https://www.sec.gov/litigation/admin/2016/34-77431.pdf AAER-3759 3-17177 2016-03-23 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Novartis AG N/A 34-77432 https://www.sec.gov/rules/other/2016/33-10058.pdf 33-10058 265-28 2016-03-23 Notice Notice Dodd Frank Investor Advisory Committe Notice of Meeting http://www.federalregister.gov/citation/81-FR-17513 81-FR-17513 34-77433 https://www.sec.gov/rules/sro/nysemkt/2016/34-77433.pdf SR-NYSEMKT-2016-38 2016-03-23 Notice / Immediate Effectiveness Amending Rule 13 - Equities to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-17520 81-FR-17520 34-77434 https://www.sec.gov/rules/sro/nyse/2016/34-77434.pdf SR-NYSE-2016-23 2016-03-23 Notice / Immediate Effectiveness Amending Rule 13 to Expand the Availability of Self-Trade Prevention Modifiers to Non-Algorithmically Entered Floor Broker Interest SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-17532 81-FR-17532 34-77435 https://www.sec.gov/rules/sro/nysemkt/2016/34-77435.pdf SR-NYSEMKT-2016-41 2016-03-23 Notice / Immediate Effectiveness to Rule 964.2NY Regarding the Participation Entitlement Formula for Specialists and e-Specialists SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-17527 81-FR-17527 34-77436 https://www.sec.gov/litigation/admin/2016/33-10059.pdf 33-10059 3-17178 2016-03-24 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Canaccord Genuity Inc. N/A 34-77437 https://www.sec.gov/rules/exorders/2016/34-77437.pdf SR-NYSEARCA-2013-107 2016-03-24 Order / Extension to Limited Exemption From Rule 612(c) of Regulations NMS in Connection with the Exchange's Retail Liquidity Program Until August 31, 2016 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-17752 81-FR-17752 34-77438 https://www.sec.gov/rules/exorders/2016/34-77438.pdf SR-NYSEAMEX-2011-84 SR-NYSE-2011-55 2016-03-24 Order / Extension to Limited Exemptions from Rule 612(c) of regulation NMS in Connection With the Exchanges' Retail Liquidity Programs Until August 31, 2016 SRO Filing NYSE MKT LLC New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-17752 81-FR-17752 34-77439 https://www.sec.gov/litigation/admin/2016/34-77439.pdf 3-17179 2016-03-24 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Philip, Akel N/A 34-77440 https://www.sec.gov/rules/sro/nysearca/2016/34-77440.pdf SR-NYSEARCA-2016-50 2016-03-24 Notice / Immediate Effectiveness to Amend Rule 6.2 to Create a Reserve Market Maker Options Trading Permit SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-17746 81-FR-17746 34-77441 https://www.sec.gov/rules/sro/nysearca/2016/34-77441.pdf SR-NYSEARCA-2016-44 2016-03-24 Notice / Amending NYSE Arca Equities Rule 7.31P(h) to Add a New Discretionary Pegged Order SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-17749 81-FR-17749 34-77442 https://www.sec.gov/litigation/opinions/2016/33-10060.pdf 33-10060 IA-4358 IC-32050 3-15003 2016-03-24 Opinion Opinion Young, Bernerd E. N/A 34-77443 https://www.sec.gov/rules/sro/phlx/2016/34-77443.pdf SR-PHLX-2016-37 2016-03-25 Notice / Immediate Effectiveness to Delete Rule 756 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-18664 81-FR-18664 34-77444 https://www.sec.gov/rules/sro/phlx/2016/34-77444.pdf SR-PHLX-2016-34 2016-03-25 Notice / Immediate Effectiveness to Amend the Exchange's Continuing Education Fee Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-18671 81-FR-18671 34-77445 https://www.sec.gov/rules/sro/nasdaq/2016/34-77445.pdf SR-NASDAQ-2016-008 2016-03-25 Order / as Modified by Amendment No. 1, to Amend Rule 4120 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-18658 81-FR-18658 34-77446 https://www.sec.gov/rules/sro/icc/2016/34-77446.pdf SR-ICC-2016-004 2016-03-25 Notice / Immediate Effectiveness to Extend Single Name Backloading Incentive Program SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-18662 81-FR-18662 34-77447 https://www.sec.gov/litigation/admin/2016/34-77447.pdf AAER-3760 3-17180 2016-03-25 Order Instituting Public Administrative and Cease-and-Desist Proceedings AP Litigated Berman & Company, P.A. Berman, Elliot R., CPA N/A 34-77448 https://www.sec.gov/rules/sro/iceeu/2016/34-77448.pdf SR-ICEEU-2016-005 2016-03-25 Notice / Immediate Effectiveness Relating to Equity Futures and Options SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-18660 81-FR-18660 34-77449 https://www.sec.gov/rules/sro/phlx/2016/34-77449.pdf SR-PHLX-2016-10 2016-03-25 Notice / Amendment No. 1 / Order Accelerating Relating to the Professional Customer Definition SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-18665 81-FR-18665 34-77450 https://www.sec.gov/rules/sro/cboe/2016/34-77450.pdf SR-CBOE-2016-005 2016-03-25 Notice / Amendment No. 1 / Order Accelerating to Amend Interpretation and Policy .01 to Rule 1.1(ggg) Relating to the Professional Customer Definition SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-18668 81-FR-18668 34-77451 https://www.sec.gov/rules/sro/bats/2016/34-77451.pdf SR-BATS-2016-04 2016-03-25 Notice / Designation of a Longer Period for Commission Action, as Modified by Amendment No. 2, to List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-18660 81-FR-18660 34-77452 https://www.sec.gov/litigation/opinions/2016/34-77452.pdf 3-17109 2016-03-25 Order Dismissing Untimely Application for Review Order Ballard, John Vincent N/A 34-77453 https://www.sec.gov/litigation/admin/2016/34-77453.pdf 3-17181 2016-03-25 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Han, Yue N/A 34-77454 https://www.sec.gov/rules/sro/nasdaq/2016/34-77454.pdf SR-NASDAQ-2016-039 2016-03-28 Notice / Immediate Effectiveness to Modify the Maximum Number of Times an Order on Nasdaq may be Updated before the System Cancels the Order SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-18911 81-FR-18911 34-77455 https://www.sec.gov/rules/sro/nysearca/2016/34-77455.pdf SR-NYSEARCA-2016-48 2016-03-28 Notice / Immediate Effectiveness to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-18900 81-FR-18900 34-77456 https://www.sec.gov/rules/sro/nasdaq/2016/34-77456.pdf SR-NASDAQ-2016-043 2016-03-28 Notice / Immediate Effectiveness to Adopt Rule 4770 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-18925 81-FR-18925 34-77457 https://www.sec.gov/rules/sro/bx/2016/34-77457.pdf SR-BX-2016-019 2016-03-28 Notice / Immediate Effectiveness to Adopt Rule 4770 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-18913 81-FR-18913 34-77458 https://www.sec.gov/rules/sro/phlx/2016/34-77458.pdf SR-PHLX-2016-39 2016-03-28 Notice / Immediate Effectiveness to Adopt Rule 3317 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-18919 81-FR-18919 34-77459 https://www.sec.gov/litigation/admin/2016/34-77459.pdf 3-17182 2016-03-28 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Yoo, Linda N/A 34-77460 https://www.sec.gov/rules/sro/nasdaq/2016/34-77460.pdf SR-NASDAQ-2016-040 2016-03-28 Notice / Immediate Effectiveness to Delete From the Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-18902 81-FR-18902 34-77461 https://www.sec.gov/rules/sro/bx/2016/34-77461.pdf SR-BX-2016-018 2016-03-28 Notice / Immediate Effectiveness to Delete From the Exchange's Rulebook Section 10, Limitations on Dealings, of Chapter VII, Market Participants SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-18907 81-FR-18907 34-77462 https://www.sec.gov/litigation/admin/2016/34-77462.pdf 3-17183 2016-03-28 Order of Suspension Order Maxwell, William, Esq. N/A 34-77463 https://www.sec.gov/rules/sro/nysearca/2016/34-77463.pdf SR-NYSEARCA-2015-107 2016-03-29 Order / to List and Trade Shares of the REX Gold Hedged S&P 500 ETF and the REX Gold Hedged FTSE Emerging Markets ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-19255 81-FR-19255 34-77464 https://www.sec.gov/rules/sro/bats/2016/34-77464.pdf SR-BYX-2016-02 SR-EDGA-2016-01 SR-EDGX-2016-04 SR-BATS-2016-10 2016-03-29 Order / to Amend and Restate the Certificate of Incorporation and Bylaws of the Exchanges' Ultimate Parent Company, BATS Global Markets, Inc. SRO Filing BATS Y-Exchange, Inc EDGA Exchange, Inc. EDGX Exchange, Inc BATS Exchange, Inc http://www.federalregister.gov/citation/81-FR-19252 81-FR-19252 34-77465 https://www.sec.gov/rules/sro/finra/2016/34-77465.pdf SR-FINRA-2015-056 2016-03-29 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish "Pay-To-Play" and Related Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-19260 81-FR-19260 34-77466 https://www.sec.gov/litigation/admin/2016/34-77466.pdf IA-4359 IC-32059 3-17184 2016-03-29 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Gibson, Christopher M. N/A 34-77467 https://www.sec.gov/litigation/admin/2016/34-77467.pdf 3-17185 2016-03-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Rings to Dine For, Inc. N/A 34-77468 https://www.sec.gov/rules/sro/nyse/2016/34-77468.pdf SR-NYSE-2016-27 2016-03-29 Notice / Immediate Effectiveness Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-19269 81-FR-19269 34-77469 https://www.sec.gov/rules/sro/chx/2016/34-77469.pdf SR-CHX-2016-03 2016-03-29 Notice / Immediate Effectiveness to Adopt Article 20, Rule 13 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-19275 81-FR-19275 34-77470 https://www.sec.gov/litigation/opinions/2016/34-77470.pdf 3-16756 2016-03-29 Opinion Opinion Grivas, Stephen N/A 34-77471 https://www.sec.gov/litigation/admin/2016/34-77471.pdf 3-17032 2016-03-30 Notice That Initial Decision Has Become Final Notice Middlesex, Inc. Cotton Bay Holdings, Inc. Buncombe, Inc. N/A 34-77472 https://www.sec.gov/litigation/admin/2016/34-77472.pdf 3-16136 2016-03-30 Notice That Initial Decision Has Become Final Notice Sino Oil & Gas Pipe Holdings Ltd. N/A 34-77473 https://www.sec.gov/litigation/admin/2016/34-77473.pdf AAER-3761 IA-4360 IC-32060 3-17186 2016-03-30 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Sen, Helena C., CPA Burrill, G. Steven, CPA Burill Capital Management, LLC Hebert, Victor A., Esq. N/A 34-77474 https://www.sec.gov/rules/exorders/2016/34-77474.pdf TP 16-7 2016-03-30 Order / Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M Pursuant to Exchange Act Rule 10b-17(b)92) and Rules 101(d) and 102(e) of Regulation M Order JPMorgan Diversified Return International Currency Hedged ETF J.P. Morgan Exchange-Traded Fund Trust JPMorgan Diversified Return Europe Currency Hedged ETF http://www.federalregister.gov/citation/81-FR-19695 81-FR-19695 34-77475 https://www.sec.gov/rules/sro/phlx/2016/34-77475.pdf SR-PHLX-2016-36 2016-03-30 Notice / Immediate Effectiveness Relating to Partnerships SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-19664 81-FR-19664 34-77476 https://www.sec.gov/rules/sro/bats/2016/34-77476.pdf SR-BATS-2016-17 2016-03-30 Order / to Amend BATS' Rules Regarding the Auction Process for Securities Subject to an Initial Public Offering SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-19661 81-FR-19661 34-77477 https://www.sec.gov/rules/sro/nyse/2016/34-77477.pdf SR-NYSE-2016-17 2016-03-30 Notice / to Amend Rule 86 to Add Additional Order Types to the NYSE BondsSM Platform, Codify Functionality of Order Types Currently Available on NYSE Bonds, and Amend the Definition of Indicative Match Price in Current Rule 86(B)(2)(G) to Provide Greater SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-19671 81-FR-19671 34-77478 https://www.sec.gov/rules/sro/nysemkt/2016/34-77478.pdf SR-NYSEMKT-2016-40 2016-03-30 Notice / Immediate Effectiveness Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-19665 81-FR-19665 34-77479 https://www.sec.gov/rules/sro/cboe/2016/34-77479.pdf SR-CBOE-2016-026 2016-03-30 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-19653 81-FR-19653 34-77480 https://www.sec.gov/rules/sro/bats/2016/34-77480.pdf SR-BATS-2016-03 2016-03-30 Order / to List and Trade Shares of the Elkhorn Dow Jones RAFI Commodity ETF of Elkhorn ETF Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-19690 81-FR-19690 34-77481 https://www.sec.gov/rules/sro/nasdaq/2016/34-77481.pdf SR-NASDAQ-2016-013 2016-03-30 Notice / to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-19678 81-FR-19678 34-77482 https://www.sec.gov/litigation/admin/2016/34-77482.pdf 3-17187 2016-03-31 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Lenco Mobile, Inc. N/A 34-77483 https://www.sec.gov/rules/sro/nsx/2016/34-77483.pdf SR-NSX-2016-01 2016-03-31 Notice / Immediate Effectiveness to Adopt Exchange Rule 11.26 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-20040 81-FR-20040 34-77484 https://www.sec.gov/rules/sro/nysearca/2016/34-77484.pdf SR-NYSEARCA-2016-52 2016-03-31 Notice / Immediate Effectiveness Adopting Requirements for the Collection and Transmission of Data Pursuant to Appendices B and C of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-20024 81-FR-20024 34-77485 https://www.sec.gov/litigation/admin/2016/34-77485.pdf 3-17027 2016-03-31 Order Making Findings and Imposing Remedial Sanctions AP Settled Zinn, Kevin I. N/A 34-77486 https://www.sec.gov/litigation/admin/2016/34-77486.pdf 3-17188 2016-03-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Neilsen, James E. N/A 34-77487 https://www.sec.gov/rules/sro/bats/2016/34-77487.pdf SR-BATS-2015-105 2016-03-31 Order / to List and Trade Shares of the Elkhorn S&P GSCI Dynamic Roll Commodity ETF of Elkhorn ETF Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-20016 81-FR-20016 34-77488 https://www.sec.gov/rules/sro/isegemini/2016/34-77488.pdf SR-ISEGEMINI-2016-03 2016-03-31 Notice / Related to Market Wide Risk Protection SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-20021 81-FR-20021 34-77489 https://www.sec.gov/rules/sro/ise/2016/34-77489.pdf SR-ISE-2016-08 2016-03-31 Notice / Related to Market Wide Risk Protection SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-20004 81-FR-20004 34-77490 https://www.sec.gov/litigation/admin/2016/33-10061.pdf 33-10061 3-17190 2016-03-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Navistar International Corporation N/A 34-77491 https://www.sec.gov/rules/sro/nyse/2016/34-77491.pdf SR-NYSE-2016-24 2016-03-31 Notice / Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures to Promote Greater Efficiency and Transparency at the Open of Trading on the Exchange SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-20030 81-FR-20030 34-77492 https://www.sec.gov/litigation/opinions/2016/34-77492.pdf 3-16360 2016-03-31 Opinion Opinion Scholander, William Harris, Talman N/A 34-77493 2016-03-31 INTENTIONALLY OMITTED 34-77494 2016-03-31 INTENTIONALLY OMITTED 34-77495 https://www.sec.gov/rules/sro/nasdaq/2016/34-77495.pdf SR-NASDAQ-2016-046 2016-04-01 Notice / Immediate Effectiveness to Amend Fees under Rules 7015(b) and (g) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-20426 81-FR-20426 34-77496 https://www.sec.gov/litigation/admin/2016/34-77496.pdf 3-17191 2016-03-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Newbridge Mortgage Corp. Newcourt Holdings, Inc. GLX.com, Inc. (f/k/a American Environmental, Inc., a/k/a GLX, Inc.) Mortgage Shakers, Inc. Clubhouse Videos, Inc. N/A 34-77497 https://www.sec.gov/litigation/admin/2016/34-77497.pdf 3-12114 2016-04-01 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice American Express Financial Corporation (now known as Ameriprise Financial, Inc.) N/A 34-77498 https://www.sec.gov/litigation/admin/2016/34-77498.pdf 3-12114 2016-04-01 Order Appointing Fund Administrator and Setting Administrator Bond Amount Order American Express Financial Corporation (now known as Ameriprise Financial, Inc.) N/A 34-77499 https://www.sec.gov/rules/sro/bats/2016/34-77499.pdf SR-BATS-2016-04 2016-04-01 Notice / Amendment No. 2 / Order Accelerating to List and Trade Shares of the SPDR DoubleLine Short Duration Total Return Tactical ETF of the SSgA Active Trust SRO Filing BATS Exchange, Inc http://www.federalregister.gov/citation/81-FR-20428 81-FR-20428 34-77500 https://www.sec.gov/litigation/opinions/2016/34-77500.pdf 3-17128 2016-04-01 Order Denying Stay and Scheduling Briefs Order Parris, Christopher A. N/A 34-77501 https://www.sec.gov/litigation/opinions/2016/34-77501.pdf 3-17189 2016-04-01 Order Directing the Filing of Briefs Order Susquehanna Investment Group Ronin Capital, LLC Susquehanna Securities Citadel Securities LLC N/A 34-77502 https://www.sec.gov/litigation/opinions/2016/34-77502.pdf 3-16913 2016-04-01 Opinion Opinion AutoChina International Limited N/A 34-77503 https://www.sec.gov/litigation/opinions/2016/34-77503.pdf 3-16948 2016-04-01 Opinion Opinion Jarkas, Rani T. N/A 34-77504 https://www.sec.gov/litigation/suspensions/2016/34-77504.pdf 500-1 2016-04-04 Trading Suspension Trading Suspension Go EZ Corp http://www.federalregister.gov/citation/81-FR-20046 81-FR-20046 34-77505 https://www.sec.gov/rules/sro/finra/2016/34-77505.pdf SR-FINRA-2016-012 2016-04-04 Notice / Immediate Effectiveness to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares ("NextShares")) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-20714 81-FR-20714 34-77506 https://www.sec.gov/rules/interp/2016/33-10062.pdf 33-10062 S7-05-16 2016-04-04 Joint Proposed Guidance Interpr.-Solic. of Commts Commodity Futures Trading Commission Proposed Guidance http://www.federalregister.gov/citation/81-FR-20583 81-FR-20583 34-77507 https://www.sec.gov/rules/sro/miax/2016/34-77507.pdf SR-MIAX-2016-08 2016-04-04 Notice / to Amend the Exchange's Amended and Restated By-Laws SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-20716 81-FR-20716 34-77508 https://www.sec.gov/rules/sro/batsedgx/2016/34-77508.pdf SR-BATSEDGX-2016-03 2016-04-04 Notice / in Connection with the Operation of the Exchange's Equity Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-20711 81-FR-20711 34-77509 https://www.sec.gov/rules/sro/batsbzx/2016/34-77509.pdf SR-BATSBZX-2016-02 2016-04-04 Notice / Immediate Effectiveness in Connection with the Operation of the Exchange's Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-20709 81-FR-20709 34-77510 https://www.sec.gov/litigation/opinions/2016/34-77510.pdf 3-17128 2016-04-04 Corrected Order Denying Stay and Scheduling Briefs Order Parris, Christopher A. N/A 34-77511 https://www.sec.gov/rules/sro/cboe/2016/34-77511.pdf SR-CBOE-2016-024 2016-04-04 Notice / as Modified by Amendment No. 2, Relating to AIM Retained Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-20697 81-FR-20697 34-77512 https://www.sec.gov/rules/sro/nysearca/2016/34-77512.pdf SR-NYSEARCA-2016-17 2016-04-04 Notice / Designation of a Longer Period for Commission Action to List and Trade Shares of the JPMorgan Diversified Alternative ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-20718 81-FR-20718 34-77513 https://www.sec.gov/litigation/admin/2016/34-77513.pdf 3-17076 2016-04-04 Order Extending Time in Which to File Briefs Order Akindemowo, Kenny N/A 34-77514 https://www.sec.gov/litigation/admin/2016/34-77514.pdf 3-17014 2016-04-05 Notice That Initial Decision Has Become Final Notice Bravo Resource Partners, Ltd. First Potash Corp. Musgrove Minerals Corp. Hip Energy Corporation N/A 34-77515 https://www.sec.gov/litigation/admin/2016/34-77515.pdf 3-17015 2016-04-04 Notice that Initial Decision has Become Final Notice SSI International Ltd. Viper Powersports, Inc. Strike Axe, Inc. Catalyst Resource Group, Inc. BioJect Medical Technologies, Inc. Black Castle Developments Holdings, Inc. (N/K/A Ingxabo Corporation) N/A 34-77516 https://www.sec.gov/rules/sro/nysearca/2016/34-77516.pdf SR-NYSEARCA-2016-15 2016-04-05 Notice / to Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-21430 81-FR-21430 34-77517 https://www.sec.gov/litigation/admin/2016/34-77517.pdf 3-17192 2016-04-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Johnson, Terry W. N/A 34-77518 https://www.sec.gov/rules/sro/nysemkt/2016/34-77518.pdf SR-NYSEMKT-2016-13 2016-04-05 Notice / to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-21415 81-FR-21415 34-77519 https://www.sec.gov/litigation/admin/2016/34-77519.pdf 3-17193 2016-04-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Chadwick, Raymon G., Jr. N/A 34-77520 https://www.sec.gov/rules/sro/nysearca/2016/34-77520.pdf SR-NYSEARCA-2016-51 2016-04-05 Notice / Immediate Effectiveness Amending NYSE Arca Equities Rule 7.16 to Specify that Sell Short Post No Preference Orders and Sell Short PNP Blind Orders Priced At or Below the National Best Bid will be Rejected on Arrival During the Short Sale Period SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-21429 81-FR-21429 34-77521 https://www.sec.gov/rules/sro/nysearca/2016/34-77521.pdf SR-NYSEARCA-2016-53 2016-04-05 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule to Add Fees for Reserve Market Maker Options Trading Permits SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-21433 81-FR-21433 34-77522 https://www.sec.gov/rules/sro/nysearca/2016/34-77522.pdf SR-NYSEARCA-2015-125 2016-04-05 Notice / Order Accelerating to List and Trade Shares of RiverFront Dynamic Unconstrained Income ETF and RiverFront Dynamic Core Income ETF Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-21420 81-FR-21420 34-77523 https://www.sec.gov/rules/sro/finra/2016/34-77523.pdf SR-FINRA-2016-006 2016-04-05 Order / to Amend FINRA Rules 7410 (Definitions) and 7440 (Recording of Order Information) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-21427 81-FR-21427 34-77524 https://www.sec.gov/rules/sro/batsbzx/2016/34-77524.pdf SR-BATSBZX-2016-04 2016-04-05 Notice / Immediate Effectiveness Related to Fees for its Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-21417 81-FR-21417 34-77525 https://www.sec.gov/litigation/admin/2016/34-77525.pdf 3-17194 2016-04-05 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Pappas, Steven N/A 34-77526 https://www.sec.gov/rules/sro/batsedgx/2016/34-77526.pdf SR-BATSEDGX-2016-05 2016-04-05 Notice / Immediate Effectiveness Related to Fees for its Equity Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-21405 81-FR-21405 34-77527 https://www.sec.gov/rules/sro/chx/2016/34-77527.pdf SR-CHX-2016-04 2016-04-05 Notice / Immediate Effectiveness to Amend the Rules of the Exchange Related to Market Makers SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-21408 81-FR-21408 34-77528 https://www.sec.gov/litigation/admin/2016/34-77528.pdf IA-4362 3-17196 2016-04-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Bastron, Alexander R. N/A 34-77529 https://www.sec.gov/rules/other/2016/34-77529.pdf 2016-6 2016-04-05 Order Determining Whistleblower Award Claim Order Redacted N/A 34-77530 https://www.sec.gov/rules/other/2016/34-77530.pdf 2016-7 2016-04-05 Order Determining Whistleblower Award Claim Order Redacted N/A 34-77531 https://www.sec.gov/litigation/admin/2016/34-77531.pdf AAER-3762 3-17197 2016-04-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Sanctions AP Settled Caughran, William H., Esq. N/A 34-77532 https://www.sec.gov/litigation/admin/2016/34-77532.pdf 3-17198 2016-04-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Sanctions AP Settled White, James A. N/A 34-77533 https://www.sec.gov/litigation/admin/2016/34-77533.pdf 3-17025 2016-04-06 Notice That Initial Decision Has Become Final Notice YAYI International, Inc. N/A 34-77534 https://www.sec.gov/litigation/admin/2016/34-77534.pdf 3-16991 2016-04-06 Notice that Initial Decision has Become Final Notice Downer's Gap, Inc. (A/K/A Downers Gap, Inc.) DST Media, Inc. N/A 34-77535 https://www.sec.gov/rules/sro/nysearca/2016/34-77535.pdf SR-NYSEARCA-2016-11 2016-04-06 Notice / Amending Section 4.01(a) of the NYSE Arca's Bylaws and NYSE Arca Rule 3.3 to Establish a Committee for Review as a Sub-Committee of the ROC and Making Conforming Changes to NYSE Arca Rules SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-21615 81-FR-21615 34-77536 https://www.sec.gov/rules/sro/nysemkt/2016/34-77536.pdf SR-NYSEMKT-2016-26 2016-04-06 Notice / Amending the Eighth Amended and Restated Operating Agreement of the Exchange SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-21636 81-FR-21636 34-77537 https://www.sec.gov/rules/sro/edga/2016/34-77537.pdf SR-EDGA-2016-02 2016-04-06 Order / to Adopt an Early Trading Session and Three New Time-in-Force Instructions SRO Filing EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-21620 81-FR-21620 34-77538 https://www.sec.gov/rules/sro/edgx/2016/34-77538.pdf SR-EDGX-2016-06 2016-04-06 Order / to Adopt an Early Trading Session and Three New Time-in-Force Instructions SRO Filing EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-21632 81-FR-21632 34-77539 https://www.sec.gov/rules/sro/nysearca/2016/34-77539.pdf SR-NYSEARCA-2016-49 2016-04-06 Notice / Change to Rule 6.64 with Respect to Opening Trading in an Options Series SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-21639 81-FR-21639 34-77540 https://www.sec.gov/rules/sro/nysemkt/2016/34-77540.pdf SR-NYSEMKT-2016-42 2016-04-06 Notice / to Amend Rule 952NY with Respect to Opening Trading in an Options Series SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-21623 81-FR-21623 34-77541 https://www.sec.gov/litigation/admin/2016/34-77541.pdf 3-17200 2016-04-06 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Lindemann, Levi D. N/A 34-77542 https://www.sec.gov/litigation/admin/2016/34-77542.pdf AAER-3763 3-17201 2016-04-06 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Williford, Gregory Scott, CPA Thakkar CPA, PLLC Thakkar, Poorvesh Thakkar, Mahesh, CPA N/A 34-77543 https://www.sec.gov/rules/other/2016/34-77543.pdf 265-29 2016-04-06 Notice of Meeting Notice Equity Market Structure Advisory Committee http://www.federalregister.gov/citation/81-FR-21428 81-FR-21428 34-77544 https://www.sec.gov/litigation/admin/2016/34-77544.pdf 3-17202 2016-04-06 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Numida, Inc. Expleo Solutions, Inc. N/A 34-77545 https://www.sec.gov/rules/sro/phlx/2016/34-77545.pdf SR-PHLX-2016-44 2016-04-06 Notice / Immediate Effectiveness to Amend Rule 1064 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-21631 81-FR-21631 34-77546 https://www.sec.gov/litigation/admin/2016/34-77546.pdf 3-17203 2016-04-06 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Skypeck, Thomas E. N/A 34-77547 https://www.sec.gov/rules/sro/cboe/2016/34-77547.pdf SR-CBOE-2016-021 2016-04-06 Notice / Immediate Effectiveness to Establish Fees for Options that Overlie a Reduced Value of the FTSE 100 Index and the FTSE China 50 Index SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-21611 81-FR-21611 34-77548 https://www.sec.gov/rules/sro/nasdaq/2016/34-77548.pdf SR-NASDAQ-2015-161 2016-04-06 Order / Approval Relating to the Listing and Trading of the Shares of the First Trust RiverFront Dynamic Europe ETF, First Trust RiverFront Dynamic Asia Pacific ETF, First Trust RiverFront Dynamic Emerging Markets ETF, and First Trust RiverFront Dynamic D SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-21626 81-FR-21626 34-77549 https://www.sec.gov/rules/sro/nysearca/2016/34-77549.pdf SR-NYSEARCA-2016-14 2016-04-07 Notice / Order Accelerating to List and Trade of Shares of the WBI Tactical Rotation Shares under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-21916 81-FR-21916 34-77550 https://www.sec.gov/rules/sro/finra/2016/34-77550.pdf SR-FINRA-2015-029 2016-04-07 Order / to Adopt FINRA Rule 3210 (Accounts at Other Broker-Dealers and Financial Institutions), as Modified by Partial Amendment No. 1 and Partial Amendment No. 2, in the Consolidated FINRA Rulebook SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-21924 81-FR-21924 34-77551 https://www.sec.gov/rules/sro/finra/2016/34-77551.pdf SR-FINRA-2016-007 2016-04-07 Order / to Require Registration as Securities Traders of Associated Persons Primarily Responsible for the Design, Development, Significant Modification of Algorithmic Trading Strategies or Responsible for the Day-to-Day Supervision of Such Activities SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-21914 81-FR-21914 34-77552 https://www.sec.gov/rules/sro/nasdaq/2016/34-77552.pdf SR-NASDAQ-2016-053 2016-04-07 Notice / Immediate Effectiveness to Amend Rules 7015(g)(1) and 7034 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-21921 81-FR-21921 34-77553 https://www.sec.gov/rules/sro/cboe/2016/34-77553.pdf SR-CBOE-2016-009 2016-04-07 Order / Relating to LMMs and DPMs SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-21931 81-FR-21931 34-77554 https://www.sec.gov/rules/sro/cboe/2016/34-77554.pdf SR-CBOE-2016-023 2016-04-07 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-21928 81-FR-21928 34-77555 https://www.sec.gov/litigation/admin/2016/34-77555.pdf 3-17204 2016-04-07 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Las Vegas Sands Corp. N/A 34-77556 https://www.sec.gov/rules/sro/isemercury/2016/34-77556.pdf SR-ISEMERCURY-2016-08 2016-04-07 Notice / to Limit Mandatory Participation in Scheduled Functional and Performance Testing Under Regulation SCI to Only Those Primary Market Makers That Meet Specified Criteria SRO Filing ISE Mercury http://www.federalregister.gov/citation/81-FR-21933 81-FR-21933 34-77557 https://www.sec.gov/rules/sro/phlx/2016/34-77557.pdf SR-PHLX-2016-40 2016-04-07 Notice / Immediate Effectiveness Relating to PIXL SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-21935 81-FR-21935 34-77558 https://www.sec.gov/rules/pcaob/2016/34-77558.pdf NO FILE NUMBER 2016-04-07 Notice / Relating to Inspections Notice Public Company Accounting Oversight Board http://www.federalregister.gov/citation/81-FR-21909 81-FR-21909 34-77559 https://www.sec.gov/litigation/admin/2016/34-77559.pdf 3-12907 2016-04-07 Order Authorizing the Transfer to the U.S. Treasury of Remaining Funds and Any Funds Returned to the Fair Fund in the Future, Discharging the Fund Administrator, and Terminating the Fair Fund Order Morgan Stanley & Co. Incorporated N/A 34-77560 https://www.sec.gov/litigation/admin/2016/34-77560.pdf 3-17039 2016-04-08 Notice That Initial Decision Has Become Final Notice Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd). Dalian Capital Group, Inc. Corvair Resources Inc. Denver Resources Inc. N/A 34-77561 https://www.sec.gov/litigation/suspensions/2016/34-77561.pdf 500-1 2016-04-08 Trading Suspension Trading Suspension Royale Globe Holding Inc. http://www.federalregister.gov/citation/81-FR-21611 81-FR-21611 34-77562 https://www.sec.gov/litigation/admin/2016/34-77562.pdf 3-17030 2016-04-08 Notice That Initial Decision Has Become Final Notice USA Graphite, Inc. N/A 34-77563 https://www.sec.gov/litigation/admin/2016/34-77563.pdf 3-17044 2016-04-08 Notice That Initial Decision Has Become Final Notice T.O. Entertainment, Inc. (f/k/a IBI Acquisitions, Inc.) Xian Resources, Ltd. Go Green Smokeless Oil International, Inc. N/A 34-77564 2016-04-08 INTENTIONALLY OMITTED 34-77565 https://www.sec.gov/rules/sro/finra/2016/34-77565.pdf SR-FINRA-2016-005 2016-04-08 Order / to Reduce the Synchronization Tolerance for Computer Clocks that are Used to Record Events in NMS Securities and OTC Equity Securities SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-22136 81-FR-22136 34-77566 https://www.sec.gov/litigation/admin/2016/34-77566.pdf IA-4364 3-17205 2016-04-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Ragas, Jabari W. N/A 34-77567 https://www.sec.gov/rules/sro/bats/2016/34-77567.pdf SR-BATS-2015-94 2016-04-08 Notice / Amendment No. 1 / Order, as Modified by Amendments No. 1, No. 2, and No. 3, to List and Trade Shares of the SPDR DoubleLine Emerging Markets Fixed Income ETF of the SSgA Active Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-22143 81-FR-22143 34-77568 https://www.sec.gov/rules/sro/box/2016/34-77568.pdf SR-BOX-2016-15 2016-04-08 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-22151 81-FR-22151 34-77569 https://www.sec.gov/rules/sro/isemercury/2016/34-77569.pdf SR-ISEMERCURY-2016-07 2016-04-08 Notice / Related to Market Wide Risk Protection SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-22140 81-FR-22140 34-77570 https://www.sec.gov/rules/sro/cboe/2016/34-77570.pdf SR-CBOE-2016-028 2016-04-08 Notice / Immediate Effectiveness Relating to Rule 6.1A SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-22139 81-FR-22139 34-77571 https://www.sec.gov/rules/sro/nysearca/2016/34-77571.pdf SR-NYSEARCA-2016-28 2016-04-08 Notice / Designation of a Longer Period for Commission Action, as Modified by Amendment No. 1, to List and Trade of Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-22136 81-FR-22136 34-77572 https://www.sec.gov/rules/sro/box/2016/34-77572.pdf SR-BOX-2016-14 2016-04-08 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-22133 81-FR-22133 34-77573 https://www.sec.gov/rules/sro/cboe/2016/34-77573.pdf SR-CBOE-2016-036 2016-04-08 Notice / Immediate Effectiveness Relating to SPXPM Pilot Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-22148 81-FR-22148 34-77574 https://www.sec.gov/litigation/suspensions/2016/34-77574.pdf 500-1 2016-04-11 Trading Suspension Trading Suspension Diversified Corporate Resources, Inc. Versadial, Inc. Green St. Energy, Inc. Seaboard Associates, Inc. TraceGuard Technologies, Inc. Tradings.net, Inc. International Total Services, Inc. Printron, Inc. Standard Holdings Group, Ltd. US-Worldlink.com, Inc. Sona Mobile Holdings Group, Ltd. Voxcorp, Inc. J.P. Cabot Realty, Inc. W3OTC, Inc. Green Nature USA, Inc. Multicom Publishing Business Marketing Services, Inc. Great Lakes Recreation Co. Pan American Resources, Inc. http://www.federalregister.gov/citation/81-FR-21032 81-FR-21032 34-77575 https://www.sec.gov/rules/sro/cboe/2016/34-77575.pdf SR-CBOE-2016-030 2016-04-11 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-22334 81-FR-22334 34-77576 https://www.sec.gov/rules/sro/nysearca/2016/34-77576.pdf SR-NYSEARCA-2016-46 2016-04-11 Notice / to List and Trade Shares of AdvisorShares Cornerstone Small Cap ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-22337 81-FR-22337 34-77577 https://www.sec.gov/rules/sro/phlx/2016/34-77577.pdf SR-PHLX-2016-42 2016-04-11 Notice / Immediate Effectiveness to Amend Qualified Contingent Cross Rebates and Certain Floor Options Transaction Charges SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-22324 81-FR-22324 34-77578 https://www.sec.gov/rules/sro/nasdaq/2016/34-77578.pdf SR-NASDAQ-2016-048 2016-04-11 Notice / to Amend Nasdaq Rule 7039 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-22344 81-FR-22344 34-77579 https://www.sec.gov/rules/sro/finra/2016/34-77579.pdf SR-FINRA-2015-036 2016-04-11 Notice / Amendment No. 2 / Designation of Longer Period for Commission Action to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Amendments No. 1 and 2 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-22347 81-FR-22347 34-77580 https://www.sec.gov/rules/sro/box/2016/34-77580.pdf SR-BOX-2016-13 2016-04-11 Notice / Immediate Effectiveness to Amend BOX Rule 100 (Definitions) Relating to Professionals SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-22329 81-FR-22329 34-77581 https://www.sec.gov/rules/sro/finra/2016/34-77581.pdf SR-FINRA-2015-054 2016-04-11 Notice / Amendment No. 1 to Adopt FINRA Capital Acquisition Broker Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-22333 81-FR-22333 34-77582 https://www.sec.gov/rules/sro/batsedgx/2016/34-77582.pdf SR-BATSEDGX-2016-07 2016-04-11 Notice / Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27 SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-22335 81-FR-22335 34-77583 https://www.sec.gov/rules/sro/batsedga/2016/34-77583.pdf SR-BATSEDGA-2016-04 2016-04-11 Notice / Immediate Effectiveness of a Non-Substantive Correction to Rule 11.27 SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-22323 81-FR-22323 34-77584 https://www.sec.gov/rules/sro/nms/2016/34-77584.pdf SR-OPRA-2015-01 2016-04-12 Notice / Immediate Effectiveness to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend Certain Provisions of the OPRA's Fee Schedule SRO Filing Options Price Reporting Authority http://www.federalregister.gov/citation/81-FR-22670 81-FR-22670 34-77585 https://www.sec.gov/rules/sro/nms/2016/34-77585.pdf SR-OPRA-2015-02 2016-04-12 Notice / Immediate Effectiveness to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Professional Subscriber Device-Based Fees Set Forth in OPRA's Fee Schedule SRO Filing Options Price Reporting Authority http://www.federalregister.gov/citation/81-FR-22668 81-FR-22668 34-77586 https://www.sec.gov/rules/sro/nms/2016/34-77586.pdf SR-OPRA-2015-03 2016-04-12 Notice / Immediate Effectiveness to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Redistribution Fee Set Forth in OPRA's Fee Schedule SRO Filing Options Price Reporting Authority http://www.federalregister.gov/citation/81-FR-22675 81-FR-22675 34-77587 https://www.sec.gov/rules/sro/nysearca/2016/34-77587.pdf SR-NYSEARCA-2016-28 2016-04-12 Notice / Amendment No. 1 / Order Accelerating to List and Trade Shares of RiverFront Dynamic US Dividend Advantage ETF and RiverFront Dynamic US Flex-Cap ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-22651 81-FR-22651 34-77588 https://www.sec.gov/rules/sro/nysearca/2016/34-77588.pdf SR-NYSEARCA-2016-54 2016-04-12 Notice / Immediate Effectiveness Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-22676 81-FR-22676 34-77589 https://www.sec.gov/rules/sro/batsedgx/2016/34-77589.pdf SR-BATSEDGX-2016-04 2016-04-12 Notice / Immediate Effectiveness to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-22691 81-FR-22691 34-77590 https://www.sec.gov/rules/sro/bx/2016/34-77590.pdf SR-BX-2016-020 2016-04-12 Notice / Immediate Effectiveness to Amend Fees under Rule 7018(a) SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-22678 81-FR-22678 34-77591 https://www.sec.gov/rules/sro/nyse/2016/34-77591.pdf SR-NYSE-2016-26 2016-04-12 Notice / Immediate Effectiveness Amending Its Price List to Adopt a Rebate Program for the NYSE BondsSM System SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-22656 81-FR-22656 34-77592 https://www.sec.gov/rules/sro/nasdaq/2016/34-77592.pdf SR-NASDAQ-2016-023 2016-04-12 Notice / Designation of Longer Period for Commission Action to Amend Rules 4702 and 4703 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-22674 81-FR-22674 34-77593 https://www.sec.gov/rules/sro/ise/2016/34-77593.pdf SR-ISE-2016-09 2016-04-12 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-22673 81-FR-22673 34-77594 https://www.sec.gov/rules/sro/batsbzx/2016/34-77594.pdf SR-BATSBZX-2016-01 2016-04-12 Notice / to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ETF; and Market Vectors 12-17 Year Municipal Index ETF SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-22681 81-FR-22681 34-77595 https://www.sec.gov/litigation/admin/2016/34-77595.pdf 3-17206 2016-04-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Craig Scott Capital, LLC Porges, Brent M. Taddonio, Craig S. N/A 34-77596 https://www.sec.gov/litigation/admin/2016/34-77596.pdf AAER-3764 3-17207 2016-04-12 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled INTL FCStone INC. N/A 34-77597 https://www.sec.gov/litigation/admin/2016/34-77597.pdf 3-17144 2016-04-13 Order Making Findings and Revoking Registration of Securities AP Settled Map IV Acquistion, Inc. N/A 34-77598 https://www.sec.gov/litigation/admin/2016/34-77598.pdf IA-4366 3-17117 2016-04-13 Order Making Findings and Imposing Remedial Sanctions AP Settled Merrick, Gregory L. N/A 34-77599 https://www.sec.gov/rules/concept/2016/33-10064.pdf 33-10064 S7-06-16 2016-04-13 Concept Release Concept Release Business and Financial Disclosure Required by Regulation S-K http://www.federalregister.gov/citation/81-FR-23916 81-FR-23916 34-77600 https://www.sec.gov/rules/sro/batsbyx/2016/34-77600.pdf SR-BATSBYX-2016-04 2016-04-13 Notice / Immediate Effectiveness to Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23021 81-FR-23021 34-77601 https://www.sec.gov/rules/sro/batsbzx/2016/34-77601.pdf SR-BATSBZX-2016-07 2016-04-13 Notice / Immediate Effectiveness to Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23060 81-FR-23060 34-77602 https://www.sec.gov/rules/sro/batsbyx/2016/34-77602.pdf SR-BATSBYX-2016-03 2016-04-13 Notice / Immediate Effectiveness to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23046 81-FR-23046 34-77603 https://www.sec.gov/rules/sro/nyse/2016/34-77603.pdf SR-NYSE-2016-28 2016-04-13 Notice / Immediate Effectiveness Amending Rule 72 Relating to Setting Interest SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-23064 81-FR-23064 34-77604 https://www.sec.gov/rules/sro/nyse/2016/34-77604.pdf SR-NYSE-2016-29 2016-04-13 Notice / Immediate Effectiveness Amending its Price List for Equity Transactions in Stocks with A Per Share Stock Price More than $1.00 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-23043 81-FR-23043 34-77605 https://www.sec.gov/rules/sro/nysemkt/2016/34-77605.pdf SR-NYSEMKT-2016-43 2016-04-13 Notice / Immediate Effectiveness Amending Rule 72 - Equities Relating to Setting Interest SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-23040 81-FR-23040 34-77606 https://www.sec.gov/rules/sro/batsedga/2016/34-77606.pdf SR-BATSEDGA-2016-03 2016-04-13 Notice / Immediate Effectiveness to Adopt Rule 8.17 to Provide a Process for an Expedited Suspension Proceeding and Rule 12.15 to Prohibit Layering and Spoofing SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23026 81-FR-23026 34-77607 https://www.sec.gov/rules/sro/byx/2016/34-77607.pdf SR-BYX-2016-03 2016-04-13 Order / to Adopt an Early Trading Session and Three New Time-in-Force Instructions SRO Filing BATS-Y Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23032 81-FR-23032 34-77608 https://www.sec.gov/rules/sro/batsedga/2016/34-77608.pdf SR-BATSEDGA-2016-05 2016-04-13 Notice / Immediate Effectiveness to Amend the Certificate of Incorporation of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23062 81-FR-23062 34-77609 https://www.sec.gov/rules/sro/nasdaq/2016/34-77609.pdf SR-NASDAQ-2016-054 2016-04-13 Notice / Immediate Effectiveness to Amend Nasdaq Rule 7018(a) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-23038 81-FR-23038 34-77610 https://www.sec.gov/rules/sro/nysearca/2016/34-77610.pdf SR-NYSEARCA-2016-55 2016-04-13 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-23066 81-FR-23066 34-77611 https://www.sec.gov/rules/sro/bats/2016/34-77611.pdf SR-BATS-2016-14 2016-04-13 Order / to Adopt an Early Trading Session and Three New Time-in-Force Instructions SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23035 81-FR-23035 34-77612 https://www.sec.gov/rules/sro/batsedgx/2016/34-77612.pdf SR-BATSEDGX-2016-10 2016-04-13 Notice / Immediate Effectiveness to Amend the Certificate of Incorportion of the Exchange's Ultimate Parent Company, Bats Global Markets, Inc. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23072 81-FR-23072 34-77613 https://www.sec.gov/rules/sro/phlx/2016/34-77613.pdf SR-PHLX-2016-45 2016-04-13 Notice / Immediate Effectiveness to Modify Chapter VII Section B of the Exchange's Pricing Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-23023 81-FR-23023 34-77614 https://www.sec.gov/litigation/admin/2016/33-10065.pdf 33-10065 3-15815 2016-04-13 Notice That Initial Decision Has Become Final Notice L&L Energy, Inc. N/A 34-77615 https://www.sec.gov/litigation/admin/2016/34-77615.pdf 3-17038 2016-04-14 Notice That Initial Decision Has Become Final Notice Four Peaks Group Inc. Divia.com, Inc. Environmental Products & Technologies Corp. (a/k/a Enviro Products & Technologies Corp.) Design Products, Inc. China Holdings Groups, Inc. Financial Group Connection, Inc. (The) (a/k/a Financial Group Connection, Inc.) N/A 34-77616 https://www.sec.gov/litigation/admin/2016/34-77616.pdf 3-17042 2016-04-14 Notice that Initial Decision Has Become Final Notice DC Brands International, Inc. N/A 34-77617 https://www.sec.gov/rules/final/2016/34-77617.pdf S7-25-11 2016-04-14 Final rule Final Rule Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants http://www.federalregister.gov/citation/81-FR-29960 81-FR-29960 34-77617A https://www.sec.gov/rules/final/2016/34-77617a.pdf S7-25-11 2016-05-19 Final Rule; Correction Final Rule Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants; Correction http://www.federalregister.gov/citation/81-FR-32643 81-FR-32643 34-77618 https://www.sec.gov/litigation/admin/2016/34-77618.pdf IA-4367 IC-32072 3-16883 2016-04-14 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Jacob, Arthur F., CPA Innovative Business Solutions, LLC N/A 34-77619 https://www.sec.gov/rules/sro/nasdaq/2016/34-77619.pdf SR-NASDAQ-2016-021 2016-04-14 Order / as Modified by Amendment No. 1 Relating to the Listing and Trading of the Shares of the First Trust Alternative Absolute Return Strategy ETF of First Trust Exchange-Traded Fund VII SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-23334 81-FR-23334 34-77620 https://www.sec.gov/rules/sro/bats/2016/34-77620.pdf SR-BATS-2015-124 2016-04-14 Order / to List and Trade Shares of the REX VolMAXX Long VIX Weekly Futures Strategy ETF and the REX VolMAXX Inverse VIX Weekly Futures Strategy ETF of the Exchange Traded Concepts Trust SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23339 81-FR-23339 34-77621 https://www.sec.gov/rules/sro/cboe/2016/34-77621.pdf SR-CBOE-2016-031 2016-04-14 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-23343 81-FR-23343 34-77622 https://www.sec.gov/litigation/admin/2016/34-77622.pdf 3-17209 2016-04-14 Order Instituting Administrative Proceedings and Notice of Hearing AP Settled MPEG Super Site, Inc. Myriad International, Inc. Mondeo Investments, Inc. N/A 34-77623 https://www.sec.gov/rules/sro/nasdaq/2016/34-77623.pdf SR-NASDAQ-2016-028 2016-04-14 Notice / Designation of Longer Period for Commission Action Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-23333 81-FR-23333 34-77624 https://www.sec.gov/litigation/admin/2016/34-77624.pdf 3-16757 2016-04-14 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount Order Citigroup Alternative Investment LLC Citigroup Global Markets Inc. N/A 34-77625 https://www.sec.gov/litigation/admin/2016/34-77625.pdf IA-4368 IC-32073 3-16730 2016-04-14 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Johnson, Reid S. N/A 34-77626 https://www.sec.gov/litigation/admin/2016/34-77626.pdf 3-17147 2016-04-14 Order Making Findings and Imposing Remedial Sanctions AP Settled McLean, Devon C. N/A 34-77627 https://www.sec.gov/litigation/admin/2016/34-77627.pdf 3-17063 2016-04-15 Notice That Initial Decision Has Become Final Notice Equitel, Inc. Daytona Systems, Inc. N/A 34-77628 https://www.sec.gov/rules/sro/occ-an/2016/34-77628.pdf SR-OCC-2016-801 2016-04-15 Notice / Advance Notice / Related to the Adoption of an Options Exchange Risk Control Standards Policy SRO Filing Options Clearing Corporation (The) http://www.federalregister.gov/citation/81-FR-23536 81-FR-23536 34-77629 https://www.sec.gov/rules/other/2016/34-77629.pdf NO FILE NUMBER 2016-04-15 Notice Notice Public Availability of the Securities and Exchange Commission's FY 2014 Service Contract Inventory http://www.federalregister.gov/citation/81-FR-23528 81-FR-23528 34-77630 https://www.sec.gov/litigation/admin/2016/34-77630.pdf IA-4369 3-17210 2016-04-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated White, Paul Leon, II N/A 34-77631 https://www.sec.gov/rules/sro/batsedgx/2016/34-77631.pdf SR-BATSEDGX-2016-09 2016-04-15 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equities Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23529 81-FR-23529 34-77632 https://www.sec.gov/rules/sro/batsbzx/2016/34-77632.pdf SR-BATSBZX-2016-06 2016-04-15 Notice / Immediate Effectiveness to Modify the Fee Schedule Applicable to the Exchange's Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23533 81-FR-23533 34-77633 https://www.sec.gov/rules/sro/icc/2016/34-77633.pdf SR-ICC-2016-005 2016-04-15 Notice / to Update and Formalize the ICC Stress Testing Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-23531 81-FR-23531 34-77634 https://www.sec.gov/rules/sro/iceeu/2016/34-77634.pdf SR-ICEEU-2016-004 2016-04-15 Notice / Designation of Longer Period for Commission Action Relating to Additions to Permitted Cover SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-23531 81-FR-23531 34-77635 https://www.sec.gov/rules/sro/finra/2016/34-77635.pdf SR-FINRA-2016-010 2016-04-15 Notice / Designation of Longer Period for Commission Action to Adopt FINRA Rule 4554 (Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-23536 81-FR-23536 34-77636 https://www.sec.gov/rules/sro/batsedgx/2016/34-77636.pdf SR-BATSEDGX-2016-12 2016-04-18 Notice / Immediate Effectiveness to Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23793 81-FR-23793 34-77637 https://www.sec.gov/rules/sro/batsedga/2016/34-77637.pdf SR-BATSEDGA-2016-06 2016-04-18 Notice / Immediate Effectiveness to Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23765 81-FR-23765 34-77638 https://www.sec.gov/rules/sro/batsbyx/2016/34-77638.pdf SR-BATSBYX-2016-05 2016-04-18 Notice / Immediate Effectiveness to Adopt Exchange Rule 14.10 Setting Forth Additional Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23771 81-FR-23771 34-77639 https://www.sec.gov/rules/sro/batsbzx/2016/34-77639.pdf SR-BATSBZX-2016-08 2016-04-18 Notice / Immediate Effectiveness to Rule 14.3 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or any of its Affiliates SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-23768 81-FR-23768 34-77640 https://www.sec.gov/rules/sro/nysemkt/2016/34-77640.pdf SR-NYSEMKT-2016-15 2016-04-18 Notice / Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the Changes SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-23780 81-FR-23780 34-77641 https://www.sec.gov/rules/sro/nysearca/2016/34-77641.pdf SR-NYSEARCA-2016-19 2016-04-18 Notice / Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Reflect the Changes SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-23773 81-FR-23773 34-77642 https://www.sec.gov/rules/sro/nyse/2016/34-77642.pdf SR-NYSE-2016-11 2016-04-18 Notice / Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the Exchange's Price List to Reflect the Changes SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-23786 81-FR-23786 34-77643 https://www.sec.gov/litigation/opinions/2016/33-10067.pdf 33-10067 3-13927 3-13109 2016-04-18 Order Denying Motion to Vacate Commission Orders Order Pierce, Gordon Brent N/A 34-77644 https://www.sec.gov/litigation/admin/2016/34-77644.pdf AAER-3765 3-17212 2016-04-19 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Orders and Penalties AP Settled Bolles, Sherralyn, CPA Logitech International, S.A. Doktorczyk, Michael N/A 34-77645 https://www.sec.gov/litigation/admin/2016/33-10068.pdf 33-10068 AAER-3766 3-17213 2016-04-19 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Seidel, Jeffrey A. Ener1, Inc. Kamischke, Robert R. Gassenheimer, Charles L. N/A 34-77646 https://www.sec.gov/litigation/admin/2016/34-77646.pdf AAER-3767 3-17214 2016-04-19 Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hesselgesser, Robert D., CPA N/A 34-77647 2016-04-19 INTENTIONALLY OMITTED 34-77648 https://www.sec.gov/litigation/admin/2016/34-77648.pdf IA-4371 IC-32075 3-17216 2016-04-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hartshorn, Bruce A. N/A 34-77649 https://www.sec.gov/litigation/admin/2016/34-77649.pdf IA-4372 IC-32076 3-17217 2016-04-19 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Phillips, Larry M. TPG Advisors LLC d/b/a The Phillips Group Advisors N/A 34-77650 https://www.sec.gov/rules/sro/phlx/2016/34-77650.pdf SR-PHLX-2016-49 2016-04-19 Notice / Immediate Effectiveness to Delete Obsolete Rules SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-24148 81-FR-24148 34-77651 https://www.sec.gov/rules/sro/c2/2016/34-77651.pdf SR-C2-2016-004 2016-04-19 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-24153 81-FR-24153 34-77652 https://www.sec.gov/rules/sro/chx/2016/34-77652.pdf SR-CHX-2016-05 2016-04-19 Notice / Immediate Effectiveness to Adopt the CHX SNAP Incentive Program SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-24151 81-FR-24151 34-77653 https://www.sec.gov/litigation/admin/2016/34-77653.pdf 3-17218 2016-04-19 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Powell, Daniel Christian Stanley N/A 34-77654 https://www.sec.gov/litigation/opinions/2016/33-10069.pdf 33-10069 IC-32080 3-16498 2016-04-19 Order Granting Petition for Review and Scheduling Briefs Order Schalk, Russell C., Jr. N/A 34-77655 https://www.sec.gov/alj/aljdec/2016/34-77655.pdf 3-16734 2016-04-19 Notice That Initial Decision Has Become Final Notice Bussanich, George, Jr. N/A 34-77656 https://www.sec.gov/litigation/admin/2016/34-77656.pdf 3-17073 2016-04-20 Notice That Initial Decision Has Become Final Notice Engenyous Technologies, Inc. Diversified Health & Fitness, Inc. Equitex 2000, Inc. Gifts of Learning Foundation, Inc. N/A 34-77657 https://www.sec.gov/litigation/admin/2016/34-77657.pdf AAER-3768 3-17215 2016-04-20 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Messenbaugh, Laura P., CPA N/A 34-77658 https://www.sec.gov/rules/sro/nysemkt/2016/34-77658.pdf SR-NYSEMKT-2016-45 2016-04-20 Notice / Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-24674 81-FR-24674 34-77659 https://www.sec.gov/rules/sro/cboe/2016/34-77659.pdf SR-CBOE-2016-037 2016-04-20 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-24678 81-FR-24678 34-77660 https://www.sec.gov/rules/sro/box/2016/34-77660.pdf SR-BOX-2016-19 2016-04-20 Notice / Immediate Effectiveness to Extend the Pilot Program for the Listing and Trading of Options Settling to the RealVol¿ SPY Index ("Index") SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-24676 81-FR-24676 34-77661 https://www.sec.gov/rules/sro/nasdaq/2016/34-77661.pdf SR-NASDAQ-2016-055 2016-04-20 Notice / Immediate Effectiveness to Amend Options Pricing at Chapter XV, Section 2 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-24668 81-FR-24668 34-77662 https://www.sec.gov/rules/sro/nasdaq/2016/34-77662.pdf SR-NASDAQ-2016-051 2016-04-20 Notice / Immediate Effectiveness to Amend Nasdaq Rule 7014 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-24681 81-FR-24681 34-77663 https://www.sec.gov/litigation/admin/2016/34-77663.pdf IA-4373 3-17219 2016-04-20 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Jackson, JoAnn N/A 34-77664 https://www.sec.gov/alj/aljdec/2016/34-77664.pdf IA-4375 3-16917 2016-04-20 Notice That Initial Decision Has Become Final Notice Taylor, Garfield M. N/A 34-77665 https://www.sec.gov/litigation/admin/2016/34-77665.pdf 3-17221 2016-04-20 Order of Suspension Order Zobrist, Gerry G., Esq. N/A 34-77666 https://www.sec.gov/litigation/admin/2016/34-77666.pdf 3-17074 2016-04-21 Notice That Initial Decision Has Become Final Notice Eight-Eight Acquisition Corp. II Eight-Eight Acquisition Corp. III N/A 34-77667 https://www.sec.gov/litigation/admin/2016/34-77667.pdf 3-17065 2016-04-21 Notice That Initial Decision Has Become Final Notice RPHL Acquisition Corp. (a/k/a Rockport Healthcare Group, Inc.) Oldwebsites.com, Inc. Vicor Technologies, Inc. TheraBiogen, Inc. Brainy Brands Company, Inc. (The) U.S. Helicopter Corporation N/A 34-77668 https://www.sec.gov/litigation/admin/2016/34-77668.pdf 3-17061 2016-04-21 Notice That Initial Decision Has Become Final Notice Vadda Energy Corp. Dawn Capital Corp. New Century Energy Corp. China Ticket Center, Inc. Nanotailor, Inc. N/A 34-77669 https://www.sec.gov/litigation/suspensions/2016/34-77669.pdf 500-1 2016-04-21 Trading Suspension Trading Suspension CelLynx Group, Inc. Global Health Voyager, Inc. Dot VN, Inc. http://www.federalregister.gov/citation/81-FR-24150 81-FR-24150 34-77670 https://www.sec.gov/litigation/admin/2016/34-77670.pdf 3-17222 2016-04-21 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated CelLynx Group, Inc. Dot VN, Inc. Global Health Voyager, Inc. N/A 34-77671 https://www.sec.gov/litigation/suspensions/2016/34-77671.pdf 500-1 2016-04-21 Trading Suspension Trading Suspension Gold Hills Mining, Ltd. Medisafe 1 Technologies Corp. Massive Dynamics, Inc. MDU Communications International, Inc. http://www.federalregister.gov/citation/81-FR-24150 81-FR-24150 34-77672 https://www.sec.gov/litigation/admin/2016/34-77672.pdf 3-17223 2016-04-21 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Gold Hills Mining, Ltd. Medisafe 1 Technologies Corp. Massive Dynamics, Inc. MDU Communications International, Inc. N/A 34-77673 https://www.sec.gov/rules/sro/phlx/2016/34-77673.pdf SR-PHLX-2016-51 2016-04-21 Notice / Immediate Effectiveness to Qualified Contingent Cross Pricing SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-24909 81-FR-24909 34-77674 https://www.sec.gov/rules/sro/nyse/2016/34-77674.pdf SR-NYSE-2016-22 2016-04-21 Notice / Adopting Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopting Listing Fees Specific to Equity Investment Tracking Stocks SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-24919 81-FR-24919 34-77675 https://www.sec.gov/rules/sro/ficc/2016/34-77675.pdf SR-FICC-2016-001 2016-04-21 Notice / Relating to the GCF Repo® Service SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-24922 81-FR-24922 34-77676 https://www.sec.gov/rules/sro/nysemkt/2016/34-77676.pdf SR-NYSEMKT-2016-31 2016-04-21 Notice / Designation of Longer Period for Commission Action Amending Rule 123C-Equities to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-24907 81-FR-24907 34-77677 https://www.sec.gov/rules/sro/nyse/2016/34-77677.pdf SR-NYSE-2016-18 2016-04-21 Notice / Designation of Longer Period for Commission Action Amending Rule 123C to Provide for How the Exchange Would Determine an Official Closing Price if the Exchange is Unable to Conduct a Closing Transaction SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-24907 81-FR-24907 34-77678 https://www.sec.gov/rules/sro/nasdaq/2016/34-77678.pdf SR-NASDAQ-2016-035 2016-04-21 Notice / Designation of Longer Period for Commission Action to Establish a Secondary Contingency Procedure to Enable the Exchange to Report an Official Closing Price on Behalf of an Impaired Primary Listing Exchange SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-24909 81-FR-24909 34-77679 https://www.sec.gov/rules/sro/nms/2016/34-77679.pdf 4-631 2016-04-21 Order / Approving the Tenth Amendment to the NMS Plan to Address Extraordinary Market Volatility SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/81-FR-24908 81-FR-24908 34-77680 https://www.sec.gov/rules/sro/nysemkt/2016/34-77680.pdf SR-NYSEMKT-2016-17 2016-04-21 Order / to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-24905 81-FR-24905 34-77681 https://www.sec.gov/rules/sro/nyse/2016/34-77681.pdf SR-NYSE-2016-13 2016-04-21 Order / to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-24915 81-FR-24915 34-77682 https://www.sec.gov/rules/sro/nysearca/2016/34-77682.pdf SR-NYSEARCA-2016-21 2016-04-21 Order / to Establish Procedures for the Allocation of Cages to Co-located Users, Including the Waiver of Certain Fees, and to Amend the Visitor Security Escort Fee SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-24913 81-FR-24913 34-77683 https://www.sec.gov/litigation/opinions/2016/34-77683.pdf AAER-3769 3-17134 2016-04-21 Order Denying Motion to Lift Temporary Suspension and Directing That a Hearing be Held Order Quintanilla, Timothy, CPA N/A 34-77684 https://www.sec.gov/litigation/admin/2016/34-77684.pdf 3-17064 2016-04-22 Notice That Initial Decision Has Become Final Notice Clicker, Inc. Bizzingo, Inc. 99 Cent Stuff, Inc. Incentra Solutions, Inc. Peer Review Mediation & Arbitration, Inc. Maxray Optical Technology Co. Ltd. N/A 34-77685 https://www.sec.gov/litigation/admin/2016/34-77685.pdf 3-17082 2016-04-22 Notice that Initial Decision has Become Final Notice Q-Net Technologies, Inc. Seiler Pollution Control Systems, Inc. The Mortgage Bancfund of America II, L.P. LDP-III, a California Limited Partnership Lyric International, Inc. DCI Telecommunications, Inc. Helionetics, Inc. N/A 34-77686 https://www.sec.gov/litigation/admin/2016/34-77686.pdf 3-17102 2016-04-22 Notice That Initial Decision Has Become Final Notice Kingly Chateau Corp. Lucy's Water World, Inc. Bailey Frances Corp. N/A 34-77687 https://www.sec.gov/rules/sro/phlx/2016/34-77687.pdf SR-PHLX-2016-48 2016-04-22 Notice / Immediate Effectiveness Regarding Rule 606 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-25464 81-FR-25464 34-77688 https://www.sec.gov/rules/sro/nasdaq/2016/34-77688.pdf SR-NASDAQ-2016-030 2016-04-22 Order / Relating to the Listing and Trading of the Shares of the Elkhorn Dorsey Wright Commodity Rotation Portfolio of Elkhorn ETF Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-25467 81-FR-25467 34-77689 https://www.sec.gov/litigation/admin/2016/34-77689.pdf 3-17224 2016-04-22 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled White, Caleb J. N/A 34-77690 https://www.sec.gov/rules/sro/phlx/2016/34-77690.pdf SR-PHLX-2016-52 2016-04-22 Notice / Immediate Effectiveness to Qualified Contingent Cross Pricing SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-25457 81-FR-25457 34-77691 https://www.sec.gov/rules/sro/batsedgx/2016/34-77691.pdf SR-BATSEDGX-2016-11 2016-04-22 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-25462 81-FR-25462 34-77692 https://www.sec.gov/rules/sro/box/2016/34-77692.pdf SR-BOX-2016-16 2016-04-22 Notice / Immediate Effectiveness to (i) Amend BOX Rule 7280 (Bulk Cancellation of Trading Interest) to Adopt a Kill Switch and (ii) Amend BOX Rule 7110 (Order Entry) to Modify the Circumstances That Will Prevent a Session Order From Being Cancelled SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-25473 81-FR-25473 34-77693 https://www.sec.gov/rules/final/2016/33-10071.pdf 33-10071 39-2509 IC-32091 NO FILE NUMBER 2016-04-22 Final rule Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-31501 81-FR-31501 34-77694 https://www.sec.gov/rules/sro/box/2016/34-77694.pdf SR-BOX-2016-17 2016-04-22 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-25460 81-FR-25460 34-77695 https://www.sec.gov/rules/sro/box/2016/34-77695.pdf SR-BOX-2016-20 2016-04-22 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-25455 81-FR-25455 34-77696 https://www.sec.gov/litigation/admin/2016/34-77696.pdf 3-17200 2016-04-22 Order Making Findings and Imposing Remedial Sanctions AP Settled Lindemann, Levi D. N/A 34-77697 https://www.sec.gov/alj/aljdec/2016/33-10072.pdf 33-10072 IA-4376 IC-32092 3-15967 2016-04-22 Notice That Initial Decision Has Become Final Notice Labine, Lawrence M. N/A 34-77698 https://www.sec.gov/rules/other/2016/33-10073.pdf 33-10073 NO FILE NUMBER 2016-04-22 Order Regarding Review of FASB Accounting Support Fee for 2016 under Section 109 of the Sarbanes-Oxley Act of 2002 Order FASB Accounting Support Fee for 2016 http://www.federalregister.gov/citation/81-FR-25454 81-FR-25454 34-77699 https://www.sec.gov/rules/other/2016/34-77699.pdf SBSDR-2016-01 2016-04-22 Notice / Application for Registration as a Security-Based Swap Data Repository Notice Security-Based Swap Data Repository http://www.federalregister.gov/citation/81-FR-25475 81-FR-25475 34-77700 https://www.sec.gov/litigation/admin/2016/34-77700.pdf 3-17103 2016-04-25 Notice That Initial Decision Has Become Final Notice CBC Acquisition Corp. 1 China Renewable Construction Materials, Inc. Whoopass Poker Corp. N/A 34-77701 https://www.sec.gov/rules/sro/nyse/2016/34-77701.pdf SR-NYSE-2016-30 2016-04-25 Notice / Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-25748 81-FR-25748 34-77702 https://www.sec.gov/litigation/admin/2016/34-77702.pdf IA-4377 3-17225 2016-04-25 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Segal, Malcolm N/A 34-77703 https://www.sec.gov/rules/sro/nyse/2016/34-77703.pdf SR-NYSE-2015-46 2016-04-25 Notice / Partial Amendment Nos.1 and 2/Order Accelerating to Adopt NYSE Rule 67 to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-25795 81-FR-25795 34-77704 https://www.sec.gov/litigation/suspensions/2016/34-77704.pdf 500-1 2016-04-26 Trading Suspension Trading Suspension Valentine Beauty Inc. http://www.federalregister.gov/citation/81-FR-25454 81-FR-25454 34-77705 https://www.sec.gov/rules/sro/nasdaq/2016/34-77705.pdf SR-NASDAQ-2016-002 2016-04-26 Order / Instituting Proceedings to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-26265 81-FR-26265 34-77706 https://www.sec.gov/rules/sro/nasdaq/2016/34-77706.pdf SR-NASDAQ-2016-059 2016-04-26 Notice / Immediate Effectiveness to Require an Issuer of Securities Listed under the Rule 5700 Series to Notify Nasdaq about the Replacement of the Index, Portfolio, or Reference Asset Underlying the Security and Pay a Fee in Connection with the Change SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-26275 81-FR-26275 34-77707 https://www.sec.gov/rules/sro/phlx/2016/34-77707.pdf SR-PHLX-2016-53 2016-04-26 Notice / Immediate Effectiveness to Update Public Disclosure of Exchange Usage of Market Data SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-26296 81-FR-26296 34-77708 https://www.sec.gov/rules/sro/nyse/2016/34-77708.pdf SR-NYSE-2016-16 2016-04-26 Notice / Amendment No 1. / Order Accelerating to Amend NYSE Rule 98 to Provide That, When Designated Market Makers Enter Interest for the Purpose of Facilitating the Execution of Customer Orders, Those Orders Would Not be Required to be Designated as DMM SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-26269 81-FR-26269 34-77709 https://www.sec.gov/rules/sro/nscc/2016/34-77709.pdf SR-NSCC-2016-001 2016-04-26 Notice / to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-26272 81-FR-26272 34-77710 https://www.sec.gov/rules/sro/cboe/2016/34-77710.pdf SR-CBOE-2016-038 2016-04-26 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-26299 81-FR-26299 34-77711 https://www.sec.gov/rules/sro/chx/2016/34-77711.pdf SR-CHX-2016-01 2016-04-26 Order / to Adopt and Amend Rules to Permit the Exchange to Initiate CHX SNAP Cycles SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-26295 81-FR-26295 34-77712 https://www.sec.gov/litigation/admin/2016/34-77712.pdf 3-15429 2016-04-26 Notice of Proposed Amended Plan of Distribution and Opportunity for Comment Notice Vicidomine, Anthony T. North East Capital, LLC N/A 34-77713 https://www.sec.gov/litigation/admin/2016/34-77713.pdf 3-17186 2016-04-26 Order Appointing Tax Administrator Order Herbert, Victor A., Esq. Burrill, G. Steven, CPA Sen, Helena C., CPA Burrill Capital Management, LLC N/A 34-77714 https://www.sec.gov/rules/sro/nasdaq/2016/34-77714.pdf SR-NASDAQ-2016-028 2016-04-26 Order / As Modified by Amendment 1 Relating to the Listing and Trading of the Shares of the iSectors Post-MPT Growth ETF of ETFis Series Trust I SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-26281 81-FR-26281 34-77715 https://www.sec.gov/rules/sro/nasdaq/2016/34-77715.pdf SR-NASDAQ-2016-056 2016-04-26 Notice / Relating to the Listing and Trading of the Shares of the PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-26285 81-FR-26285 34-77716 https://www.sec.gov/rules/sro/isemercury/2016/34-77716.pdf SR-ISEMERCURY-2016-09 2016-04-26 Notice / Relating to Preferenced Volume SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-26277 81-FR-26277 34-77717 https://www.sec.gov/litigation/admin/2016/34-77717.pdf AAER-3770 3-17227 2016-04-26 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Castner, Ralph W., CPA Cabela's Incorporated N/A 34-77718 https://www.sec.gov/litigation/admin/2016/34-77718.pdf AAER-3771 3-17228 2016-04-26 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated David S. Hall, P.C. d/b/a The Hall Group CPAs Cisneros, Susan A. Cochran, Michelle L. Helterbran, CPA Hall, David S., CPA N/A 34-77719 https://www.sec.gov/rules/sro/bx/2016/34-77719.pdf SR-BX-2016-022 2016-04-27 Notice / Immediate Effectiveness to Update Public Disclosure of Exchange Usage of Market Data SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-26607 81-FR-26607 34-77720 https://www.sec.gov/rules/sro/occ/2016/34-77720.pdf SR-OCC-2016-004 2016-04-27 Notice / Designation of Longer Period For Commission Action Related to the Adoption of an Options Exchange Risk Control Standards Policy SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-26609 81-FR-26609 34-77721 https://www.sec.gov/rules/sro/batsbzx/2016/34-77721.pdf SR-BATSBZX-2016-11 2016-04-27 Notice / Immediate Effectiveness to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-26591 81-FR-26591 34-77722 https://www.sec.gov/rules/sro/nasdaq/2016/34-77722.pdf SR-NASDAQ-2016-034 2016-04-27 Order / Regarding Monthly Distributions, Excess Returns, and Share Index Factors of Certain AccuShares® Trust I Funds SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-26595 81-FR-26595 34-77723 https://www.sec.gov/rules/sro/batsbzx/2016/34-77723.pdf SR-BATSBZX-2016-09 2016-04-27 Notice / to Rule 14.11, Managed Fund Shares, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-26600 81-FR-26600 34-77724 https://www.sec.gov/rules/sro/nms/2016/34-77724.pdf 4-698 2016-04-27 Notice / National Market System Plan Governing the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Exchange LLC, C2 Options Exchange, Incorporated, Chicago Board Options Exchange, Incorporated, Chicago Stock Exchange, I SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/81-FR-30614 81-FR-30614 34-77725 https://www.sec.gov/litigation/admin/2016/34-77725.pdf 3-17229 2016-04-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Chinea, Benito N/A 34-77726 https://www.sec.gov/rules/sro/finra/2016/34-77726.pdf SR-FINRA-2016-013 2016-04-27 Notice / Immediate Effectiveness to Delay Implementation of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-26593 81-FR-26593 34-77727 https://www.sec.gov/litigation/admin/2016/34-77727.pdf 3-17230 2016-04-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Bethancourt, Tomas Alberto Clarke N/A 34-77728 https://www.sec.gov/litigation/admin/2016/34-77728.pdf 3-17231 2016-04-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Demeneses, Joseph Flores, Jr. N/A 34-77729 https://www.sec.gov/litigation/admin/2016/34-77729.pdf 3-17232 2016-04-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hurtado, Jose Alejandro N/A 34-77730 https://www.sec.gov/litigation/admin/2016/34-77730.pdf 3-17233 2016-04-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lujan, Ernesto N/A 34-77731 https://www.sec.gov/alj/aljdec/2016/34-77731.pdf 3-16803 2016-04-27 Notice That Initial Decision Has Become Final Notice Kara, Maher F. N/A 34-77732 https://www.sec.gov/alj/aljdec/2016/34-77732.pdf 3-15873 2016-04-27 Notice That Initial Decision on EAJA Application Has Become Final Notice Delaney, Thomas R. II N/A 34-77733 https://www.sec.gov/reportspubs/special-studies/34-77733.pdf NO FILE NUMBER 2016-04-27 Report on Administrative Proceedings - October 1, 2015 Through March 31, 2016 Unknown Report on Administrative Proceedings N/A 34-77734 https://www.sec.gov/rules/sro/nysemkt/2016/34-77734.pdf SR-NYSEMKT-2016-49 2016-04-27 Notice / Amending the Definition of "Block" for Purposes of Rule 72(d) - Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-26598 81-FR-26598 34-77735 https://www.sec.gov/litigation/suspensions/2016/34-77735.pdf 500-1 2016-04-28 Trading Suspension Trading Suspension Pineapple Express, Inc. http://www.federalregister.gov/citation/81-FR-26281 81-FR-26281 34-77736 https://www.sec.gov/rules/sro/nasdaq/2016/34-77736.pdf SR-NASDAQ-2016-058 2016-04-28 Notice / Immediate Effectiveness to Amend Nasdaq Rule 7023 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-26846 81-FR-26846 34-77737 https://www.sec.gov/rules/sro/nasdaq/2016/34-77737.pdf SR-NASDAQ-2016-060 2016-04-28 Notice / Immediate Effectiveness to Update Public Disclosure of Exchange Usage of Market Data SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-26844 81-FR-26844 34-77738 https://www.sec.gov/litigation/suspensions/2016/34-77738.pdf 500-1 2016-04-29 Trading Suspension Trading Suspension Premier Brands, Inc. Pioneer Exploration, Inc. Private Media Group, Inc. http://www.federalregister.gov/citation/81-FR-26597 81-FR-26597 34-77739 https://www.sec.gov/litigation/admin/2016/34-77739.pdf 3-17236 2016-04-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Private Media Group, Inc. Premier Brands, Inc. Pioneer Exploration, Inc. N/A 34-77740 https://www.sec.gov/litigation/suspensions/2016/34-77740.pdf 500-1 2016-04-29 Trading Suspension Trading Suspension Coyote Resources, Inc. Harbor Island Development Corp. Shades Holding, Inc. Medical Makeover Corp. of America http://www.federalregister.gov/citation/81-FR-26609 81-FR-26609 34-77741 https://www.sec.gov/litigation/admin/2016/34-77741.pdf 3-17237 2016-04-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Harbor Island Development Corp. Medical Makeover Corp. of America Coyote Resources, Inc. Shades Holdings, Inc. N/A 34-77742 https://www.sec.gov/rules/sro/cboe/2016/34-77742.pdf SR-CBOE-2016-032 2016-04-29 Notice / Immediate Effectiveness Relating to FLEX Options Pilot Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-26857 81-FR-26857 34-77743 https://www.sec.gov/rules/other/2016/33-10074.pdf 33-10074 265-27 2016-04-29 Notice of meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-26851 81-FR-26851 34-77744 https://www.sec.gov/rules/sro/msrb/2016/34-77744.pdf SR-MSRB-2016-04 2016-04-29 Order / Consisting of Proposed Amendments to Rules G-12 and G-15 to Define Regular-Way Settlement for Municipal Securities Transactions as Occurring on a Two-Day Settlement Cycle and Technical Conforming Amendments SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-26851 81-FR-26851 34-77745 https://www.sec.gov/litigation/admin/2016/34-77745.pdf AAER-3772 IA-4380 3-17238 2016-04-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Santos, Postal & Company, P.C. Scolaro, Joseph A., CPA N/A 34-77746 https://www.sec.gov/rules/other/2016/34-77746.pdf NO FILE NUMBER 2016-04-29 Order Vacating Commission Approval Order Order Rattner, Steven N/A 34-77747 https://www.sec.gov/litigation/admin/2016/34-77747.pdf 3-17239 2016-04-29 Corrected Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Parrish, Stanley D. N/A 34-77748 https://www.sec.gov/rules/sro/nysearca/2016/34-77748.pdf SR-NYSEARCA-2016-57 2016-04-29 Notice / Immediate Effectiveness Amending Rule 6.61 Regarding Price Protection for Market Maker Quotes SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-27178 81-FR-27178 34-77749 https://www.sec.gov/rules/sro/nysemkt/2016/34-77749.pdf SR-NYSEMKT-2016-47 2016-04-29 Notice / Immediate Effectiveness Amending Rule 967.1NY Regarding Price Protection for Market Maker Quotes SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-27184 81-FR-27184 34-77750 https://www.sec.gov/rules/sro/dtc-an/2016/34-77750.pdf SR-DTC-2016-801 SR-NSCC-2016-801 2016-04-29 Notice / No Objection to Renew the Credit Facility SRO Filing Depository Trust Company National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-27181 81-FR-27181 34-77751 https://www.sec.gov/rules/other/2016/34-77751.pdf 2016-8 2016-04-29 Order Determining Whistleblower Award Claim Order Redacted N/A 34-77752 https://www.sec.gov/rules/sro/isegemini/2016/34-77752.pdf SR-ISEGEMINI-2016-04 2016-05-02 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-27486 81-FR-27486 34-77753 https://www.sec.gov/litigation/admin/2016/34-77753.pdf 3-17146 2016-05-02 Order Making Findings and Imposing Remedial Sanctions AP Settled Rey, Janice D. N/A 34-77754 https://www.sec.gov/rules/sro/ise/2016/34-77754.pdf SR-ISE-2016-10 2016-05-02 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-27485 81-FR-27485 34-77755 https://www.sec.gov/litigation/admin/2016/34-77755.pdf AAER-3773 3-17240 2016-05-02 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled MaloneBailey, LLP Norris, Jay Phillip, CPA N/A 34-77756 https://www.sec.gov/litigation/suspensions/2016/34-77756.pdf 500-1 2016-05-03 Trading Suspension Trading Suspension Solarbrook Water and Power Corp. http://www.federalregister.gov/citation/81-FR-27180 81-FR-27180 34-77757 https://www.sec.gov/rules/final/2016/33-10075.pdf 33-10075 S7-12-14 2016-05-03 Final rule Final Rule Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act http://www.federalregister.gov/citation/81-FR-28689 81-FR-28689 34-77757A https://www.sec.gov/rules/final/2016/33-10075a.pdf 33-10075 S7-12-14 2016-12-21 Final rule; technical correction Final Rule Changes to Exchange Act Registration Requirements to Implement Title V and Title VI of the JOBS Act http://www.federalregister.gov/citation/81-FR-95458 81-FR-95458 34-77758 https://www.sec.gov/rules/sro/cboe/2016/34-77758.pdf SR-CBOE-2016-040 2016-05-03 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-28110 81-FR-28110 34-77759 https://www.sec.gov/litigation/suspensions/2016/34-77759.pdf 500-1 2016-05-04 Trading Suspension Trading Suspension Hondo Minerals Corp. EQCO2, Inc. Liberty Gold Corp. http://www.federalregister.gov/citation/81-FR-27488 81-FR-27488 34-77760 https://www.sec.gov/litigation/admin/2016/34-77760.pdf 3-17241 2016-05-04 Order Instituting Administrative Proceedings and Notice of Hearing AP Settled Liberty Gold Corp. EQCO2, Inc. Hondo Minerals Corp. N/A 34-77761 https://www.sec.gov/litigation/suspensions/2016/34-77761.pdf 500-1 2016-05-04 Trading Suspension Trading Suspension Giant Resources, Inc. Rush Exploration, Inc. http://www.federalregister.gov/citation/81-FR-27484 81-FR-27484 34-77762 https://www.sec.gov/litigation/admin/2016/34-77762.pdf 3-17242 2016-05-04 Order Instituting Adminstrative Proceedings and Notice of Hearing AP Settled Rush Exploration, Inc. Giant Resources, Inc. N/A 34-77763 https://www.sec.gov/litigation/admin/2016/34-77763.pdf 3-17081 2016-05-04 Notice that Initial Decision has Become Final Notice Six Diamond Resorts International Simplayer.com Ltd. RSL Communications Ltd. Zimtu Technologies, Inc. N/A 34-77764 https://www.sec.gov/litigation/admin/2016/34-77764.pdf 3-17222 2016-05-04 Order Making Findings and Revoking Registration As to CelLynx Group, Inc. AP Settled CelLynx Group, Inc. N/A 34-77765 https://www.sec.gov/rules/sro/nasdaq/2016/34-77765.pdf SR-NASDAQ-2016-033 2016-05-04 Notice / Amendment No. 1 / Order Accelerating Relating to the Exchange's Offering of Remote ITCH to Trade Options Wave Ports SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-28908 81-FR-28908 34-77766 https://www.sec.gov/litigation/opinions/2016/33-10076.pdf 33-10076 IC-32104 3-16318 2016-05-04 Order Denying Petition to Reject Division's Cross-Petition for Review as Untimely, Granting the Division's Cross-Petition, and Setting a Briefing Schedule Order Clug, Alexandre S. N/A 34-77767 https://www.sec.gov/litigation/admin/2016/34-77767.pdf 3-17113 2016-05-05 Notice That Initial Decision Has Become Final Notice Wentworth IV, Inc. Zylorain, Inc. Wentworth VIII, Inc. Wentworth V, Inc. Xtreme Healthcare Corporation Wentworth VII, Inc. Wentworth VI, Inc. White Horse Resources, Inc. N/A 34-77768 https://www.sec.gov/litigation/admin/2016/34-77768.pdf 3-17243 2016-05-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Asenjo, Stalin Antonio N/A 34-77769 https://www.sec.gov/rules/sro/icc/2016/34-77769.pdf SR-ICC-2016-003 2016-05-05 Order / Approved to Revise the ICC Operational Risk Management Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-29312 81-FR-29312 34-77770 https://www.sec.gov/rules/sro/bats/2016/34-77770.pdf SR-BATS-2016-16 2016-05-05 Notice / Designation of Longer Period for Commission Action to List and Trade Shares of the Pointbreak Diversified Commodity Strategy Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares as Modified by Amendment Nos. 1 and 2 SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-29311 81-FR-29311 34-77771 https://www.sec.gov/rules/sro/icc/2016/34-77771.pdf SR-ICC-2016-007 2016-05-05 Notice / to Revise the ICC End-of-Day Price Discovery Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-29309 81-FR-29309 34-77772 https://www.sec.gov/litigation/opinions/2016/34-77772.pdf IA-4382 IC-32108 3-16463 2016-05-05 Order Denying Motion to Sever Order Osunkwo, David I. Strategic Consulting Advisors, LLC N/A 34-77773 https://www.sec.gov/litigation/opinions/2016/33-10077.pdf 33-10077 3-15619 2016-05-05 Opinion Opinion Doxey, Joseph P. N/A 34-77774 https://www.sec.gov/litigation/suspensions/2016/34-77774.pdf 500-1 2016-05-06 Trading Suspension Trading Suspension Code Rebel Corporation http://www.federalregister.gov/citation/81-FR-28907 81-FR-28907 34-77775 https://www.sec.gov/litigation/suspensions/2016/34-77775.pdf 500-1 2016-05-06 Trading Suspension Trading Suspension Striper Energy, Inc. http://www.federalregister.gov/citation/81-FR-28929 81-FR-28929 34-77776 https://www.sec.gov/rules/proposed/2016/34-77776.pdf IA-4383 S7-07-16 2016-05-06 Proposed rule Proposed Rule Incentive-based Compensation Arrangements http://www.federalregister.gov/citation/81-FR-37670 81-FR-37670 34-77777 https://www.sec.gov/rules/sro/miax/2016/34-77777.pdf SR-MIAX-2016-09 2016-05-06 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-29603 81-FR-29603 34-77778 https://www.sec.gov/rules/sro/box/2016/34-77778.pdf SR-BOX-2016-21 2016-05-06 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-29584 81-FR-29584 34-77779 https://www.sec.gov/rules/exorders/2016/34-77779.pdf TP 16-06 2016-05-06 Order / Granting Limited Exemptions from Exchange Act rule 10b-17 and rules 101 and 102 of Regulation M Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Order IQ Leaders GTAA Tracker ETF IQ Leaders Bond Allocation Tracker ETF IndexIQ ETF Trust IZ Enhanced Core Bond U.S. ETF IQ Enhanced Core Plus Bond U.S. ETF http://www.federalregister.gov/citation/81-FR-29588 81-FR-29588 34-77780 https://www.sec.gov/rules/sro/batsedgx/2016/34-77780.pdf SR-BATSEDGX-2016-13 2016-05-06 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-29598 81-FR-29598 34-77781 https://www.sec.gov/rules/sro/nasdaq/2016/34-77781.pdf SR-NASDAQ-2016-064 2016-05-06 Notice / Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-29590 81-FR-29590 34-77782 https://www.sec.gov/rules/sro/nyse/2016/34-77782.pdf SR-NYSEARCA-2016-25 SR-NYSEMKT-2016-20 SR-NYSE-2016-14 2016-05-06 Order / Amending and Restating the Fifth Amended and Restated Bylaws of the Exchanges' Ultimate Parent Company, Intercontinental Exchange, Inc., to Implement Proxy Access SRO Filing NYSE Arca, Inc. NYSE MKT LLC New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-29600 81-FR-29600 34-77783 https://www.sec.gov/litigation/suspensions/2016/34-77783.pdf 500-1 2016-05-09 Trading Suspension Trading Suspension Midwest Oil and Gas, Inc. http://www.federalregister.gov/citation/81-FR-29309 81-FR-29309 34-77784 https://www.sec.gov/rules/sro/batsbzx/2016/34-77784.pdf SR-BATSBZX-2016-14 2016-05-09 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-29932 81-FR-29932 34-77785 https://www.sec.gov/rules/sro/chx/2016/34-77785.pdf SR-CHX-2016-06 2016-05-09 Notice / Immediate Effectiveness to Amend its Schedule of Fees and Assessments to Modify and Clarify Certain Fees Applicable to CHX Institutional Brokers SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-29936 81-FR-29936 34-77786 https://www.sec.gov/rules/sro/finra/2016/34-77786.pdf SR-FINRA-2016-014 2016-05-09 Notice / Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-29929 81-FR-29929 34-77787 https://www.sec.gov/rules/pcaob/2016/34-77787.pdf PCAOB-2016-01 2016-05-09 Order / to Require Disclosure of Certain Audit Participants on a New PCAOB Form and Related Amendments to Auditing Standards Order Public Company Accounting Oversight Board http://www.federalregister.gov/citation/81-FR-29925 81-FR-29925 34-77788 https://www.sec.gov/litigation/admin/2016/34-77788.pdf 3-17133 2016-05-10 Order Making Findings and Revoking Registration of Securities AP Settled TexStar Oil Corporation and Bonamour, Inc. N/A 34-77789 https://www.sec.gov/rules/sro/batsbzx/2016/34-77789.pdf SR-BATSBZX-2016-12 2016-05-10 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-30372 81-FR-30372 34-77790 https://www.sec.gov/rules/sro/batsbyx/2016/34-77790.pdf SR-BATSBYX-2016-06 2016-05-10 Notice / Immediate Effectiveness to amend Rule 11.13, Order Execution and Routing, to Delete the IOCM and ICMT Routing Options SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-30360 81-FR-30360 34-77791 https://www.sec.gov/rules/sro/batsedgx/2016/34-77791.pdf SR-BATSEDGX-2016-14 2016-05-10 Notice / Immediate Effectiveness to Adopt Exchange Rule 11.22(a) to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGX Exchange, Inc. f/k/a EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-30375 81-FR-30375 34-77792 https://www.sec.gov/rules/sro/batsedga/2016/34-77792.pdf SR-BATSEDGA-2016-08 2016-05-10 Notice / Immediate Effectiveness to Adopt Exchange Rule 11.21(a) to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGA Exchange, Inc. f/k/a EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-30397 81-FR-30397 34-77793 https://www.sec.gov/rules/sro/batsbyx/2016/34-77793.pdf SR-BATSBYX-2016-07 2016-05-10 Notice / Immediate Effectiveness to Adopt Exchange Rule 11.27(a) to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. f.k.a BATS Y-Exchange, Inc. http://www.federalregister.gov/citation/81-FR-30366 81-FR-30366 34-77794 https://www.sec.gov/rules/sro/ise/2016/34-77794.pdf SR-ISE-2016-11 2016-05-10 Notice / Relating to a Corporate Transaction Involving Its Indirect Parent SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-30351 81-FR-30351 34-77795 https://www.sec.gov/rules/sro/isegemini/2016/34-77795.pdf SR-ISEGEMINI-2016-05 2016-05-10 Notice / Relating to a Corporate Transaction Involving Its Indirect Parent SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-30386 81-FR-30386 34-77796 https://www.sec.gov/rules/sro/isemercury/2016/34-77796.pdf SR-ISEMERCURY-2016-10 2016-05-10 Notice / Relating to a Corporate Transaction Involving Its Indirect Parent SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-30403 81-FR-30403 34-77797 https://www.sec.gov/rules/sro/batsbzx/2016/34-77797.pdf SR-BATSBZX-2016-13 2016-05-10 Notice / Immediate Effectiveness to Rule 11.13, Order Execution and Routing, to Delete References to the TRIM3 Routing Option SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-30373 81-FR-30373 34-77798 https://www.sec.gov/rules/sro/finra/2016/34-77798.pdf SR-FINRA-2016-010 2016-05-10 Order / to Adopt FINRA Rule 4554, Alternative Trading Systems - Recording and Reporting Requirements of Order and Execution Information for NMS Stocks SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-30395 81-FR-30395 34-77799 https://www.sec.gov/rules/sro/bx/2016/34-77799.pdf SR-BX-2016-024 2016-05-10 Notice / Immediate Effectiveness to Modify the Maximum Number of Times an Order on BX May Be Updated Before the System Cancels the Order SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-30363 81-FR-30363 34-77800 https://www.sec.gov/rules/sro/nasdaq/2016/34-77800.pdf SR-NASDAQ-2016-065 2016-05-10 Notice / Immediate Effectiveness to Adopt a New Limit Up-Limit Down Pricing Program Under Rule 7014 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-30381 81-FR-30381 34-77801 https://www.sec.gov/rules/sro/phlx/2016/34-77801.pdf SR-PHLX-2016-55 2016-05-10 Notice / Immediate Effectiveness to Modify the Maximum Number of Times an Order on PSX May Be Updated Before the System Cancels the Order SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-30362 81-FR-30362 34-77802 https://www.sec.gov/litigation/admin/2016/34-77802.pdf 3-17246 2016-05-10 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Ruehle, Greg N/A 34-77803 https://www.sec.gov/litigation/opinions/2016/33-10078.pdf 33-10078 IC-32112 3-15514 2016-05-10 Order Denying Request to Reduce Agreed Disgorgement Amount Order Feldmann, Richard D. N/A 34-77804 https://www.sec.gov/litigation/suspensions/2016/34-77804.pdf 500-1 2016-05-11 Trading Suspension Trading Suspension PetroHunter Energy Corp. Li-ion Motors Corp. (a/k/a Terra Inventions Corp.) Shrink Nanotechnologies, Inc. http://www.federalregister.gov/citation/81-FR-29924 81-FR-29924 34-77805 https://www.sec.gov/litigation/admin/2016/34-77805.pdf 3-17247 2016-05-11 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Shrink Nanotechnologies, Inc. PetroHunter Energy Corp. Li-ion Motors Corp. (a/k/a Terra Inventions Corp.) N/A 34-77806 https://www.sec.gov/litigation/admin/2016/34-77806.pdf 3-17248 2016-05-11 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Luve Sports, Inc. GroveWare Technologies Ltd. Northcore Technologies, Inc. N/A 34-77807 https://www.sec.gov/litigation/suspensions/2016/34-77807.pdf 500-1 2016-05-11 Trading Suspension Trading Suspension GroveWare Technologies Ltd. Northcore Technologies, Inc. Luve Sports, Inc. http://www.federalregister.gov/citation/81-FR-29928 81-FR-29928 34-77808 https://www.sec.gov/rules/sro/nysemkt/2016/34-77808.pdf SR-NYSEMKT-2016-51 2016-05-11 Notice / Immediate Effectiveness to Amend Rule 98 - Equities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-30589 81-FR-30589 34-77809 https://www.sec.gov/rules/sro/iceeu/2016/34-77809.pdf SR-ICEEU-2016-006 2016-05-11 Notice / Immediate Effectiveness Relating to Accounts Categories for Positions of Clearing Member Affiliates SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-30575 81-FR-30575 34-77810 https://www.sec.gov/rules/sro/batsedga/2016/34-77810.pdf SR-BATSEDGA-2016-07 2016-05-11 Notice / Immediate Effectiveness to Rule 11.11, Routing to Away Trading Centers, to Delete the IOCM and ICMT Routing Options SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-30578 81-FR-30578 34-77811 https://www.sec.gov/rules/sro/phlx/2016/34-77811.pdf SR-PHLX-2016-57 2016-05-11 Notice / Immediate Effectiveness Related to Customer Rebates SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-30573 81-FR-30573 34-77812 https://www.sec.gov/rules/sro/nyse/2016/34-77812.pdf SR-NYSE-2016-34 2016-05-11 Notice / Immediate Effectiveness Amending Its Price List to Make a Clarifying Change Regarding the Rebate Program Recently Implemented by the Exchange for the NYSE Bonds System SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-30594 81-FR-30594 34-77813 https://www.sec.gov/rules/sro/batsedgx/2016/34-77813.pdf SR-BATSEDGX-2016-15 2016-05-11 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equity Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-30580 81-FR-30580 34-77814 https://www.sec.gov/rules/sro/nysemkt/2016/34-77814.pdf SR-NYSEMKT-2016-50 2016-05-11 Notice / Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-30583 81-FR-30583 34-77815 https://www.sec.gov/litigation/opinions/2016/34-77815.pdf 3-17250 2016-05-11 Order Requesting Additional Written Submissions Order Striper Energy, Inc. N/A 34-77816 https://www.sec.gov/litigation/admin/2016/34-77816.pdf 3-12114 2016-05-12 Order Approving Plan of Distribution Order American Express Financial Corporation (n/k/a Amerprise Financial, Inc.) 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N/A 34-77826 https://www.sec.gov/litigation/admin/2016/34-77826.pdf IA-4386 3-17251 2016-05-12 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Blount, John Steven N/A 34-77827 https://www.sec.gov/litigation/admin/2016/34-77827.pdf 3-17026 2016-05-13 Notice That Initial Decision Has Become Final Notice Easylink Information Technology Co., Ltd. N/A 34-77828 https://www.sec.gov/litigation/admin/2016/34-77828.pdf 3-17114 2016-05-13 Notice That Initial Decision Has Become Final Notice US WATS Inc. Shelby Acquisition I, Inc. (n/k/a Phoenix Capital Source, Inc.) Shelby Acquisition II, Inc. Shelby Acquisition IV, Inc. Shelby Acquisition III, Inc. Shearson Financial Network, Inc. Western Hemisphere Investments Corporation Whirlwind Marketing, Inc. 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North Pacific GeoPower Corp. Northern Canadian Uranium Inc. (f/k/a Northern Canadian Minerals Inc.) Digiblue Media, Inc. New World Batteries, Inc. 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Garden Bay International, Ltd. N/A 34-77865 https://www.sec.gov/litigation/admin/2016/34-77865.pdf 3-17116 2016-05-20 Notice That Initial Decision Has Become Final Notice Ves Ventures & Holdings, Inc. (A/K/A Helios Energia, Inc. A/K/A Accelerated Acquistions XXI, Inc.) China Rongxin Chemical Holding Group, Inc. N/A 34-77866 https://www.sec.gov/litigation/admin/2016/34-77866.pdf 3-17255 2016-05-20 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Bodisen Biotech, Inc. China Global Media, Inc. GFR Pharmaceuticals, Inc. China Heli Resource Renewable, Inc. N/A 34-77867 https://www.sec.gov/litigation/suspensions/2016/34-77867.pdf 500-1 2016-05-20 Trading Suspension Trading Suspension China Global Media, Inc. GFR Pharmaceuticals, Inc. China Heli Resource Renewable, Inc. 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Gimmeabid.com, Inc. (A/K/A Gimmeabid.com Inc.) DE Acquisition 5, Inc. 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Amendment No. 3 / Order Accelerating to List and Trade of Shares of the JPMorgan Diversified Alternative ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-35101 81-FR-35101 34-77905 https://www.sec.gov/rules/sro/batsedgx/2016/34-77905.pdf SR-BATSEDGX-2016-19 2016-05-25 Notice / Immediate Effectiveness to Rule 11.7, Opening Process SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-35099 81-FR-35099 34-77906 https://www.sec.gov/rules/sro/batsedga/2016/34-77906.pdf SR-BATSEDGA-2016-10 2016-05-25 Notice / Immediate Effectiveness to Rule 11.7, Opening Process SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-35075 81-FR-35075 34-77907 https://www.sec.gov/rules/sro/ise/2016/34-77907.pdf SR-ISE-2016-14 2016-05-25 Notice / Immediate Effectiveness to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-35079 81-FR-35079 34-77908 https://www.sec.gov/rules/sro/phlx/2016/34-77908.pdf SR-PHLX-2016-59 2016-05-25 Notice / Immediate Effectiveness Related to PIXL Pricing SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-35094 81-FR-35094 34-77909 https://www.sec.gov/rules/sro/nysearca/2016/34-77909.pdf SR-NYSEARCA-2016-15 2016-05-25 Notice / Designation of Longer Period for Commission Action to Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-35079 81-FR-35079 34-77910 https://www.sec.gov/rules/sro/nysemkt/2016/34-77910.pdf SR-NYSEMKT-2016-13 2016-05-25 Notice / Designation of Longer Period for Commission Action to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-35098 81-FR-35098 34-77911 https://www.sec.gov/rules/sro/nysemkt/2016/34-77911.pdf SR-NYSEMKT-2016-42 2016-05-25 Notice / Designation of Longer Period for Commission Action to Amend Rule 952NY with Respect to Opening Trading in an Options Series SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-35115 81-FR-35115 34-77912 https://www.sec.gov/rules/sro/nysearca/2016/34-77912.pdf SR-NYSEARCA-2016-49 2016-05-25 Notice / Designation of Longer Period for Commission Action to Amend Rule 6.64 with Respect to Opening Trading in an Options Series SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-35105 81-FR-35105 34-77913 https://www.sec.gov/rules/sro/nasdaq/2016/34-77913.pdf SR-NASDAQ-2016-074 2016-05-25 Notice / Immediate Effectiveness to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-35081 81-FR-35081 34-77914 https://www.sec.gov/rules/sro/bx/2016/34-77914.pdf SR-BX-2016-028 2016-05-25 Notice / Immediate Effectiveness to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-35106 81-FR-35106 34-77915 https://www.sec.gov/rules/sro/batsbzx/2016/34-77915.pdf SR-BATSBZX-2016-19 2016-05-25 Notice / Immediate Effectiveness to Rule 11.24, Opening Process for Non-BZX-Listed Securities SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-35069 81-FR-35069 34-77916 https://www.sec.gov/rules/sro/phlx/2016/34-77916.pdf SR-PHLX-2016-38 2016-05-25 Notice / Immediate Effectiveness to Amend Rules 900.1, 910, and 921 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-35074 81-FR-35074 34-77917 https://www.sec.gov/rules/sro/nms/2016/34-77917.pdf 4-668 2016-05-25 Notice / Immediate Effectiveness / Amendment No. 3 / to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options E SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/81-FR-35072 81-FR-35072 34-77918 https://www.sec.gov/rules/sro/batsbyx/2016/34-77918.pdf SR-BATSBYX-2016-10 2016-05-25 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-35078 81-FR-35078 34-77919 https://www.sec.gov/rules/sro/batsbyx/2016/34-77919.pdf SR-BATSBYX-2016-09 2016-05-25 Notice / Immediate Effectiveness to Rule 11.23, Opening Process SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-35116 81-FR-35116 34-77920 https://www.sec.gov/rules/sro/nysearca/2016/34-77920.pdf SR-NYSEARCA-2016-46 2016-05-25 Order / to List and Trade Shares of the AdvisorShares Cornerstone Small Cap ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-35086 81-FR-35086 34-77921 https://www.sec.gov/litigation/opinions/2016/34-77921.pdf 3-16768 2016-05-25 Order Granting Stay Order McCune, Michael Earl N/A 34-77922 https://www.sec.gov/litigation/admin/2016/33-10082.pdf 33-10082 IC-32126 3-17260 2016-05-25 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Day, Christopher American Registrar & Transfer Company N/A 34-77923 https://www.sec.gov/rules/sro/finra/2016/34-77923.pdf SR-FINRA-2016-016 2016-05-26 Notice / Immediate Effectiveness to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-35432 81-FR-35432 34-77924 https://www.sec.gov/litigation/admin/2016/34-77924.pdf 3-16786 2016-05-26 Order Appointing Tax Administrator Order Bankrate, Inc. N/A 34-77925 https://www.sec.gov/rules/sro/nysearca/2016/34-77925.pdf SR-NYSEARCA-2016-78 2016-05-26 Notice / Immediate Effectiveness to Amend the NYSE Arca Equities Schedule of Fees Effective June 1, 2016 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-35412 81-FR-35412 34-77926 https://www.sec.gov/rules/sro/cboe/2016/34-77926.pdf SR-CBOE-2016-045 2016-05-26 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-35421 81-FR-35421 34-77927 https://www.sec.gov/rules/sro/isegemini/2016/34-77927.pdf SR-ISEGEMINI-2015-17 2016-05-26 Notice / Designation of Longer Period for Commission Action to Amend Rule 804(g) for Commission Action SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-35411 81-FR-35411 34-77928 https://www.sec.gov/rules/sro/ise/2016/34-77928.pdf SR-ISE-2015-30 2016-05-26 Notice / Designation of Longer Period for Commission Action to Amend Rule 804(g) for Commission Action SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-35407 81-FR-35407 34-77929 https://www.sec.gov/rules/sro/nyse/2016/34-77929.pdf SR-NYSE-2016-36 2016-05-26 Notice / Immediate Effectiveness Amending its Price List SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-35406 81-FR-35406 34-77930 https://www.sec.gov/rules/sro/nyse/2016/34-77930.pdf SR-NYSE-2016-38 2016-05-26 Notice / Immediate Effectiveness to Amend Rule 130 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-35410 81-FR-35410 34-77931 https://www.sec.gov/rules/sro/isemercury/2016/34-77931.pdf SR-ISEMERCURY-2016-07 2016-05-26 Order / Related to Market Wide Risk Protection SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-35405 81-FR-35405 34-77932 https://www.sec.gov/litigation/opinions/2016/34-77932.pdf 3-15761 2016-05-26 Order Vacating Nationally Recognized Statistical Rating Organization and Advisor Bars Order Tripodi, Michael A. N/A 34-77933 https://www.sec.gov/litigation/opinions/2016/34-77933.pdf IA-4397 3-15405 2016-05-26 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Musich, Ronald N/A 34-77934 https://www.sec.gov/rules/sro/nysearca/2016/34-77934.pdf SR-NYSEARCA-2016-80 2016-05-26 Notice / Immediate Effectiveness Amending NYSE Arca Equities Rule 7.31P(e) Regarding ALO Orders SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-35415 81-FR-35415 34-77935 https://www.sec.gov/litigation/opinions/2016/34-77935.pdf 3-14981 2016-05-26 Order Vacating Nationally Recognizied Statistical Rating Organization and Municipal Bars Order Mandell, Ross N/A 34-77936 https://www.sec.gov/litigation/opinions/2016/34-77936.pdf 3-15765 2016-05-26 Order Vacating Nationally Recognizied Statistical Rating Organization and Municipal Bars Order Neves, Fabrizio D. N/A 34-77937 https://www.sec.gov/alj/aljdec/2016/34-77937.pdf 3-16712 2016-05-26 Notice That Initial Decision Has Become Final Notice De Charsonville, Gilles T. N/A 34-77938 https://www.sec.gov/rules/sro/occ/2016/34-77938.pdf SR-OCC-2016-007 2016-05-27 Notice / Related to The Options Clearing Corporation's Membership Approval Process SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-35402 81-FR-35402 34-77939 https://www.sec.gov/litigation/admin/2016/34-77939.pdf 3-17110 2016-05-27 Notice That Initial Decision Has Become Final Notice Disaster Preparedness Systems, Inc. Electric Moto Corp. Emo Corp. N/A 34-77940 https://www.sec.gov/litigation/admin/2016/34-77940.pdf 3-17149 2016-05-26 Notice That Initial Decision Has Become Final Notice Elsinore Capital II, Ltd EPS Solutions Corp. Free DA Connection Systems, Inc. (A/K/A Free DA Connection Services, Inc., A/K/A Earthshine International Ltd.) N/A 34-77941 https://www.sec.gov/rules/sro/nysearca/2016/34-77941.pdf SR-NYSEARCA-2016-63 2016-05-27 Notice / Relating to the Listing and Trading of Shares of BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-35425 81-FR-35425 34-77942 https://www.sec.gov/rules/exorders/2016/34-77942.pdf TP 16-8 2016-05-27 Order / Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Order SPDR Series Trust SPDR Dorsey Wright Fixed Income Allocation ETF http://www.federalregister.gov/citation/81-FR-35423 81-FR-35423 34-77943 https://www.sec.gov/rules/sro/iceeu/2016/34-77943.pdf SR-ICEEU-2016-004 2016-05-27 Notice / Amendment No. 1 / Order Relating to Additions to Permitted Cover SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-35401 81-FR-35401 34-77944 https://www.sec.gov/litigation/opinions/2016/34-77944.pdf 3-14949 2016-05-27 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Vaughn, Charles M. N/A 34-77945 https://www.sec.gov/litigation/opinions/2016/34-77945.pdf 3-15605 2016-05-27 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Raspa, Charles M. N/A 34-77946 https://www.sec.gov/litigation/opinions/2016/34-77946.pdf IA-4403 3-15376 2016-05-27 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Cotellessa-Pitz, Enrica N/A 34-77947 https://www.sec.gov/rules/sro/nysearca/2016/34-77947.pdf SR-NYSEARCA-2016-76 2016-05-31 Notice / Immediate Effectiveness Implementing the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-36361 81-FR-36361 34-77948 https://www.sec.gov/rules/other/2016/34-77948.pdf 2016-12 2016-05-31 Order Determining Whistleblower Award Claim Order Redacted N/A 34-77949 https://www.sec.gov/rules/sro/nysemkt/2016/34-77949.pdf SR-NYSEMKT-2016-56 2016-05-31 Notice / Immediate Effectiveness Implementing the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program Submitted to the Commission Pursuant to Rule 608 of Regulation NMS under the Act SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-36367 81-FR-36367 34-77950 https://www.sec.gov/rules/sro/nyse/2016/34-77950.pdf SR-NYSE-2016-30 2016-05-31 Notice / Designation of Longer Period for Commission Action Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-36357 81-FR-36357 34-77951 https://www.sec.gov/rules/sro/nysemkt/2016/34-77951.pdf SR-NYSEMKT-2016-49 2016-05-31 Notice / Designation of a Longer Period for Commission Action Amending the Definition of "Block" for Purposes of Rule 72(d) - Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-36367 81-FR-36367 34-77952 https://www.sec.gov/rules/sro/nysearca/2016/34-77952.pdf SR-NYSEARCA-2016-83 2016-05-31 Notice / Immediate Effectiveness to Reflect a Change to the Benchmark Index Applicable to the WisdomTree Managed Futures Strategy Fund SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-36357 81-FR-36357 34-77953 https://www.sec.gov/litigation/admin/2016/34-77953.pdf 3-17266 2016-05-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Citizens Community Bancorp, Inc. China VantagePoint Acquisition Co. Solis Pharma US, Inc. N/A 34-77954 https://www.sec.gov/litigation/opinions/2016/34-77954.pdf IA-4407 3-14951 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Daifotis, Kimon P. N/A 34-77955 https://www.sec.gov/litigation/opinions/2016/34-77955.pdf IA-4408 3-14963 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Madoff, Peter B. N/A 34-77956 https://www.sec.gov/rules/sro/cfe/2016/34-77956.pdf SR-CFE-2016-001 2016-06-01 Notice / Regarding the Reporting Time for Exchange of Contract for Related Position Transactions and Block Trades that Involve Trade at Settlement Transactions SRO Filing CBOE Futures Exchange, LLC http://www.federalregister.gov/citation/81-FR-36637 81-FR-36637 34-77957 https://www.sec.gov/rules/sro/miax/2016/34-77957.pdf SR-MIAX-2016-12 2016-06-01 Notice / Immediate Effectiveness to Amend Exchange Rule 506 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-36635 81-FR-36635 34-77958 https://www.sec.gov/rules/sro/batsbzx/2016/34-77958.pdf SR-BATSBZX-2016-01 2016-06-01 Notice / Designation of a Longer Period for Commission Action to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of Market Vectors ETF Trust: Market Vectors 6-8 Year Municipal Index ETF; Market Vectors 8-12 Year Municipal Index ET SRO Filing BatsBZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-36627 81-FR-36627 34-77959 https://www.sec.gov/litigation/admin/2016/34-77959.pdf IA-4411 3-17267 2016-06-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Blackstreet Capital Management, LLC Gunty, Murry N. N/A 34-77960 https://www.sec.gov/rules/sro/batsbzx/2016/34-77960.pdf SR-BATSBZX-2016-20 2016-06-01 Notice / Immediate Effectiveness to Amend Rule 14.13, Company Listing Fees SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-36632 81-FR-36632 34-77961 https://www.sec.gov/rules/sro/c2/2016/34-77961.pdf SR-C2-2016-005 2016-06-01 Notice / Relating to Senior Management Authority SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-36639 81-FR-36639 34-77962 https://www.sec.gov/rules/sro/cboe/2016/34-77962.pdf SR-CBOE-2016-047 2016-06-01 Notice / Relating to Senior Management Authority SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-36641 81-FR-36641 34-77963 https://www.sec.gov/rules/sro/finra/2016/34-77963.pdf SR-FINRA-2016-017 2016-06-01 Notice / Immediate Effectiveness to Amend FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-36628 81-FR-36628 34-77964 https://www.sec.gov/litigation/opinions/2016/33-10084.pdf 33-10084 IA-4412 IC-32137 3-14404 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Deru, Terry M. N/A 34-77965 https://www.sec.gov/litigation/opinions/2016/34-77965.pdf 3-14698 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Hall, Charles Mark N/A 34-77966 https://www.sec.gov/litigation/opinions/2016/34-77966.pdf 3-14069 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisors Bars Order Bellia, Robert A., Jr. N/A 34-77967 https://www.sec.gov/litigation/admin/2016/33-10085.pdf 33-10085 AAER-3776 3-17268 2016-06-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Starrett, Jane E., CPA N/A 34-77968 https://www.sec.gov/litigation/admin/2016/34-77968.pdf 3-17269 2016-06-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Medoff, Craig N/A 34-77969 https://www.sec.gov/rules/interim/2016/34-77969.pdf S7-09-16 2016-06-01 Interim final rule; request for comment Unknown Form 10-K Summary http://www.federalregister.gov/citation/81-FR-37132 81-FR-37132 34-77970 https://www.sec.gov/rules/sro/phlx/2016/34-77970.pdf SR-PHLX-2016-60 2016-06-01 Notice / Immediate Effectiveness to Amend Rule 1000A(b)(8) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-36646 81-FR-36646 34-77971 https://www.sec.gov/litigation/admin/2016/34-77971.pdf 3-17270 2016-06-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Albert Fried & Company, LLC N/A 34-77972 https://www.sec.gov/litigation/admin/2016/34-77972.pdf 3-17271 2016-06-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Halperin, Jack H. N/A 34-77973 https://www.sec.gov/rules/sro/nysemkt/2016/34-77973.pdf SR-NYSEMKT-2016-57 2016-06-02 Notice / Immediate Effectiveness Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-36975 81-FR-36975 34-77974 https://www.sec.gov/rules/sro/nysearca/2016/34-77974.pdf SR-NYSEARCA-2016-77 2016-06-02 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-36981 81-FR-36981 34-77975 https://www.sec.gov/rules/sro/nyse/2016/34-77975.pdf SR-NYSE-2016-39 2016-06-02 Notice / Immediate Effectiveness Amending the Exchange's Price List to Eliminate Certain Services that are No Longer Utilized by Users and to Remove Obsolete Text SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-36973 81-FR-36973 34-77976 https://www.sec.gov/rules/sro/nyse/2016/34-77976.pdf SR-NYSE-2016-11 2016-06-02 Notice / Designation of a Longer Period for Commission Action, to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Price List to Reflect the Changes SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-36981 81-FR-36981 34-77977 https://www.sec.gov/rules/sro/nysearca/2016/34-77977.pdf SR-NYSEARCA-2016-19 2016-06-02 Notice / Designation of a Longer Period for Commission Action to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Fee Schedule to Reflect the Changes SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-36967 81-FR-36967 34-77978 https://www.sec.gov/rules/sro/nysemkt/2016/34-77978.pdf SR-NYSEMKT-2016-15 2016-06-02 Notice / Designation of a Longer Period for Commission Action to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location Section of the Fee Schedule to Reflect the Changes SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-36966 81-FR-36966 34-77979 https://www.sec.gov/litigation/admin/2016/33-10087.pdf 33-10087 3-17273 2016-06-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Stoecklein, Donald J., Esq. N/A 34-77980 https://www.sec.gov/litigation/admin/2016/34-77980.pdf 3-16398 2016-06-02 Second Extension Order Order Dyche, Sandra N/A 34-77981 https://www.sec.gov/litigation/admin/2016/34-77981.pdf 3-17275 2016-06-02 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Koifman, Steve N/A 34-77982 https://www.sec.gov/rules/sro/icc/2016/34-77982.pdf SR-ICC-2016-005 2016-06-02 Notice / Amendment No. 1 / Order to Update and Formalize the ICC Stress Testing Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-36979 81-FR-36979 34-77983 https://www.sec.gov/rules/sro/miax/2016/34-77983.pdf SR-MIAX-2016-15 2016-06-02 Notice / Immediate Effectiveness to Amend Exchange Rule 1015, Disciplinary Functions SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-36965 81-FR-36965 34-77984 https://www.sec.gov/litigation/opinions/2016/34-77984.pdf 3-16912 2016-06-02 Opinion Opinion Butler, Joseph R. N/A 34-77985 https://www.sec.gov/litigation/admin/2016/34-77985.pdf 3-16575 2016-06-02 Second Extension Order Order Wakefield, Paul Mancuso, Michael Laphen, Michael Banks, Wayne Computer Sciences Corporation Zilmer, Claus N/A 34-77986 https://www.sec.gov/litigation/admin/2016/34-77986.pdf 3-17123 2016-06-03 Notice That Initial Decision Has Become Final Notice Mentergy Ltd. (a/k/a Gilat Communications Ltd.) Market Data Consultants, Inc. Nu Energy Inc. Mid-Am Systems, Inc. N/A 34-77987 https://www.sec.gov/litigation/admin/2016/34-77987.pdf 3-17151 2016-06-03 Notice That Initial Decision Has Become Final Notice Yang Holding Company Reid, Joseph Denard (a/k/a Reid Joseph Denard) Shared 1, Inc. Westview Acquisition Corp. Wi-Net Communications Inc. Vanport Acquisition I, Corp. Wisdom Holdings, Inc. Youngheart Production Holding Co, Inc. N/A 34-77988 https://www.sec.gov/rules/sro/ficc/2016/34-77988.pdf SR-FICC-2016-001 2016-06-03 Order / Relating to the GCF Repo® Service SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-37220 81-FR-37220 34-77989 https://www.sec.gov/rules/sro/miax/2016/34-77989.pdf SR-MIAX-2016-13 2016-06-03 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-37219 81-FR-37219 34-77990 https://www.sec.gov/rules/sro/nscc/2016/34-77990.pdf SR-NSCC-2016-001 2016-06-03 Order / to Remove from the DTCC Limit Monitoring Tool the 50% Early Warning Limit Alert and Make Technical Revisions to the Rules SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-37229 81-FR-37229 34-77991 https://www.sec.gov/rules/sro/dtc/2016/34-77991.pdf SR-DTC-2016-003 2016-06-03 Notice / Pursuant to Which It Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-37232 81-FR-37232 34-77992 https://www.sec.gov/rules/sro/nysearca/2016/34-77992.pdf SR-NYSEARCA-2016-79 2016-06-03 Notice / Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-37222 81-FR-37222 34-77993 https://www.sec.gov/litigation/opinions/2016/34-77993.pdf 3-16050 2016-06-03 Order Vacating Bar Order Order Litvak, Jesse C. N/A 34-77994 https://www.sec.gov/litigation/opinions/2016/34-77994.pdf 3-17254 2016-06-03 Order Denying Stay Order Meyers Associates, L.P. Meyers, Bruce N/A 34-77995 https://www.sec.gov/rules/sro/chx/2016/34-77995.pdf SR-CHX-2016-07 2016-06-06 Notice / Immediate Effectiveness to Adopt Business Continuity Plan Requirements for Participants SRO Filing Chicago Stock Exchange, Inc, http://www.federalregister.gov/citation/81-FR-37656 81-FR-37656 34-77996 https://www.sec.gov/rules/sro/nyse/2016/34-77996.pdf SR-NYSE-2016-22 2016-06-06 Notice / Designation of Longer Period for Commission Action to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopt Listing Fees Specific to Equity Investment Tracking Stocks SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-37659 81-FR-37659 34-77997 https://www.sec.gov/litigation/admin/2016/34-77997.pdf AAER-3777 3-17277 2016-06-06 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Kobylarek, David A., CPA Silberstein Ungar PLLC Gorback, Seth A. Ungar, Joel M., CPA Silberstein, Ronald N., CPA N/A 34-77998 https://www.sec.gov/alj/aljdec/2016/34-77998.pdf 3-17043 2016-06-06 Notice That Initial Decision Has Become Final Notice Crawford, Paul D. N/A 34-77999 https://www.sec.gov/litigation/admin/2016/34-77999.pdf 3-17144 2016-06-07 Notice That Initial Decision Has Become Final Notice Millennium Direct, Inc. Med-Zone Biotechnologies Acquisition, Inc. N/A 34-78000 https://www.sec.gov/rules/sro/nysemkt/2016/34-78000.pdf SR-NYSEMKT-2016-58 2016-06-07 Notice / Relating to Amendments to NYSE MKT Rules 1600 et seq. and to Changes to the Names and Operation of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-38232 81-FR-38232 34-78001 https://www.sec.gov/rules/sro/phlx/2016/34-78001.pdf SR-PHLX-2016-63 2016-06-07 Notice / Immediate Effectiveness to a Proposal to Relocate and Update the Existing Provisions of Rule 1080.07 to New Rule 1098 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-38246 81-FR-38246 34-78002 https://www.sec.gov/litigation/admin/2016/34-78002.pdf 3-16846 2016-06-07 Second Extension Order Order UBS Financial Services Incorporated of Puerto Rico N/A 34-78003 https://www.sec.gov/rules/sro/nysearca/2016/34-78003.pdf SR-NYSEARCA-2015-93 2016-06-07 Notice / Designation of Longer Period for Commission Action Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-38258 81-FR-38258 34-78004 https://www.sec.gov/rules/sro/phlx/2016/34-78004.pdf SR-PHLX-2016-61 2016-06-07 Notice / Immediate Effectiveness to Amend Certain Rules Governing Trading of Index Options SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-38230 81-FR-38230 34-78005 https://www.sec.gov/rules/sro/bats/2016/34-78005.pdf SR-BATS-2015-100 2016-06-07 Notice / Amendment No. 5 / to Amend Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-38247 81-FR-38247 34-78006 https://www.sec.gov/litigation/admin/2016/34-78006.pdf 3-16852 2016-06-07 Extension Order Order Jiang, Jason Focus Media Holding Limited N/A 34-78007 https://www.sec.gov/litigation/admin/2016/33-10089.pdf 33-10089 AAER-3778 3-16729 2016-06-07 Order Making Findings and Imposing Remedial Sanctions AP Settled Boyd, Paul W., CPA N/A 34-78008 https://www.sec.gov/litigation/admin/2016/33-10090.pdf 33-10090 AAER-3779 3-16729 2016-06-07 Order Making Findings and Imposing Remedial Sanctions AP Settled Hall, David M. N/A 34-78009 https://www.sec.gov/litigation/admin/2016/33-10091.pdf 33-10091 AAER-3780 3-16729 2016-06-07 Order Making Findings and Imposing Remedial Sanctions AP Settled Vogt, III, Carlton, W., CPA N/A 34-78010 https://www.sec.gov/litigation/admin/2016/33-10092.pdf 33-10092 AAER-3781 3-17112 2016-06-07 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Suen, Miranda, CPA Frazer Frost, LLP Woo, Susan, CPA N/A 34-78011 https://www.sec.gov/rules/final/2016/34-78011.pdf S7-03-11 2016-06-08 Final Rule Final Rule Trade Acknowledgment and Verification of Security-Based Swap Transactions http://www.federalregister.gov/citation/81-FR-39808 81-FR-39808 34-78012 https://www.sec.gov/rules/sro/c2/2016/34-78012.pdf SR-C2-2016-007 2016-06-08 Notice / Immediate Effectiveness Relating to the Penny Pilot Program SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-38753 81-FR-38753 34-78013 https://www.sec.gov/rules/sro/cboe/2016/34-78013.pdf SR-CBOE-2016-048 2016-06-08 Notice / Immediate Effectiveness Relating to the Penny Pilot Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-38758 81-FR-38758 34-78014 https://www.sec.gov/rules/sro/nasdaq/2016/34-78014.pdf SR-NASDAQ-2016-035 2016-06-08 Notice / Amendment No. 1 / Order Accelerating to Establish Secondary Contingency Procedures for the Exchange's Closing Cross SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-38755 81-FR-38755 34-78015 https://www.sec.gov/rules/sro/nyse/2016/34-78015.pdf SR-NYSEMKT-2016-31 SR-NYSE-2016-18 2016-06-08 Notice / Amendment No. 1 / Order Accelerating to Provide for How the Exchanges Would Determine an Official Closing Price if the Exchanges are Unable to Conduct a Closing Transaction SRO Filing NYSE MKT LLC New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-38747 81-FR-38747 34-78016 https://www.sec.gov/rules/sro/nysearca/2016/34-78016.pdf SR-NYSEARCA-2015-110 2016-06-08 Notice / Amendment No. 6 to Amend NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-38759 81-FR-38759 34-78017 https://www.sec.gov/litigation/admin/2016/34-78017.pdf AAER-3782 3-17278 2016-06-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Years, Ronald J. Doody, Donald S. IEC Electronics Corp. N/A 34-78018 https://www.sec.gov/litigation/opinions/2016/34-78018.pdf 3-17250 2016-06-08 Order Granting Request to Withdraw Petition for Termination of Trading Suspension and Dismissing Proceeding Order Striper Energy, Inc. N/A 34-78019 https://www.sec.gov/litigation/opinions/2016/34-78019.pdf 3-17226 2016-06-08 Order Directing the Filing of Briefs Order Wanger, Eric David N/A 34-78020 https://www.sec.gov/litigation/admin/2016/34-78020.pdf IA-4414 3-17279 2016-06-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Marsh, Galen J. N/A 34-78021 https://www.sec.gov/litigation/admin/2016/34-78021.pdf IA-4415 3-17280 2016-06-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Morgan Stanley Smith Barney LLC N/A 34-78022 https://www.sec.gov/litigation/admin/2016/34-78022.pdf 3-17282 2016-06-08 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Parallax Diagnostics, Inc. Eric B. Global Ventures, Inc. Secure Digital, Inc. N/A 34-78023 https://www.sec.gov/rules/sro/miax/2016/34-78023.pdf SR-MIAX-2016-14 2016-06-08 Notice / Immediate Effectiveness to Adopt Exchange Rule 519C, Mass Cancellation of Trading Interest SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-38751 81-FR-38751 34-78024 https://www.sec.gov/rules/sro/box/2016/34-78024.pdf SR-BOX-2016-23 2016-06-09 Notice / Immediate Effectiveness to Amend the Fee Schedule to Make Non-Substantive Clerical Amendments SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-39092 81-FR-39092 34-78025 https://www.sec.gov/rules/other/2016/34-78025.pdf 2016-13 2016-06-09 Order Determining WhistleBlower Award Claim Order Redacted N/A 34-78026 https://www.sec.gov/rules/sro/finra/2016/34-78026.pdf SR-FINRA-2016-018 2016-06-09 Notice / to Amend FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-39081 81-FR-39081 34-78027 https://www.sec.gov/rules/sro/phlx/2016/34-78027.pdf SR-PHLX-2016-64 2016-06-09 Notice / Immediate Effectiveness to Amend the Exchange's Pricing Schedule under Section VIII SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-39078 81-FR-39078 34-78028 https://www.sec.gov/litigation/admin/2016/34-78028.pdf 3-16852 2016-06-09 Order Appointing Tax Administrator Order Jiang, Jason Focus Media Holding Limited N/A 34-78029 https://www.sec.gov/rules/sro/nysemkt/2016/34-78029.pdf SR-NYSEMKT-2016-45 2016-06-09 Suspension / Order Instituting Proceedings to Approve or Disapprove to Modify the NYSE Amex Options Fee Schedule with Respect to Fees, Rebates, and Credits for Transactions in the Customer Best Execution Auction SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-39089 81-FR-39089 34-78030 https://www.sec.gov/litigation/admin/2016/34-78030.pdf AAER-3783 3-17283 2016-06-10 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled ICON Capital LLC (f/k/a ICON Capital Corporation N/A 34-78031 https://www.sec.gov/rules/sro/dtc/2016/34-78031.pdf SR-DTC-2016-004 2016-06-10 Notice / to Establish a Link With Euroclear SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-39303 81-FR-39303 34-78032 https://www.sec.gov/rules/sro/batsbzx/2016/34-78032.pdf SR-BATSBZX-2016-23 2016-06-10 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39307 81-FR-39307 34-78033 https://www.sec.gov/litigation/admin/2016/34-78033.pdf 3-11359 2016-06-10 Order Directing Disbursement of Fair Fund Order Alliance Capital Management, LP N/A 34-78034 https://www.sec.gov/rules/sro/batsbzx/2016/34-78034.pdf SR-BATSBZX-2016-25 2016-06-10 Notice / Immediate Effectiveness to Rule 11.24, Opening Process for Non-BZX-Listed Securities SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39296 81-FR-39296 34-78035 https://www.sec.gov/rules/sro/batsbyx/2016/34-78035.pdf SR-BATSBYX-2016-13 2016-06-10 Notice / Immediate Effectiveness to Rule 11.23, Opening Process SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39294 81-FR-39294 34-78036 https://www.sec.gov/rules/sro/bx/2016/34-78036.pdf SR-BX-2016-021 2016-06-10 Notice / Immediate Effectiveness to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-39308 81-FR-39308 34-78037 https://www.sec.gov/rules/sro/nasdaq/2016/34-78037.pdf SR-NASDAQ-2016-052 2016-06-10 Notice / Immediate Effectiveness Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-39299 81-FR-39299 34-78038 https://www.sec.gov/rules/sro/batsedga/2016/34-78038.pdf SR-BATSEDGA-2016-13 2016-06-10 Notice / Immediate Effectiveness to Rule 11.7, Opening Process SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39301 81-FR-39301 34-78039 https://www.sec.gov/rules/sro/batsedgx/2016/34-78039.pdf SR-BATSEDGX-2016-24 2016-06-10 Notice / Immediate Effectiveness to Rule 11.7, Opening Process SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39310 81-FR-39310 34-78040 https://www.sec.gov/rules/other/2016/34-78040.pdf 265-29 2016-06-10 Notice of telephonic meeting Notice Equity Market Structure Advisory Committee Meeting http://www.federalregister.gov/citation/81-FR-39306 81-FR-39306 34-78041 https://www.sec.gov/rules/exorders/2016/34-78041.pdf NO FILE NUMBER 2016-06-13 Order Order Order Granting Limited and Conditional Exemption Under Section 36(a) of the Securities Exchange Act of 1934 from Compliance with Interactive Data File Exhibit Requirement in Forms 6-K, 8-K, 10-Q, 10-K, 20-F and 40-F to Facilitate Inline Filing of Tagged F http://www.federalregister.gov/citation/81-FR-39741 81-FR-39741 34-78042 https://www.sec.gov/litigation/admin/2016/34-78042.pdf 3-17285 2016-06-13 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled American Life, Inc. Liebman, Henry G. N/A 34-78043 https://www.sec.gov/litigation/admin/2016/33-10094.pdf 33-10094 IC-32144 3-16978 2016-06-13 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Finelilne Trading Group LLC Afshar, Shahryar Afshar, Behruz Kenny, Richard F., IV Makino Capital LLC N/A 34-78044 https://www.sec.gov/rules/final/2016/33-10095.pdf 33-10095 39-2510 IC-32145 NO FILE NUMBER 2016-06-13 Final Rule Final Rule Adoption of EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-43047 81-FR-43047 34-78045 https://www.sec.gov/rules/sro/iceeu/2016/34-78045.pdf SR-ICEEU-2016-008 2016-06-13 Notice / Immediate Effectiveness Relating to Clearance of Containerised White Sugar Futures Contracts SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-39729 81-FR-39729 34-78046 2016-06-13 INTENTIONALLY OMITTED 34-78047 https://www.sec.gov/rules/sro/nasdaq/2016/34-78047.pdf SR-NASDAQ-2016-077 2016-06-13 Notice / Immediate Effectiveness to Eliminate Certain Fees Charged to Securities Listed on Nasdaq Under the Rule 5700 Series SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-39736 81-FR-39736 34-78048 https://www.sec.gov/rules/sro/nsx/2016/34-78048.pdf SR-NSX-2016-03 2016-06-13 Notice / Immediate Effectiveness to Amend its Fee and Rebate Schedule to Adopt a Market Data Revenue Sharing Program SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39727 81-FR-39727 34-78049 https://www.sec.gov/litigation/opinions/2016/34-78049.pdf IA-4420 IC-32146 3-15141 2016-06-13 Opinion Opinion Swanson, Kevin Timothy Riad, Mohammed N/A 34-78049A https://www.sec.gov/litigation/opinions/2016/34-78049a.pdf IA-4420 IC-32146 3-15141 2016-07-07 Opinion Opinion Swanson, Kevin Timothy Riad, Mohammed N/A 34-78050 https://www.sec.gov/rules/sro/nasdaq/2016/34-78050.pdf SR-NASDAQ-2016-081 2016-06-13 Notice / Immediate Effectiveness to Eliminate the Limited WebLink ACT or Nasdaq Workstation Post Trade Fee Tier under Rule 7015(e) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-39724 81-FR-39724 34-78051 https://www.sec.gov/rules/sro/nasdaq/2016/34-78051.pdf SR-NASDAQ-2016-078 2016-06-13 Notice / Immediate Effectiveness to Amend Fees Assessed Under Rule 7015(h) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-39739 81-FR-39739 34-78052 https://www.sec.gov/rules/sro/batsedgx/2016/34-78052.pdf SR-BATSEDGX-2016-22 2016-06-13 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/81-FR-39731 81-FR-39731 34-78053 https://www.sec.gov/litigation/admin/2016/34-78053.pdf 3-17287 2016-06-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hsieh, Anthony Wang, Chet Keygent LLC N/A 34-78054 https://www.sec.gov/litigation/admin/2016/34-78054.pdf IC-32147 3-17288 2016-06-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled School Business Consulting, Inc. Bradley, Terrance N/A 34-78055 https://www.sec.gov/rules/sro/icc/2016/34-78055.pdf SR-ICC-2016-008 2016-06-13 Notice / Order Accelerating to Revise the ICC Clearing Rules SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-39743 81-FR-39743 34-78056 https://www.sec.gov/rules/sro/occ/2016/34-78056.pdf SR-OCC-2016-004 2016-06-13 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove Related to the Adoption of an Options Exchange Risk Control Standards Policy SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-39732 81-FR-39732 34-78057 https://www.sec.gov/rules/sro/nyse/2016/34-78057.pdf SR-NYSE-2016-31 2016-06-13 Notice / Amending NYSE Rule 6A to Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-39722 81-FR-39722 34-78058 https://www.sec.gov/litigation/opinions/2016/34-78058.pdf 3-16913R 2016-06-13 Order Scheduling Briefs Order AutoChina International Limited, aka Fincera Inc. N/A 34-78059 https://www.sec.gov/litigation/suspensions/2016/34-78059.pdf 500-1 2016-06-14 Trading Suspension Trading Suspension Enterprise Energy, Inc. http://www.federalregister.gov/citation/81-FR-39298 81-FR-39298 34-78060 https://www.sec.gov/rules/sro/phlx/2016/34-78060.pdf SR-PHLX-2016-47 2016-06-14 Notice / Immediate Effectiveness Relating to Extension of the Exchange's Penny Pilot Program and Replacement of Penny Pilot Issues That Have Been Delisted SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-39979 81-FR-39979 34-78061 https://www.sec.gov/rules/sro/batsbzx/2016/34-78061.pdf SR-BATSBZX-2016-22 2016-06-14 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39972 81-FR-39972 34-78062 https://www.sec.gov/rules/sro/batsedgx/2016/34-78062.pdf SR-BATSEDGX-2016-21 2016-06-14 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equity Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-39981 81-FR-39981 34-78063 https://www.sec.gov/rules/sro/nasdaq/2016/34-78063.pdf SR-NASDAQ-2016-056 2016-06-14 Notice / Designation of a Longer Period for Commission Action Relating to the Listing and Trading of the Shares of the PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-39972 81-FR-39972 34-78064 https://www.sec.gov/rules/sro/bx/2016/34-78064.pdf SR-BX-2016-029 2016-06-14 Notice / Immediate Effectiveness to Amend Rule 7018(a) SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-39984 81-FR-39984 34-78065 https://www.sec.gov/rules/sro/nysearca/2016/34-78065.pdf SR-NYSEARCA-2016-85 2016-06-14 Notice / Immediate Effectiveness Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-39976 81-FR-39976 34-78066 https://www.sec.gov/litigation/opinions/2016/34-78066.pdf 3-15764 2016-06-14 Opinion Opinion McDuff, Gary L. N/A 34-78067 https://www.sec.gov/litigation/suspensions/2016/34-78067.pdf 500-1 2016-06-15 Trading Suspension Trading Suspension MIT Holding, Inc. http://www.federalregister.gov/citation/81-FR-39738 81-FR-39738 34-78068 https://www.sec.gov/litigation/admin/2016/34-78068.pdf 3-17291 2016-06-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated MIT Holding, Inc. N/A 34-78069 https://www.sec.gov/litigation/suspensions/2016/34-78069.pdf 500-1 2016-06-15 Trading Suspension Trading Suspension Echo Automotive, Inc. Cascade Technologies Corp. Vision Industries Corp. http://www.federalregister.gov/citation/81-FR-39726 81-FR-39726 34-78070 https://www.sec.gov/litigation/admin/2016/34-78070.pdf 3-17292 2016-06-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Echo Automotive, Inc. Vision Industries Corp. Cascade Technologies Corp. N/A 34-78071 https://www.sec.gov/litigation/admin/2016/34-78071.pdf 3-16876 2016-06-15 Notice That Initial Decision Has Become Final Notice Aksanov, Efim N/A 34-78072 https://www.sec.gov/litigation/admin/2016/34-78072.pdf 3-17175 2016-06-15 Notice That Initial Decision Has Become Final Notice Freedom Bancshares, Inc. Concertsbyu.com, Inc. Metamorphix Inc. N/A 34-78073 https://www.sec.gov/litigation/admin/2016/34-78073.pdf 3-17293 2016-06-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated UNR Holdings, Inc. Advanced Life Sciences Holdings, Inc. Emperial Americas, Inc. Nord Resources Corporation Anoteros, Inc. N/A 34-78074 https://www.sec.gov/litigation/suspensions/2016/34-78074.pdf 500-1 2016-06-15 Trading Suspension Trading Suspension Advanced Life Sciences Holdings, Inc. Nord Resources Corporation UNR Holdings, Inc. Anoteros, Inc. Emperial Americas, Inc. http://www.federalregister.gov/citation/81-FR-39740 81-FR-39740 34-78075 https://www.sec.gov/rules/sro/nysearca/2016/34-78075.pdf SR-NYSEARCA-2016-84 2016-06-15 Notice / to List and Trade Shares of the Global Currency Gold Fund under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-40381 81-FR-40381 34-78076 https://www.sec.gov/rules/sro/nysearca/2016/34-78076.pdf SR-NYSEARCA-2016-86 2016-06-15 Notice / Immediate Effectiveness to Amend the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-40379 81-FR-40379 34-78077 https://www.sec.gov/litigation/admin/2016/34-78077.pdf 3-17290 2016-06-14 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled Alton Partners, Inc. 2 West, Inc. Kakids, Inc. Bloomfield, Inc. Katz, Todd B. Katz Imports, Inc. Old Farm, Inc. Mijust, Inc. N/A 34-78078 https://www.sec.gov/rules/sro/nasdaq/2016/34-78078.pdf SR-NASDAQ-2016-064 2016-06-15 Notice / Designation of a Longer Period for Commission Action Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-40377 81-FR-40377 34-78079 https://www.sec.gov/rules/sro/batsbzx/2016/34-78079.pdf SR-BATSBZX-2016-09 2016-06-15 Notice / Designation of a Longer Period for Commission Action to Rule 14.11, Managed Fund Shares, to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-40381 81-FR-40381 34-78080 https://www.sec.gov/rules/sro/miax/2016/34-78080.pdf SR-MIAX-2016-16 2016-06-15 Notice / Immediate Effectiveness to Amend Exchange Rule 510 to Extend the Penny Pilot Program until December 31, 2016 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-40377 81-FR-40377 34-78081 https://www.sec.gov/rules/sro/finra/2016/34-78081.pdf SR-FINRA-2015-036 2016-06-15 Notice / Amendment No. 3 / Order Accelerating to Amend FINRA Rule 4210 (Margin Requirements) to Establish Margin Requirements for the TBA Market, as Modified by Amendment Nos. 1, 2, and 3 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-40364 81-FR-40364 34-78082 https://www.sec.gov/litigation/admin/2016/33-10096.pdf 33-10096 IA-4424 IC-32149 3-15737 2016-06-15 Order Scheduling Oral Argument Order Gonnella, Thomas C. N/A 34-78083 https://www.sec.gov/litigation/admin/2016/34-78083.pdf 3-17296 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Post, David L. N/A 34-78084 https://www.sec.gov/litigation/admin/2016/34-78084.pdf IA-4425 3-17297 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Rosenberg, Jonathan E. N/A 34-78085 https://www.sec.gov/litigation/admin/2016/34-78085.pdf IA-4426 3-17298 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Gardner, Clark S. N/A 34-78086 https://www.sec.gov/rules/proposed/2016/33-10098.pdf 33-10098 S7-10-16 2016-06-16 Proposed rule Proposed Rule Modernization of Property Disclosures for Mining Registrants http://www.federalregister.gov/citation/81-FR-41652 81-FR-41652 34-78087 https://www.sec.gov/litigation/admin/2016/34-78087.pdf IA-4430 3-17301 2016-06-16 Order Instituting Administrative Proceedings, Making findings, and Imposing Remedial Sanctions AP Settled Bansal, Rohit N/A 34-78088 https://www.sec.gov/rules/final/2016/33-10099.pdf 33-10099 S7-08-10 2016-06-16 Technical Amendment Final Rule Asset-Backed Securities Disclosure and Registration http://www.federalregister.gov/citation/81-FR-40511 81-FR-40511 34-78089 https://www.sec.gov/rules/sro/nasdaq/2016/34-78089.pdf SR-NASDAQ-2016-083 2016-06-16 Notice / Immediate Effectiveness to Amend Rules 7018(a) and 7014(h) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-40736 81-FR-40736 34-78090 https://www.sec.gov/rules/sro/c2/2016/34-78090.pdf SR-C2-2016-008 2016-06-16 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-40739 81-FR-40739 34-78091 https://www.sec.gov/rules/sro/phlx/2016/34-78091.pdf SR-PHLX-2016-41 2016-06-16 Notice / Immediate Effectiveness to Make Clarifying Amendments To and Remove Obsolete Language From Rules 1053 and 1056 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-40734 81-FR-40734 34-78092 https://www.sec.gov/litigation/admin/2016/34-78092.pdf 3-17302 2016-06-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Pivotal Group, Inc. Essential Telecommunications, Inc. New Day Financial Management, Inc. Medisys Technologies, Inc. N/A 34-78093 https://www.sec.gov/litigation/opinions/2016/34-78093.pdf 3-16285 2016-06-16 Opinion Opinion Electronic Transaction Clearing, Inc. Cloyd, Harvey C., Jr. Murphy, Kevin N/A 34-78094 https://www.sec.gov/rules/sro/finra/2016/34-78094.pdf SR-FINRA-2016-014 2016-06-17 Order / Relating to Composition, Terms of Members and Election Procedures for the National Adjudicatory Council SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-40932 81-FR-40932 34-78095 https://www.sec.gov/litigation/admin/2016/34-78095.pdf 3-17226 2016-06-17 Extension Order Order Wanger, Eric David N/A 34-78096 https://www.sec.gov/litigation/admin/2016/34-78096.pdf 3-17303 2016-06-17 Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension AP Litigated Jones, Gregory G. N/A 34-78097 https://www.sec.gov/litigation/admin/2016/34-78097.pdf 3-17304 2016-06-17 Order of Forthwith Suspension Order Jones, Gregory G. N/A 34-78098 https://www.sec.gov/litigation/opinions/2016/33-10100.pdf 33-10100 IA-4431 IC-32152 3-15446 2016-06-17 Opinion Opinion Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A 34-78099 https://www.sec.gov/litigation/admin/2016/33-10101.pdf 33-10101 IA-4432 IC-32153 3-15617 2016-06-17 Order Scheduling Oral Argument Order Grossman, Larry C. N/A 34-78100 https://www.sec.gov/litigation/admin/2016/34-78100.pdf 3-15429 2016-06-17 Order Approving Amended Plan of Distribution Order North East Capital, LLC Vicidomine, Anthony T. N/A 34-78101 https://www.sec.gov/rules/other/2016/34-78101.pdf 10-222 2016-06-17 Findings, Opinion, and Order of the Commission Final Rule Investors' Exchange, LLC http://www.federalregister.gov/citation/81-FR-41142 81-FR-41142 34-78102 https://www.sec.gov/rules/interp/2016/34-78102.pdf S7-03-16 2016-06-17 Final Rule Final Rule Commission Interpretation Regarding Automated Quotations Under Regulation NMS http://www.federalregister.gov/citation/81-FR-40785 81-FR-40785 34-78103 https://www.sec.gov/rules/sro/nasdaq/2016/34-78103.pdf SR-NASDAQ-2016-089 2016-06-20 Notice / Immediate Effectiveness to Options Pricing at Chapter XV, Section 2 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-41359 81-FR-41359 34-78104 https://www.sec.gov/rules/sro/bats/2016/34-78104.pdf SR-BATS-2016-16 2016-06-20 Order / Approving to List and Trade Shares of the Pointbreak Diversified Commodity Strategy Fund of the Pointbreak ETF Trust under BATS Rule 14.11(i), Managed Fund Shares SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-41355 81-FR-41355 34-78105 2016-06-20 INTENTIONALLY OMITTED 34-78106 https://www.sec.gov/rules/sro/nysemkt/2016/34-78106.pdf SR-NYSEMKT-2016-59 2016-06-20 Notice / Immediate Effectiveness Adopting New NYSE MKT Rules 2090 - Equities (Know Your Customer) and 2111 - Equities (Suitability) that are Substantially Similar to FINRA Rules 2090 (Know Your Customer) and 2111(Suitability), Deleting Current NYSE MKT Ru SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-41364 81-FR-41364 34-78107 https://www.sec.gov/rules/sro/bx/2016/34-78107.pdf SR-BX-2016-036 2016-06-21 Notice / Immediate Effectiveness to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Options Quoting and Trading Activity SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-41619 81-FR-41619 34-78108 https://www.sec.gov/rules/sro/nyse/2016/34-78108.pdf SR-NYSE-2016-42 2016-06-21 Notice / Immediate Effectiveness to Amend its Price List to Adopt a Fee Waiver and a Fee Cap Related to the Liquidity Provider Incentive Program on the NYSE BondsSM System SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-41636 81-FR-41636 34-78109 https://www.sec.gov/rules/sro/chx/2016/34-78109.pdf SR-CHX-2016-08 2016-06-21 Notice / Immediate Effectiveness Regarding Fingerprinting SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-41641 81-FR-41641 34-78110 https://www.sec.gov/rules/sro/cboe/2016/34-78110.pdf SR-CBOE-2016-050 2016-06-21 Notice / Immediate Effectiveness Related to Order Marking SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-41626 81-FR-41626 34-78111 https://www.sec.gov/rules/sro/batsbzx/2016/34-78111.pdf SR-BATSBZX-2016-24 2016-06-21 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-41638 81-FR-41638 34-78112 https://www.sec.gov/rules/sro/batsedgx/2016/34-78112.pdf SR-BATSEDGX-2016-23 2016-06-21 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-41617 81-FR-41617 34-78113 https://www.sec.gov/litigation/admin/2016/34-78113.pdf AAER-3784 3-17305 2016-06-21 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Analogic Corporation Frost, Lars N/A 34-78114 https://www.sec.gov/litigation/admin/2016/34-78114.pdf 3-17306 2016-06-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Feltl & Company, Inc. N/A 34-78115 https://www.sec.gov/litigation/admin/2016/34-78115.pdf 3-17307 2016-06-21 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Galileo Petroleum Ltd. Hyperion Acquisition Corp. Satori Beverages International, Ltd. N/A 34-78116 https://www.sec.gov/rules/sro/phlx/2016/34-78116.pdf SR-PHLX-2016-69 2016-06-21 Notice / Immediate Effectiveness to Amend Exchange's Pricing Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-41629 81-FR-41629 34-78117 https://www.sec.gov/rules/sro/nysemkt/2016/34-78117.pdf SR-NYSEMKT-2016-60 2016-06-21 Notice / Immediate Effectiveness Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-41634 81-FR-41634 34-78118 https://www.sec.gov/litigation/admin/2016/34-78118.pdf 3-16836 2016-06-21 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Alternative Securities Markets Group Corp. Muehler, Steven J. Blue Coast Securities Corp., dba GlobalCrowdTV, Inc. and Blue Coast Banc N/A 34-78119 https://www.sec.gov/rules/sro/ise/2016/34-78119.pdf SR-ISE-2016-11 SR-ISEMERCURY-2016-10 SR-ISEGEMINI-2016-05 2016-06-21 Notice / Amendment No. 1 / Order Accelerating Relating to a Corporate Transaction in Which Nasdaq, Inc. Will Become the Indirect Parent of ISE, ISE Gemini, and ISE Mercury SRO Filing International Securities Exchange, LLC ISE Mercury, LLC ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-41611 81-FR-41611 34-78120 https://www.sec.gov/rules/sro/miax/2016/34-78120.pdf SR-MIAX-2016-17 2016-06-22 Notice / Immediate Effectiveness to Amend Exchange Rules 307 and 309 to Extend the SPY Pilot Program SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-42032 81-FR-42032 34-78121 https://www.sec.gov/rules/sro/batsedga/2016/34-78121.pdf SR-BATSEDGA-2016-12 2016-06-22 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-42027 81-FR-42027 34-78122 https://www.sec.gov/rules/sro/batsbyx/2016/34-78122.pdf SR-BATSBYX-2016-12 2016-06-22 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-42013 81-FR-42013 34-78123 https://www.sec.gov/rules/sro/nasdaq/2016/34-78123.pdf SR-NASDAQ-2016-084 2016-06-22 Notice / Immediate Effectiveness to Elimination of SPY Position Limits SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-42030 81-FR-42030 34-78124 https://www.sec.gov/rules/sro/phlx/2016/34-78124.pdf SR-PHLX-2016-68 2016-06-22 Notice / Immediate Effectiveness Relating to SPY Position Limits SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-42008 81-FR-42008 34-78125 https://www.sec.gov/rules/sro/bx/2016/34-78125.pdf SR-BX-2016-030 2016-06-22 Notice / Immediate Effectiveness to Elimination of SPY Position Limits SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-42009 81-FR-42009 34-78126 https://www.sec.gov/rules/sro/chx/2016/34-78126.pdf SR-CHX-2016-10 2016-06-22 Notice / Immediate Effectiveness to Amend the Institutional Broker Fee Cap and Credit SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-42022 81-FR-42022 34-78127 https://www.sec.gov/rules/other/2016/33-10102.pdf 33-10102 265-28 2016-06-22 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Notice Investor Advisory Committee Meeting http://www.federalregister.gov/citation/81-FR-41628 81-FR-41628 34-78127A https://www.sec.gov/rules/other/2016/33-10102a.pdf 33-10102 265-28 2016-07-06 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Notice Investor Advisory Committee Meeting http://www.federalregister.gov/citation/81-FR-44903 81-FR-44903 34-78128 https://www.sec.gov/litigation/admin/2016/34-78128.pdf IA-4433 IC-32158 3-17308 2016-06-22 Order Instituting Administrative and Cease-and-Desist Procedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders AP Settled Simpson, Mark C. Simpson Hughes Financial, LLC N/A 34-78129 https://www.sec.gov/rules/sro/phlx/2016/34-78129.pdf SR-PHLX-2016-67 2016-06-22 Notice / Immediate Effectiveness Relating to the Risk Monitor Mechanism SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-42024 81-FR-42024 34-78130 https://www.sec.gov/rules/sro/finra/2016/34-78130.pdf SR-FINRA-2016-019 2016-06-22 Notice / Immediate Effectiveness to Adopt NASD Rule 2830 as FINRA rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-42016 81-FR-42016 34-78131 https://www.sec.gov/rules/sro/cboe/2016/34-78131.pdf SR-CBOE-2016-052 2016-06-22 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 SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-42011 81-FR-42011 34-78132 https://www.sec.gov/rules/sro/cboe/2016/34-78132.pdf SR-CBOE-2016-046 2016-06-22 Notice / to Expand the Nonstandard Expirations Pilot Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-42018 81-FR-42018 34-78133 https://www.sec.gov/litigation/admin/2016/34-78133.pdf 3-16575 2016-06-22 Order Appointing Fund Plan Administrator and Setting Bond Amount Order Wakefield, Paul Banks, Wayne Computer Sciences Corporation Mancuso, Michael Laphen, Michael Zilmer, Claus N/A 34-78134 https://www.sec.gov/litigation/opinions/2016/34-78134.pdf 3-17211 2016-06-22 Order Dismissing Application for Review Order Guevara, Rogelio N/A 34-78135 https://www.sec.gov/litigation/suspensions/2016/34-78135.pdf 500-1 2016-06-23 Trading Suspension Trading Suspension Coastal Pacific Mining Corp. Petaquilla Minerals Ltd. http://www.federalregister.gov/citation/81-FR-41641 81-FR-41641 34-78136 https://www.sec.gov/litigation/admin/2016/34-78136.pdf 3-17309 2016-06-23 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Petaquilla Minerals Ltd. Coastal Pacific Mining Corp. N/A 34-78137 https://www.sec.gov/litigation/suspensions/2016/34-78137.pdf 500-1 2016-06-23 Trading Suspension Trading Suspension Logic Devices, Incorporated Caspian International Oil Corporation Elevate, Inc. Frawley Corporation Groen Brothers Aviation, Inc. http://www.federalregister.gov/citation/81-FR-41625 81-FR-41625 34-78138 https://www.sec.gov/litigation/admin/2016/34-78138.pdf 3-17310 2016-06-23 Order Instituting Administrative Proceedings and Notice of Hearing AP Settled Caspian International Oil Corporation Frawley Corporation Groen Brothers Aviation, Inc. Logic Devices, Incorporated Elevate, Inc. N/A 34-78139 https://www.sec.gov/litigation/suspensions/2016/34-78139.pdf 500-1 2016-06-23 Trading Suspension Trading Suspension Rebornne (USA) Inc. http://www.federalregister.gov/citation/81-FR-41629 81-FR-41629 34-78140 https://www.sec.gov/litigation/admin/2016/34-78140.pdf 3-17311 2016-06-23 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Rebornne (USA) Inc. N/A 34-78141 https://www.sec.gov/litigation/admin/2016/34-78141.pdf 3-17312 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Merrill Lynch, Pierce, Fenner & Smith, Inc. Merrill Lynch Professional Clearing Corp. N/A 34-78142 https://www.sec.gov/litigation/admin/2016/34-78142.pdf IA-4434 IC-32159 3-17313 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Tirrell, William N/A 34-78143 https://www.sec.gov/rules/sro/cfe/2016/34-78143.pdf SR-CFE-2016-002 2016-06-23 Notice / to Make Clarifying Updates to Prohibited Disruptive Trading Practices SRO Filing CBOE Futures Exchange, LLC http://www.federalregister.gov/citation/81-FR-42386 81-FR-42386 34-78144 https://www.sec.gov/rules/sro/icc/2016/34-78144.pdf SR-ICC-2016-007 2016-06-23 Notice / Designation of a Longer Period for Commission Action to Revise the ICC End-of-Day Price Discovery Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-42018 81-FR-42018 34-78145 https://www.sec.gov/litigation/admin/2016/34-78145.pdf AAER-3785 3-17134 2016-06-23 Order Making Findings and Imposing Remedial Sanctions AP Settled Quintanilla, Timothy, CPA N/A 34-78146 https://www.sec.gov/rules/sro/chx/2016/34-78146.pdf SR-CHX-2016-09 2016-06-23 Notice / Immediate Effectiveness to Adopt Rules to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Chicago Stock Exchange, Inc http://www.federalregister.gov/citation/81-FR-42380 81-FR-42380 34-78147 https://www.sec.gov/litigation/admin/2016/34-78147.pdf IA-4435 IC-32160 3-17315 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ross, Sinclaire & Associates, LLC Sinclaire, Murray, Jr. N/A 34-78148 https://www.sec.gov/litigation/suspensions/2016/34-78148.pdf 500-1 2016-06-24 Trading Suspension Trading Suspension Breitling Energy Company http://www.federalregister.gov/citation/81-FR-42022 81-FR-42022 34-78149 https://www.sec.gov/rules/sro/nasdaq/2016/34-78149.pdf SR-NASDAQ-2016-085 2016-06-24 Notice / Immediate Effectiveness to Allow Listed Companies Not Currently Subject to Nasdaq's All-Inclusive Annual Listing Fee To Opt In to That Fee Program For 2017 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-42388 81-FR-42388 34-78150 https://www.sec.gov/rules/sro/nasdaq/2016/34-78150.pdf SR-NASDAQ-2016-086 2016-06-24 Notice / to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-42768 81-FR-42768 34-78151 https://www.sec.gov/rules/sro/occ/2016/34-78151.pdf SR-OCC-2016-003 2016-06-24 Notice / Immediate Effectiveness Related to the Acceptance of Pass-Through Letters of Credit as a Form of Margin Asset SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-42777 81-FR-42777 34-78152 https://www.sec.gov/rules/sro/nysearca/2016/34-78152.pdf SR-NYSEARCA-2016-90 2016-06-24 Notice / Immediate Effectiveness to Temporarily Widen Price Collar Thresholds for the Core Open Auction and Trading Halt Auctions SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-42781 81-FR-42781 34-78153 https://www.sec.gov/rules/sro/nyse/2016/34-78153.pdf SR-NYSE-2016-22 2016-06-24 Order / Approval to Adopt Initial and Continued Listing Standards for the Listing of Equity Investment Tracking Stocks and Adopt Listing Fees Specific to Equity Investment Tracking Stocks SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-42762 81-FR-42762 34-78154 https://www.sec.gov/rules/sro/nyse/2016/34-78154.pdf SR-NYSE-2016-46 2016-06-24 Notice / Immediate Effectiveness for A Temporary Suspension of Those Aspects of Rules 36.20 and 36.21 that Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor Broker Telephone Servi SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-42766 81-FR-42766 34-78155 https://www.sec.gov/rules/sro/nysemkt/2016/34-78155.pdf SR-NYSEMKT-2016-64 2016-06-24 Notice / Immediate Effectiveness for A Temporary Suspension of Those Aspects of Rules 36.20 - Equities and 36.21 - Equities that Would Not Permit Floor Brokers to Use Personal Portable Phone Devices on the Trading Floor Due to the Unavailability of Floor SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-42779 81-FR-42779 34-78156 https://www.sec.gov/rules/interim/2016/33-10104.pdf 33-10104 IA-4437 IC-32162 S7-11-16 2016-06-27 Interim Final Rule; request for comment Final Rule Adjustments to Civil Monetary Penalty Amounts http://www.federalregister.gov/citation/81-FR-43042 81-FR-43042 34-78157 https://www.sec.gov/rules/sro/nysearca/2016/34-78157.pdf SR-NYSEARCA-2016-62 2016-06-27 Notice / Designation of a Longer Period for Commission Action Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-43327 81-FR-43327 34-78158 https://www.sec.gov/rules/other/2016/33-10105.pdf 33-10105 265-27 2016-06-27 Notice of Meeting. Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-42777 81-FR-42777 34-78159 https://www.sec.gov/litigation/admin/2016/34-78159.pdf 3-17316 2016-06-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Longwei Petroleum Investment Holding Limited N/A 34-78160 https://www.sec.gov/litigation/admin/2016/34-78160.pdf 3-17317 2016-06-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Catipay, James Anthony N/A 34-78161 https://www.sec.gov/rules/other/2016/34-78161.pdf NO FILE NUMBER 2016-06-27 Order Accelerating / Effectiveness of Notice Regarding Change of Method for Computing Deductions for Market and Credit Risk Order Barclays Capital Inc. N/A 34-78162 https://www.sec.gov/rules/sro/batsedga/2016/34-78162.pdf SR-BATSEDGA-2016-14 2016-06-27 Notice / Immediate Effectiveness to Rule 13.8(b) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43315 81-FR-43315 34-78163 https://www.sec.gov/rules/sro/batsedgx/2016/34-78163.pdf SR-BATSEDGX-2016-25 2016-06-27 Notice / Immediate Effectiveness to Rule 13.8(b) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43318 81-FR-43318 34-78164 https://www.sec.gov/rules/sro/batsbzx/2016/34-78164.pdf SR-BATSBZX-2016-27 2016-06-27 Notice / Immediate Effectiveness to Rule 11.22(j) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43295 81-FR-43295 34-78165 https://www.sec.gov/rules/sro/batsbyx/2016/34-78165.pdf SR-BATSBYX-2016-14 2016-06-27 Notice / Immediate Effectiveness to Rule 11.22(i) Identifying Certain Transactions as the Bats One Opening Price or the Bats One Closing Price SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43330 81-FR-43330 34-78166 https://www.sec.gov/litigation/admin/2016/33-10106.pdf 33-10106 3-17013 2016-06-27 Order Granting Extension to File Petition for Review Order Perres, Allen N/A 34-78167 https://www.sec.gov/rules/final/2016/34-78167.pdf S7-25-15 2016-06-27 Final Rule Final Rule Disclosure of Payments by Resource Extraction Issuers http://www.federalregister.gov/citation/81-FR-49360 81-FR-49360 34-78168 https://www.sec.gov/rules/proposed/2016/33-10107.pdf 33-10107 S7-12-16 2016-06-27 Proposed Rule Proposed Rule Amendments to Smaller Reporting Company Definition http://www.federalregister.gov/citation/81-FR-43130 81-FR-43130 34-78169 https://www.sec.gov/rules/other/2016/34-78169.pdf NO FILE NUMBER 2016-06-27 Order Order Order Recognizing the Resource Extraction Payment Disclosure Requirements of the European Union, Canada and the U.S. Extractive Industries Transparency Initiative as Substantially Similar to the Requirements of Rule 13q-1 under the Securities Exchange http://www.federalregister.gov/citation/81-FR-49163 81-FR-49163 34-78170 https://www.sec.gov/litigation/admin/2016/34-78170.pdf IA-4438 3-17318 2016-06-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mackaronis, Patrick G. N/A 34-78171 https://www.sec.gov/rules/sro/box/2016/34-78171.pdf SR-BOX-2016-25 2016-06-28 Notice / Immediate Effectiveness to Amend Rule 7150 (Price Improvement Period ("PIP")) to Establish the Quality Market Maker Allocation in a PIP Order SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-43322 81-FR-43322 34-78172 https://www.sec.gov/rules/sro/box/2016/34-78172.pdf SR-BOX-2016-24 2016-06-28 Notice / Immediate Effectiveness to Amend Rule 7260 by Extending the Penny Pilot Program Through December 31, 2016 SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-43325 81-FR-43325 34-78173 https://www.sec.gov/litigation/admin/2016/34-78173.pdf 3-15429 2016-06-28 Order Directing Disbursement of Fair Fund Order North East Capital, LLC Vicidomine, Anthony T. N/A 34-78174 https://www.sec.gov/rules/sro/nysearca/2016/34-78174.pdf SR-NYSEARCA-2016-88 2016-06-28 Notice / Immediate Effectiveness Amending Commentary .02 to Exchange Rule 6.72 in Order to Extend the Penny Pilot through December 31, 2016 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-43332 81-FR-43332 34-78175 https://www.sec.gov/rules/sro/nasdaq/2016/34-78175.pdf SR-NASDAQ-2016-088 2016-06-28 Notice / Immediate Effectiveness to Reduce the Fees for Certain Real Estate Investment Trusts Listed on Nasdaq SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-43328 81-FR-43328 34-78176 https://www.sec.gov/rules/sro/nysemkt/2016/34-78176.pdf SR-NYSEMKT-2016-61 2016-06-28 Notice / Immediate Effectiveness Amending Commentary .02 to NYSE Amex Options Rule 960NY in Order to Extend the Penny Pilot through December 31, 2016 SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-43320 81-FR-43320 34-78177 https://www.sec.gov/rules/sro/cboe/2016/34-78177.pdf SR-CBOE-2016-049 2016-06-28 Notice / Options that Overlie the FTSE Developed Europe Index and the FTSE Emerging Index, to Raise the Comprehensive Surveillance Agreement Percentage Applicable to Certain Index Options, and to Amend the Maintenance Listing Criteria Applicable to SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-43308 81-FR-43308 34-78178 https://www.sec.gov/rules/sro/byx/2016/34-78178.pdf SR-BYX-2012-019 2016-06-28 Order / Approval Extension to Limited Exemption From Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program SRO Filing BATS BYX-Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43689 81-FR-43689 34-78179 https://www.sec.gov/rules/sro/17d-2/2016/34-78179.pdf 4-700 2016-06-28 Notice / for the Allocation of Regulatory Responsibilities Between the Financial Industry Regulatory Authority, Inc. and the Investors' Exchange LLC Notice Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 http://www.federalregister.gov/citation/81-FR-43673 81-FR-43673 34-78180 https://www.sec.gov/rules/sro/batsbyx/2016/34-78180.pdf SR-BATSBYX-2016-15 2016-06-28 Notice / Immediate Effectiveness to Rule 11.24, Retail Price Improvement Program, to Extend the Pilot Period SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-43306 81-FR-43306 34-78181 https://www.sec.gov/rules/sro/nysearca/2016/34-78181.pdf SR-NYSEARCA-2016-44 2016-06-28 Notice / Amendment No. 1 / Order Accelerating to Add a New Discretionary Pegged Order SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-43297 81-FR-43297 34-78182 https://www.sec.gov/rules/sro/finra/2016/34-78182.pdf SR-FINRA-2016-020 2016-06-28 Notice / Immediate Effectiveness SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-43690 81-FR-43690 34-78183 https://www.sec.gov/litigation/opinions/2016/34-78183.pdf 3-17254 2016-06-28 Order Scheduling Briefs Order Meyers, Bruce Meyers Associates, L.P. N/A 34-78184 https://www.sec.gov/litigation/opinions/2016/34-78184.pdf 3-17262 2016-06-28 Order Scheduling Briefs Order MKM Partners LLC N/A 34-78185 https://www.sec.gov/litigation/admin/2016/33-10108.pdf 33-10108 IA-4440 IC-32165 3-17319 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Helen, Jan E. N/A 34-78186 https://www.sec.gov/rules/sro/msrb/2016/34-78186.pdf SR-MSRB-2016-08 2016-06-28 Notice / Immediate Effectiveness Relating to the Content Outline for the Municipal Advisor Representative Qualification Examination (Series 50) SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-43687 81-FR-43687 34-78187 https://www.sec.gov/rules/sro/c2/2016/34-78187.pdf SR-C2-2016-009 2016-06-28 Notice / Immediate Effectiveness Relating to Professionals Order Counting SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-43671 81-FR-43671 34-78188 https://www.sec.gov/rules/sro/nasdaq/2016/34-78188.pdf SR-NASDAQ-2016-082 2016-06-28 Notice / Immediate Effectiveness Relating to the Listing and Trading of the Shares of the AdvisorShares Market Adaptive Unconstrained Income ETF of the AdvisorShares Trust SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-43678 81-FR-43678 34-78189 https://www.sec.gov/litigation/admin/2016/34-78189.pdf IA-4441 3-17320 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled WFG Advisors, L.P. N/A 34-78190 https://www.sec.gov/litigation/admin/2016/34-78190.pdf 3-17191 2016-06-29 Notice That Initial Decision Has Become Final Notice Newcourt Holdings, Inc. GLX.com, Inc. (f/k/a American Environmental, Inc., a/k/a GLX, Inc.) Newbridge Mortgage Corp. Clubhouse Videos, Inc. Mortgage Shakers, Inc. N/A 34-78191 https://www.sec.gov/rules/sro/nysearca/2016/34-78191.pdf SR-NYSEARCA-2016-87 2016-06-29 Notice / Relating to Listing and Trading of Shares of First Trust Horizon Managed Volatility Domestic ETF and First Trust Horizon Managed Volatility Developed International ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-44056 81-FR-44056 34-78192 https://www.sec.gov/rules/sro/phlx/2016/34-78192.pdf SR-PHLX-2016-72 2016-06-29 Notice / Immediate Effectiveness Relating to Detection of Loss of Connection SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-44079 81-FR-44079 34-78193 https://www.sec.gov/rules/sro/batsbzx/2016/34-78193.pdf SR-BATSBZX-2016-28 2016-06-29 Notice / Immediate Effectiveness to Remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-44076 81-FR-44076 34-78194 https://www.sec.gov/rules/sro/batsbyx/2016/34-78194.pdf SR-BATSBYX-2016-16 2016-06-29 Notice / Immediate Effectiveness to Remove Interpretation and Policy .01 from Rule 11.13, Order Execution and Routing SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-44073 81-FR-44073 34-78195 https://www.sec.gov/rules/exorders/2016/34-78195.pdf TP 15-18 2016-06-29 Order / Limited Exemption from Rules 101(a) and 102(a) of Regulation M Order Bank of Montreal, et al. N/A 34-78196 https://www.sec.gov/rules/sro/finra/2016/34-78196.pdf SR-FINRA-2016-023 2016-06-29 Notice / to Increase Transparency For CMO Transactions SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-44065 81-FR-44065 34-78197 https://www.sec.gov/litigation/admin/2016/34-78197.pdf IA-4442 3-17321 2016-06-29 Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Weiss, Lee D. N/A 34-78198 https://www.sec.gov/rules/sro/nysemkt/2016/34-78198.pdf SR-NYSEMKT-2016-52 2016-06-30 Notice / Amending Rules 340, 341, and 359 to Extend the Time Within Which a Member or Member Organization or an ATP Holder Must File a Uniform Termination Notice for Securities Industry Registration SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-44363 81-FR-44363 34-78199 https://www.sec.gov/rules/sro/bx/2016/34-78199.pdf SR-BX-2016-035 2016-06-30 Notice / Immediate Effectiveness to the Professional Designation SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-44373 81-FR-44373 34-78200 https://www.sec.gov/rules/sro/nasdaq/2016/34-78200.pdf SR-NASDAQ-2016-091 2016-06-30 Notice / Immediate Effectiveness Relating to Professionals Order Counting SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-44349 81-FR-44349 34-78201 https://www.sec.gov/rules/sro/isegemini/2016/34-78201.pdf SR-ISEGEMINI-2016-06 2016-06-30 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-44393 81-FR-44393 34-78202 https://www.sec.gov/rules/sro/isemercury/2016/34-78202.pdf SR-ISEMERCURY-2016-12 2016-06-30 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-44377 81-FR-44377 34-78203 https://www.sec.gov/rules/sro/ise/2016/34-78203.pdf SR-ISE-2016-15 2016-06-30 Notice / Immediate Effectiveness to Extend the Penny Pilot Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-44404 81-FR-44404 34-78204 https://www.sec.gov/rules/sro/nysearca/2016/34-78204.pdf SR-NYSEARCA-2016-67 2016-06-30 Notice / Designation of a Longer Period for Commission Action to List and Trade Shares of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-44393 81-FR-44393 34-78205 https://www.sec.gov/rules/sro/icc/2016/34-78205.pdf SR-ICC-2016-009 2016-06-30 Notice / to Revise the ICC Treasury Operations Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-44357 81-FR-44357 34-78206 https://www.sec.gov/rules/sro/ficc/2016/34-78206.pdf SR-FICC-2016-002 2016-06-30 Order / to Suspend the Interbank Service of the GCF Repo® Service SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-44388 81-FR-44388 34-78207 https://www.sec.gov/rules/sro/nysearca/2016/34-78207.pdf SR-NYSEARCA-2016-70 2016-06-30 Notice / Designation of a Longer Period for Commission Action Regarding Use of Rule 144A Securities By the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-44338 81-FR-44338 34-78208 https://www.sec.gov/rules/sro/nasdaq/2016/34-78208.pdf SR-NASDAQ-2016-092 2016-06-30 Notice / Immediate Effectiveness to Provide a Process for an Expedited Suspension Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-44366 81-FR-44366 34-78209 https://www.sec.gov/litigation/opinions/2016/34-78209.pdf 3-16795 2016-06-30 Order Granting Petition for Review and Scheduling Briefs Order Fox, Joseph J. N/A 34-78210 https://www.sec.gov/litigation/admin/2016/34-78210.pdf 3-17322 2016-06-30 Order Instituting Administrative Proceedings, Making Findings and Imposing Remedial Sanctions AP Settled Ican Investment Group, LLC N/A 34-78211 https://www.sec.gov/litigation/admin/2016/34-78211.pdf 3-17323 2016-06-30 Order Instituting Administrative Proceedings, Making Findings and Imposing Remedial Sanctions AP Settled NFS Group, LLC d/b/a Novers Financial a/k/a Safe Retirement Experts N/A 34-78212 https://www.sec.gov/litigation/admin/2016/34-78212.pdf 3-17324 2016-06-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Speers Financial Group, LLC N/A 34-78213 https://www.sec.gov/litigation/admin/2016/34-78213.pdf 3-17325 2016-06-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Novinger, Christopher A. N/A 34-78214 https://www.sec.gov/litigation/admin/2016/34-78214.pdf 3-17326 2016-06-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Speers, Brady J. N/A 34-78215A https://www.sec.gov/rules/exorders/2016/34-78215a.pdf NO FILE NUMBER 2016-06-30 Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 Order Extending a Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 http://www.federalregister.gov/citation/81-FR-44337 81-FR-44337 34-78216 https://www.sec.gov/rules/other/2016/34-78216.pdf SBSDR-2016-02 2016-06-30 Notice Notice Security-Based Swap Data Repositores; DTCC Data Repository (US) LLC http://www.federalregister.gov/citation/81-FR-44379 81-FR-44379 34-78217 https://www.sec.gov/litigation/admin/2016/34-78217.pdf 3-17282 2016-07-01 Order Making Findings and Revoking Registration of Securities AP Settled Parallax Diagnostics, Inc. Secure Digital, Inc. Eric B. Global Ventures, Inc. N/A 34-78218 https://www.sec.gov/rules/sro/nysearca/2016/34-78218.pdf SR-NYSEARCA-2016-82 2016-07-01 Notice / to List and Trade Shares of the JPMorgan Diversified Event Driven ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-44339 81-FR-44339 34-78219 https://www.sec.gov/rules/sro/finra/2016/34-78219.pdf SR-FINRA-2016-024 2016-07-01 Notice / to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE)) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-44359 81-FR-44359 34-78220 https://www.sec.gov/rules/sro/finra/2016/34-78220.pdf SR-FINRA-2015-054 2016-07-01 Notice / Amendment No. 2 to Adopt FINRA Capital Acquisition Broker Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-44372 81-FR-44372 34-78221 https://www.sec.gov/rules/sro/batsedgx/2016/34-78221.pdf SR-BATSEDGX-2016-28 2016-07-01 Notice / Immediate Effectiveness to add Interpretation and Policy .01 to Rule 16.1 to Specify the Calculation Methodology for Counting Professional Orders SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-44353 81-FR-44353 34-78222 https://www.sec.gov/rules/sro/miax/2016/34-78222.pdf SR-MIAX-2016-18 2016-07-01 Notice / Immediate Effectiveness to Amend the MIAX Options Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-44390 81-FR-44390 34-78223 https://www.sec.gov/rules/sro/nasdaq/2016/34-78223.pdf SR-NASDAQ-2016-013 2016-07-01 Notice / Amendment No. 2 / Order Accelerating to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Board of Director's Members or Nominees SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-44400 81-FR-44400 34-78224 https://www.sec.gov/litigation/admin/2016/34-78224.pdf 3-14909 2016-07-01 Order Approving Application of Fund Administrator for Payment of Fees and Expenses Order Oppenheimerfunds, Inc Oppenheimerfunds Distributor, Inc. N/A 34-78225 https://www.sec.gov/rules/sro/nasdaq/2016/34-78225.pdf SR-NASDAQ-2016-072 2016-07-05 Notice / of Designation of Longer Period for Commission Action Relating to the Listing and Trading of the Shares of the Amplify Dow Theory Forecasts Buy List ETF of Amplify ETF Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-44902 81-FR-44902 34-78226 https://www.sec.gov/rules/sro/batsbzx/2016/34-78226.pdf SR-BATSBZX-2016-31 2016-07-05 Notice / Immediate Effectiveness to Add Interpretation and Policy .01 to Rule 16.1 to Specify the Calculation Methodology for Counting Professional Orders SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-44903 81-FR-44903 34-78227 https://www.sec.gov/rules/sro/nasdaq/2016/34-78227.pdf SR-NASDAQ-2016-061 2016-07-05 Notice / Designation of Longer Period for Commission Action / to List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-44907 81-FR-44907 34-78228 https://www.sec.gov/rules/sro/nyse/2016/34-78228.pdf SR-NYSE-2016-24 2016-07-05 Notice / Partial Amendment No. 3 / Order Accelerating Relating to Pre-Opening Indications and Opening Procedures SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-44907 81-FR-44907 34-78229 https://www.sec.gov/litigation/admin/2016/34-78229.pdf 3-17226 2016-07-05 Extension Order Order Wanger, Eric David N/A 34-78230 https://www.sec.gov/litigation/admin/2016/34-78230.pdf 3-14641 2016-07-05 Order Directing Disbursement of Fair Fund Order Hornbogen, Gina M. Rizzo, Charles L. N/A 34-78231 https://www.sec.gov/litigation/admin/2016/34-78231.pdf 3-17256 2016-07-06 Order Making Findings and Revoking Registration AP Settled Macau Resources Group Ltd. N/A 34-78232 https://www.sec.gov/rules/sro/phlx/2016/34-78232.pdf SR-PHLX-2016-70 2016-07-06 Notice / Immediate Effectiveness to Amend Rule 3100 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-45194 81-FR-45194 34-78233 https://www.sec.gov/rules/sro/nyse/2016/34-78233.pdf SR-NYSE-2016-47 2016-07-06 Notice / Immediate Effectiveness Amending its Price List SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-45190 81-FR-45190 34-78234 https://www.sec.gov/rules/sro/bx/2016/34-78234.pdf SR-BX-2016-033 2016-07-06 Notice / Immediate Effectiveness to Amend Rule 4120 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-45188 81-FR-45188 34-78235 https://www.sec.gov/rules/sro/c2/2016/34-78235.pdf SR-C2-2016-010 2016-07-06 Notice / Immediate Effectiveness to Amend Rules Related to Execution and Priority SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-45196 81-FR-45196 34-78236 https://www.sec.gov/rules/sro/batsbzx/2016/34-78236.pdf SR-BATSBZX-2016-26 2016-07-06 Notice / to BZX Rule 14.11(d) to Add the EURO STOXX 50® Volatility Futures to the Definition of Futures Reference Asset SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-45185 81-FR-45185 34-78237 https://www.sec.gov/rules/sro/finra/2016/34-78237.pdf SR-FINRA-2016-021 2016-07-07 Notice / Immediate Effectiveness to Clarify the Application of FINRA Rule 2210 ("Communications with the Public") to Debt Research Reports SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-45328 81-FR-45328 34-78238 https://www.sec.gov/rules/sro/nysemkt/2016/34-78238.pdf SR-NYSEMKT-2016-13 2016-07-07 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove to Amend Rule 955NY(c) by Revising the Clearing Member Requirement for Entering an Order into the Electronic Order Capture System SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-45323 81-FR-45323 34-78239 https://www.sec.gov/rules/sro/nysearca/2016/34-78239.pdf SR-NYSEARCA-2016-15 2016-07-07 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove , to Amend Rule 6.67(c) by Revising the Clearing Member Requirement for Entering an Order into the Electronic Order Capture System SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-45349 81-FR-45349 34-78240 https://www.sec.gov/rules/sro/nysearca/2016/34-78240.pdf SR-NYSEARCA-2016-64 2016-07-07 Notice / Designation of a Longer Period for Commission Action to List and Trade Shares of the AdvisorShares KIM Korea Equity ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-45332 81-FR-45332 34-78241 https://www.sec.gov/rules/sro/nysemkt/2016/34-78241.pdf SR-NYSEMKT-2016-65 2016-07-07 Notice / Immediate Effectiveness Amending Commentary .07 to Rule 904 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-45325 81-FR-45325 34-78242 https://www.sec.gov/rules/sro/nysearca/2016/34-78242.pdf SR-NYSEARCA-2016-92 2016-07-07 Notice / Immediate Effectiveness Amending Commentary .06 to Rule 6.8 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-45330 81-FR-45330 34-78243 https://www.sec.gov/rules/sro/box/2016/34-78243.pdf SR-BOX-2016-28 2016-07-07 Notice / to expand the Short Term Option Series Program to allow Wednesday expirations for SPY options. SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-45346 81-FR-45346 34-78244 https://www.sec.gov/rules/sro/bx/2016/34-78244.pdf SR-BX-2016-037 2016-07-07 Notice / to Adopt Limit Order Protection SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-45320 81-FR-45320 34-78245 https://www.sec.gov/rules/sro/phlx/2016/34-78245.pdf SR-PHLX-2016-58 2016-07-07 Notice / to Adopt Limit Order Protection SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-45337 81-FR-45337 34-78246 https://www.sec.gov/rules/sro/nasdaq/2016/34-78246.pdf SR-NASDAQ-2016-067 2016-07-07 Notice / to Adopt Limit Order Protection SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-45332 81-FR-45332 34-78247 https://www.sec.gov/rules/sro/box/2016/34-78247.pdf SR-BOX-2016-31 2016-07-07 Notice / Immediate Effectiveness to Amend IM-3120-2 to Rule 3120 to Extend the Pilot Program that Eliminated the Position Limits for Options on SPDR S&P 500 ETF ("SPY") ("SPY Pilot Program") SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-45348 81-FR-45348 34-78248 https://www.sec.gov/rules/sro/cfe/2016/34-78248.pdf SR-CFE-2016-003 2016-07-07 Notice / Regarding Account and Order Ticket Information SRO Filing CBOE Futures Exchange, LLC http://www.federalregister.gov/citation/81-FR-45326 81-FR-45326 34-78249 https://www.sec.gov/rules/sro/bx/2016/34-78249.pdf SR-BX-2016-038 2016-07-07 Notice / Immediate Effectiveness to Extend PRISM Pilot Program Through January 18, 2017 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-45334 81-FR-45334 34-78250 https://www.sec.gov/rules/sro/bx/2016/34-78250.pdf SR-BX-2016-039 2016-07-07 Notice / Immediate Effectiveness to Adopt Rules to Implement the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ BX, Inc http://www.federalregister.gov/citation/81-FR-45340 81-FR-45340 34-78251 https://www.sec.gov/rules/sro/nasdaq/2016/34-78251.pdf SR-NASDAQ-2016-093 2016-07-07 Notice / Immediate Effectiveness to Adopt Rules to Implement the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-45315 81-FR-45315 34-78252 https://www.sec.gov/litigation/opinions/2016/34-78252.pdf IA-4445 IC-32172 3-15141 2016-07-07 Order Amending Opinion Order Riad, Mohammed Swanson, Kevin Timothy N/A 34-78253 https://www.sec.gov/litigation/opinions/2016/33-10109.pdf 33-10109 IC-32173 3-16498 2016-07-07 Order Requesting Additional Briefs Order Schalk, Russell C., Jr. N/A 34-78254 https://www.sec.gov/litigation/admin/2016/34-78254.pdf 3-17302 2016-07-08 Order Making Findings and Revoking Registration AP Settled Essential Telecommunications, Inc. N/A 34-78255 https://www.sec.gov/litigation/admin/2016/34-78255.pdf 3-17185 2016-07-08 Notice That Initial Decision Has Become Final Notice Rings to Dine For, Inc. N/A 34-78256 https://www.sec.gov/litigation/admin/2016/34-78256.pdf 3-17202 2016-07-08 Notice That Initial Decision Has Become Final Notice Numida, Inc. N/A 34-78257 https://www.sec.gov/litigation/admin/2016/34-78257.pdf 3-17160 2016-07-08 Notice That Initial Decision Has Become Final Notice Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd. N/A 34-78258 https://www.sec.gov/litigation/admin/2016/34-78258.pdf 3-17327 2016-07-08 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Easy Health Technologies Ltd. Neptune Acquisition Corp. Segway IV Corp. N/A 34-78259 https://www.sec.gov/rules/sro/nysearca/2016/34-78259.pdf SR-NYSEARCA-2015-93 2016-07-08 Notice / Withdrawal Relating to Listing and Trading of Shares of the Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-45577 81-FR-45577 34-78260 https://www.sec.gov/rules/sro/nysearca/2016/34-78260.pdf SR-NYSEARCA-2016-95 2016-07-08 Notice / Immediate Effectiveness to Amend the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-45590 81-FR-45590 34-78261 https://www.sec.gov/rules/sro/nysearca/2016/34-78261.pdf SR-NYSEARCA-2016-08 2016-07-08 Notice / Withdrawal to Adopt NYSE Arca Equities Rule 8.900 to Permit Listing and Trading of Managed Portfolio Shares and to Permit Listing and Trading of Shares of Fifteen Issues of the Precidian ETFs Trust SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-45577 81-FR-45577 34-78262 https://www.sec.gov/rules/sro/batsbzx/2016/34-78262.pdf SR-BATSBZX-2016-30 2016-07-08 Notice / to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-45554 81-FR-45554 34-78263 https://www.sec.gov/rules/sro/nyse/2016/34-78263.pdf SR-NYSE-2016-44 2016-07-08 Notice / Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading R SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-45580 81-FR-45580 34-78264 https://www.sec.gov/rules/sro/batsbzx/2016/34-78264.pdf SR-BATSBZX-2016-35 2016-07-08 Notice / to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-45546 81-FR-45546 34-78265 https://www.sec.gov/rules/sro/miax/2016/34-78265.pdf SR-MIAX-2016-19 2016-07-08 Notice / Immediate Effectiveness to Amend Exchange Rule 515A to Extend the MIAX Price Improvement Mechanism ("PRIME") Auction Pilot Program until January 18, 2017 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-45578 81-FR-45578 34-78266 https://www.sec.gov/rules/sro/nysemkt/2016/34-78266.pdf SR-NYSEMKT-2016-66 2016-07-08 Notice / Immediate Effectiveness Amending Rule 975NY Regarding Transactions that Qualify as a Catastrophic Error as it Relates to Binary Return Derivatives Contracts SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-45575 81-FR-45575 34-78267 https://www.sec.gov/rules/sro/nysearca/2016/34-78267.pdf SR-NYSEARCA-2016-93 2016-07-08 Notice / Immediate Effectiveness Amending Rule 6.87 Regarding Transactions that Qualify as a Catastrophic Error as it Relates to Binary Return Derivatives Contracts SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-45573 81-FR-45573 34-78268 https://www.sec.gov/litigation/admin/2016/34-78268.pdf 3-17328 2016-07-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Chang, Cheongwha "Heywood" N/A 34-78269 https://www.sec.gov/litigation/admin/2016/34-78269.pdf 3-17329 2016-07-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Chen, Toni Tong, CPA N/A 34-78270 https://www.sec.gov/litigation/admin/2016/34-78270.pdf AAER-3787 3-17330 2016-07-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Chen, Toni Tong, CPA N/A 34-78271 https://www.sec.gov/litigation/opinions/2016/34-78271.pdf 3-17294 2016-07-08 Order Scheduling Briefs Order Tysk, David B. N/A 34-78272 https://www.sec.gov/litigation/opinions/2016/34-78272.pdf IA-4446 IC-32174 3-15141 2016-07-08 Partial Stay Order Order Swanson, Kevin Timothy Riad, Mohammed N/A 34-78273 https://www.sec.gov/litigation/admin/2016/34-78273.pdf AAER-3788 IA-4447 3-17332 2016-07-11 Order Institutung Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Ackman, Blair D., CPA N/A 34-78274 https://www.sec.gov/litigation/admin/2016/34-78274.pdf IA-4448 3-17333 2016-07-11 Order Instituting Administrative Proceedings, Making Findings, and Imposng Remedial Sanctions AP Settled Diaz, Alicia M., Esq. N/A 34-78275 https://www.sec.gov/litigation/admin/2016/34-78275.pdf IA-4450 3-17083 2016-07-11 Order Making Findings and Imposing Remedial Sanctions AP Settled Beckman, Jason Bo-Alan N/A 34-78276 https://www.sec.gov/rules/sro/cboe/2016/34-78276.pdf SR-CBOE-2016-041 2016-07-11 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46125 81-FR-46125 34-78277 https://www.sec.gov/rules/sro/occ/2016/34-78277.pdf SR-OCC-2016-007 2016-07-11 Order / Related to The Options Clearing Corporation's Membership Approval Process SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-46140 81-FR-46140 34-78278 https://www.sec.gov/rules/sro/bx/2016/34-78278.pdf SR-BX-2016-041 2016-07-11 Notice / Immediate Effectiveness to Amend Fees under Rule 7018 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-46126 81-FR-46126 34-78279 https://www.sec.gov/rules/sro/finra/2016/34-78279.pdf SR-FINRA-2016-022 2016-07-11 Notice / to Amend Rule 12403 (Cases with Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-46139 81-FR-46139 34-78280 https://www.sec.gov/rules/sro/nysearca/2016/34-78280.pdf SR-NYSEARCA-2016-91 2016-07-11 Notice / Immediate Effectiveness Amending NYSE Arca Rule 3.3 to Delete an Outdated Reference SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-46129 81-FR-46129 34-78281 https://www.sec.gov/rules/sro/finra/2016/34-78281.pdf SR-FINRA-2016-025 2016-07-11 Notice / Immediate Effectiveness Relating to the Fee for the Regulatory Element of Continuing Education SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-46133 81-FR-46133 34-78282 https://www.sec.gov/litigation/admin/2016/34-78282.pdf 3-17335 2016-07-11 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing a Cease-and-Desist Order. AP Settled SecondMarket, Inc. Bitcoin Investment Trust N/A 34-78283 https://www.sec.gov/rules/sro/nysemkt/2016/34-78283.pdf SR-NYSEMKT-2016-42 2016-07-11 Notice / Order Accelerating and Amendment No. 1 to Amend Rule 952NY with Respect to Opening Trading in an Options Series SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-46144 81-FR-46144 34-78284 https://www.sec.gov/rules/sro/nysearca/2016/34-78284.pdf SR-NYSEARCA-2016-49 2016-07-11 Notice / Order Accelerating and Amendment No. 1 to Amend Rule 6.64 with Respect to Opening Trading in an Options Series SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-46131 81-FR-46131 34-78285 https://www.sec.gov/rules/sro/nasdaq/2016/34-78285.pdf SR-NASDAQ-2016-087 2016-07-11 Notice / Immediate Effectiveness Relating to Automated Removal of Orders and Quotes SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-46147 81-FR-46147 34-78286 https://www.sec.gov/rules/sro/bx/2016/34-78286.pdf SR-BX-2016-032 2016-07-11 Notice / Immediate Effectiveness Relating to the Automated Removal of Quotes SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-46135 81-FR-46135 34-78287 https://www.sec.gov/litigation/admin/2016/34-78287.pdf 3-17337 2016-07-11 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Johnson Controls, Inc. N/A 34-78288 https://www.sec.gov/litigation/admin/2016/34-78288.pdf 3-17336 2016-07-11 Order Instituting Administrative Proceedings and Notice of Hearing AP Settled Breitling Energy Corporation N/A 34-78289 https://www.sec.gov/rules/pcaob/2016/34-78289.pdf PCAOB-2007-04 2016-07-11 Order / Relating to Inspections Order Public Company Accounting Oversight Board http://www.federalregister.gov/citation/81-FR-46143 81-FR-46143 34-78290 https://www.sec.gov/rules/sro/nasdaq/2016/34-78290.pdf SR-NASDAQ-2016-071 2016-07-12 Notice / Designation of a Longer Period for Commission Action to List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-46724 81-FR-46724 34-78291 https://www.sec.gov/litigation/admin/2016/34-78291.pdf 3-17338 2016-07-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Citigroup Global Markets, Inc. N/A 34-78292 https://www.sec.gov/rules/sro/cboe/2016/34-78292.pdf SR-CBOE-2016-054 2016-07-12 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46721 81-FR-46721 34-78293 https://www.sec.gov/rules/sro/cboe/2016/34-78293.pdf SR-CBOE-2016-047 2016-07-12 Order / Relating to Senior Management Authority SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46723 81-FR-46723 34-78294 https://www.sec.gov/rules/sro/c2/2016/34-78294.pdf SR-C2-2016-005 2016-07-12 Order / Relating to Senior Management Authority SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46746 81-FR-46746 34-78295 https://www.sec.gov/rules/sro/ise/2016/34-78295.pdf SR-ISE-2016-16 2016-07-12 Notice / Immediate Effectiveness to Extend the SPY Pilot Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-46728 81-FR-46728 34-78296 https://www.sec.gov/litigation/admin/2016/34-78296.pdf 3-15601R 2016-07-12 Extension Order Order Fillet, Mitchell H. N/A 34-78297 https://www.sec.gov/rules/sro/nysemkt/2016/34-78297.pdf SR-NYSEMKT-2016-67 2016-07-12 Notice / Immediate Effectiveness to Modify the NYSE Amex Options Fee Schedule effective July 1, 2016 SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-46749 81-FR-46749 34-78298 https://www.sec.gov/rules/sro/bx/2016/34-78298.pdf SR-BX-2016-040 2016-07-12 Notice / Immediate Effectiveness Relating to Detection of Loss of Connection SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-46739 81-FR-46739 34-78299 https://www.sec.gov/rules/sro/miax/2016/34-78299.pdf SR-MIAX-2016-20 2016-07-12 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-46734 81-FR-46734 34-78300 https://www.sec.gov/rules/other/2016/34-78300.pdf 4-701 2016-07-12 Notice / Proposed Minor Rule Violation Plan Notice Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-46730 81-FR-46730 34-78301 https://www.sec.gov/rules/sro/phlx/2016/34-78301.pdf SR-PHLX-2016-75 2016-07-12 Notice / Immediate Effectiveness to Extend Pilot Program Through January 18, 2017 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-46731 81-FR-46731 34-78302 https://www.sec.gov/rules/sro/batsbyx/2016/34-78302.pdf SR-BATSBYX-2016-18 2016-07-12 Notice / Immediate Effectiveness Change to BYX Rule 11.26(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46745 81-FR-46745 34-78303 https://www.sec.gov/rules/sro/batsbzx/2016/34-78303.pdf SR-BATSBZX-2016-37 2016-07-12 Notice / Immediate Effectiveness to BZX Rule 11.26(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46747 81-FR-46747 34-78304 https://www.sec.gov/rules/sro/batsedgx/2016/34-78304.pdf SR-BATSEDGX-2016-27 2016-07-12 Notice / Immediate Effectiveness Related to Fees as they Apply to the Equity Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46719 81-FR-46719 34-78305 https://www.sec.gov/rules/sro/batsbzx/2016/34-78305.pdf SR-BATSBZX-2016-36 2016-07-12 Notice / Immediate Effectiveness Related to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc, http://www.federalregister.gov/citation/81-FR-46725 81-FR-46725 34-78306 https://www.sec.gov/rules/sro/batsbzx/2016/34-78306.pdf SR-BATSBZX-2016-33 2016-07-12 Notice / Immediate Effectiveness Related to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46738 81-FR-46738 34-78307 https://www.sec.gov/litigation/admin/2016/34-78307.pdf 3-17339 2016-07-13 Order Instituting Proceedings, Making findings, and Revoking Registration AP Settled HII Technologies, Inc. N/A 34-78308 https://www.sec.gov/rules/other/2016/34-78308.pdf 265-29 2016-07-13 Notice of Meeting Notice Equity Market Structure Advisory Committee http://www.federalregister.gov/citation/81-FR-46744 81-FR-46744 34-78309 https://www.sec.gov/rules/proposed/2016/34-78309.pdf S7-14-16 2016-07-13 Proposed Rule Proposed Rule Disclosure of Order Handling Information http://www.federalregister.gov/citation/81-FR-49432 81-FR-49432 34-78310 https://www.sec.gov/rules/proposed/2016/33-10110.pdf 33-10110 IC-32175 S7-15-16 2016-07-13 Proposed Rule Proposed Rule Disclosure Update and Simplification http://www.federalregister.gov/citation/81-FR-51608 81-FR-51608 34-78311 https://www.sec.gov/rules/exorders/2016/34-78311.pdf TP 16-9 2016-07-13 Order Granting Limited Exemption from Exchange Act Rule 10b-17 and Rule 101 and 102 of Regulation M to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Order PowerShares DWA Momentum & Low Volatility Rotation Portfolio http://www.federalregister.gov/citation/81-FR-46988 81-FR-46988 34-78312 https://www.sec.gov/rules/sro/box/2016/34-78312.pdf SR-BOX-2016-30 2016-07-13 Notice/ Immediate Effectiveness to Introduce New Risk Protections on the Exchange and Provide Enhancements to Current Risk Protections SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-46990 81-FR-46990 34-78313 https://www.sec.gov/rules/sro/batsedgx/2016/34-78313.pdf SR-BATSEDGX-2016-30 2016-07-13 Notice / Immediate Effectiveness to EDGX Rule 13.4(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46974 81-FR-46974 34-78314 https://www.sec.gov/rules/sro/batsedga/2016/34-78314.pdf SR-BATSEDGA-2016-16 2016-07-13 Notice / Immediate Effectiveness to EDGA Rule 13.4(a), Stating it will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-46984 81-FR-46984 34-78315 https://www.sec.gov/rules/sro/c2/2016/34-78315.pdf SR-C2-2016-012 2016-07-13 Notice / Immediate Effectiveness Related to the Automated Improvement Mechanism SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46986 81-FR-46986 34-78316 https://www.sec.gov/rules/sro/cboe/2016/34-78316.pdf SR-CBOE-2016-056 2016-07-13 Notice / Immediate Effectiveness Related to the Automated Improvement Mechanism SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-46975 81-FR-46975 34-78317 https://www.sec.gov/rules/sro/phlx/2016/34-78317.pdf SR-PHLX-2016-73 2016-07-13 Notice / Immediate Effectiveness to Adopt Rules to Implement the Quoting and Trading Provisions of the Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-46979 81-FR-46979 34-78318 https://www.sec.gov/litigation/admin/2016/34-78318.pdf 3-17340 2016-07-13 Order Instituting Adminstrative Proceedings, Making findings, and Imposing Remedial Sanctions AP Settled Gallagher, Jeffrey E. N/A 34-78319 https://www.sec.gov/rules/final/2016/34-78319.pdf S7-18-15 2016-07-13 Final Rule Final Rule Amendments to the Commission's Rules of Practice http://www.federalregister.gov/citation/81-FR-50213 81-FR-50213 34-78320 https://www.sec.gov/litigation/admin/2016/34-78320.pdf 3-17292 2016-07-14 Order Making Findings and Revoking Registration AP Settled Cascade Technologies Corp. N/A 34-78321 https://www.sec.gov/rules/final/2016/34-78321.pdf S7-03-15 2016-07-14 Final rule Final Rule Regulation SBSR -- Reporting and Dissemination of Security-Based Swap Information http://www.federalregister.gov/citation/81-FR-53546 81-FR-53546 34-78322 https://www.sec.gov/litigation/admin/2016/34-78322.pdf IA-4451 3-17341 2016-07-14 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hamels, Gavin L. N/A 34-78323 https://www.sec.gov/rules/sro/msrb/2016/34-78323.pdf SR-MSRB-2016-09 2016-07-14 Notice / to Establish the MSRB Academic Historical Transaction Data Product SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-47211 81-FR-47211 34-78324 https://www.sec.gov/rules/sro/nysemkt/2016/34-78324.pdf SR-NYSEMKT-2016-69 2016-07-14 Notice / Immediate Effectiveness Extending the Pilot Period Applicable to the Customer Best Execution Auction Per Rule 971.1NY SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-47196 81-FR-47196 34-78325 https://www.sec.gov/litigation/admin/2016/33-10111.pdf 33-10111 IA-4452 IC-32176 3-17342 2016-07-14 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled RD Legal Capital, LLC Dersovitz, Roni N/A 34-78326 https://www.sec.gov/rules/sro/nyse/2016/34-78326.pdf SR-NYSE-2016-37 2016-07-14 Order / Removing from Its Rules Certain Internal Procedures Regarding the Use of Fine Income SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-47184 81-FR-47184 34-78327 https://www.sec.gov/rules/sro/finra/2016/34-78327.pdf SR-FINRA-2016-026 2016-07-14 Notice / Immediate Effectiveness to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-47229 81-FR-47229 34-78328 https://www.sec.gov/rules/sro/nysearca/2016/34-78328.pdf SR-NYSEARCA-2016-63 2016-07-14 Notice / Designation of a Longer Period for Commission Action Relating to the Listing and Trading of Shares of BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-47222 81-FR-47222 34-78329 https://www.sec.gov/rules/sro/batsbzx/2016/34-78329.pdf SR-BATSBZX-2016-01 2016-07-14 Order / to List and Trade under BZX Rule 14.11(c)(4) Shares of the Following Series of VanEck Vectors ETF Trust: VanEck Vectors AMT-Free 6-8 Year Municipal Index ETF; VanEck Vectors AMT-Free 8-12 Year Municipal Index ETF; and VanEck Vectors AMT-Free 12-17 SRO Filing BatsBZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47217 81-FR-47217 34-78330 https://www.sec.gov/rules/sro/batsedga/2016/34-78330.pdf SR-BATSEDGA-2016-15 2016-07-14 Notice / to Adopt Paragraph (c) to Exchange Rule 11.21 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47223 81-FR-47223 34-78331 https://www.sec.gov/rules/sro/batsedgx/2016/34-78331.pdf SR-BATSEDGX-2016-26 2016-07-14 Notice / to Adopt Paragraph (c) to Exchange Rule 11.22 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47205 81-FR-47205 34-78332 https://www.sec.gov/rules/exorders/2016/34-78332.pdf TP 16-10 2016-07-14 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 anf Rules 101 and 102 of Regulation M to the Janus Velocity Tail Risk Hedged Large Cap ETF, and the Janus Velocity Volatility Hedged Large Cap ETF Order Detroit Street Trust http://www.federalregister.gov/citation/81-FR-47193 81-FR-47193 34-78333 https://www.sec.gov/rules/sro/batsbyx/2016/34-78333.pdf SR-BATSBYX-2016-17 2016-07-14 Notice / to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47198 81-FR-47198 34-78334 https://www.sec.gov/rules/sro/batsbzx/2016/34-78334.pdf SR-BATSBZX-2016-29 2016-07-14 Notice / to Adopt Paragraph (c) to Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47187 81-FR-47187 34-78335 https://www.sec.gov/litigation/admin/2016/34-78335.pdf 3-17291 2016-07-15 Order Making Findings and Revoking Registration AP Settled MIT Holding, Inc. N/A 34-78336 https://www.sec.gov/litigation/admin/2016/34-78336.pdf 3-17222 2016-07-15 Notice That Initial Decision Has Become Final Notice Dot VN, Inc. Global Health Voyager, Inc. N/A 34-78337 https://www.sec.gov/litigation/admin/2016/34-78337.pdf 3-17209 2016-07-15 Notice That Initial Decision Has Become Final Notice Myriad International, Inc. MPEG Super Site, Inc. Mondeo Investments, Inc. N/A 34-78338 https://www.sec.gov/rules/sro/batsbzx/2016/34-78338.pdf SR-BATSBZX-2016-41 2016-07-15 Notice / Immediate Effectiveness Related to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47458 81-FR-47458 34-78339 https://www.sec.gov/rules/sro/batsedgx/2016/34-78339.pdf SR-BATSEDGX-2016-29 2016-07-15 Notice / Immediate Effectiveness Related to Functionality Offered by the Exchange's Options Platform to: (i) Modify Various Rules to Eliminate the Display-Price Sliding Option; (ii) Modify Various Rules to Eliminate Price Improving Orders; and (iii) Adopt SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47461 81-FR-47461 34-78340 https://www.sec.gov/litigation/opinions/2016/34-78340.pdf 3-17189 2016-07-15 Opinion and Order Dismissing Petition for Administrative Remedy Opinion Ronin Capital, LLC susquehanna Investment Group Susquehanna Securities Citadel Securities LLC N/A 34-78341 https://www.sec.gov/litigation/admin/2016/34-78341.pdf AAER-3789 3-17345 2016-07-15 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Penalties AP Settled Phoenix Companies, Inc. N/A 34-78342 https://www.sec.gov/rules/sro/isemercury/2016/34-78342.pdf SR-ISEMERCURY-2016-13 2016-07-15 Notice / Immediate Effectiveness to Extend the Price Improvement Mechanism Pilot Program SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-47481 81-FR-47481 34-78343 https://www.sec.gov/rules/sro/isegemini/2016/34-78343.pdf SR-ISEGEMINI-2016-07 2016-07-15 Notice / Immeidate Effectiveness to Extend the Price Improvement Mechanism Pilot Program SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-47483 81-FR-47483 34-78344 https://www.sec.gov/rules/sro/ise/2016/34-78344.pdf SR-ISE-2016-17 2016-07-15 Notice / Immediate Effectiveness to Extend the Price Improvement Mechanism Pilot Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-47459 81-FR-47459 34-78345 https://www.sec.gov/rules/sro/nysearca/2016/34-78345.pdf SR-NYSEARCA-2016-96 2016-07-15 Notice / to Amend NYSE Arca Equities Rule 8.700 and to List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700. SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-47447 81-FR-47447 34-78346 https://www.sec.gov/rules/sro/batsbzx/2016/34-78346.pdf SR-BATSBZX-2016-34 2016-07-15 Notice / to BZX Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF, a Series of ProShares SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-47475 81-FR-47475 34-78347 https://www.sec.gov/rules/sro/ficc/2016/34-78347.pdf SR-FICC-2016-003 2016-07-15 Notice / to Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-47466 81-FR-47466 34-78348 https://www.sec.gov/rules/sro/nysemkt/2016/34-78348.pdf SR-NYSEMKT-2016-48 2016-07-15 Notice / to Amend Certain Rules Related to Flexible Exchange Options SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-47469 81-FR-47469 34-78349 https://www.sec.gov/litigation/admin/2016/34-78349.pdf 3-17346 2016-07-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Franklin Bank Corporation N/A 34-78350 https://www.sec.gov/litigation/admin/2016/34-78350.pdf 3-17347 2016-07-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Catipay, James Anthony, Esq. N/A 34-78351 https://www.sec.gov/litigation/admin/2016/34-78351.pdf 3-15832 2016-07-15 Amended Order Instituting Cease-and-Desist Proceedings, Making Findings AP Settled Hewlett-Packard Company N/A 34-78352 https://www.sec.gov/litigation/opinions/2016/34-78352.pdf 3-17076 2016-07-18 Order Denying Stay Order Akindemowo, Kenny A. N/A 34-78353 https://www.sec.gov/rules/sro/box/2016/34-78353.pdf SR-BOX-2016-32 2016-07-18 Notice / Immediate Effectiveness to extend the pilot programs that permit the Exchange to have no minimum size requirement for orders entered into the PIP and COPIP SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-47843 81-FR-47843 34-78354 https://www.sec.gov/rules/sro/nasdaq/2016/34-78354.pdf SR-NASDAQ-2016-102 2016-07-19 Notice / Immediate Effectiveness to Amend Nasdaq Rule 7018 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-48487 81-FR-48487 34-78355 https://www.sec.gov/rules/other/2016/34-78355.pdf 2016-14 2016-07-19 Order Determining Whistleblower Award Claims Order Redacted N/A 34-78356 https://www.sec.gov/rules/other/2016/34-78356.pdf 2016-15 2016-07-19 Order Determining Whistleblower Awards Claims Order Redacted N/A 34-78357 https://www.sec.gov/rules/sro/nysearca/2016/34-78357.pdf SR-NYSEARCA-2016-94 2016-07-19 Notice / Immediate Effectiveness Amending NYSE Arca Equities Rule 1.1 to Establish an Official Closing Price for Exchange-Listed Securities if the Exchange is Unable to Conduct a Closing Auction SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-48477 81-FR-48477 34-78358 https://www.sec.gov/rules/sro/dtc/2016/34-78358.pdf SR-DTC-2016-004 2016-07-19 Order / to Establish a Link With Euroclear SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-48482 81-FR-48482 34-78359 https://www.sec.gov/rules/sro/finra/2016/34-78359.pdf SR-FINRA-2016-027 2016-07-19 Notice / Relating to the Reporting of U.S. Treasury Securities to the Trade Reporting and Compliance Engine SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-48465 81-FR-48465 34-78360 https://www.sec.gov/rules/sro/nasdaq/2016/34-78360.pdf SR-NASDAQ-2016-096 2016-07-19 Notice / Immediate Effectiveness to Make Adjustments to Nasdaq's Options Regulatory Fee SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-45475 81-FR-45475 34-78361 https://www.sec.gov/rules/sro/bx/2016/34-78361.pdf SR-BX-2016-043 2016-07-19 Notice / Immediate Effectiveness to Make Adjustments to its Options Regulatory Fee SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-48485 81-FR-48485 34-78362 https://www.sec.gov/litigation/admin/2016/34-78362.pdf 3-17350 2016-07-19 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Canadian Piper Air Corp. NP Energy Corporation Capital and Services, Inc. Algorex Corporation N/A 34-78363 https://www.sec.gov/litigation/admin/2016/34-78363.pdf 3-17351 2016-07-19 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Great Basin Gold Limited N/A 34-78364 https://www.sec.gov/litigation/opinions/2016/33-10112.pdf 33-10112 IA-4458 IC-32178 3-12116 2016-07-19 Order Granting Motion to Modify Order Millennium International Management, L.L.C. Millennium Management, L.L.C., et al. Millennium Partners, L.P. N/A 34-78365 https://www.sec.gov/litigation/suspensions/2016/34-78365.pdf 500-1 2016-07-20 Trading Suspension Trading Suspension Scanner Technologies Corp. Digital Development Group Corp. (The) StarInvest Group, Inc. Seville Ventures Corp. http://www.federalregister.gov/citation/81-FR-47844 81-FR-47844 34-78366 https://www.sec.gov/litigation/admin/2016/34-78366.pdf 3-17353 2016-07-20 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Digital Development Group Corp. Seville Ventures Corp. StarInvest Group, Inc. Scanner Technologies Corp. N/A 34-78367 https://www.sec.gov/rules/sro/nysemkt/2016/34-78367.pdf SR-NYSEMKT-2016-49 2016-07-20 Notice / Withdrawal Amending the Definition of "Block" for Purposes of Rule 72(d) - Equities and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 - Equities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-48860 81-FR-48860 34-78368 https://www.sec.gov/rules/sro/nyse/2016/34-78368.pdf SR-NYSE-2016-30 2016-07-20 Notice / Withdrawal Amending the Definition of "Block" for Purposes of Rule 72(d) and the Size of a Proposed Cross Transaction Eligible for the Cross Function in Rule 76 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-48876 81-FR-48876 34-78369 https://www.sec.gov/rules/sro/batsedgx/2016/34-78369.pdf SR-BATSEDGX-2016-32 2016-07-20 Notice / Immediate Effectiveness Related to Fees as they Apply to the Recently Adopted Step Up Mechanism on its Equity Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-48859 81-FR-48859 34-78370 https://www.sec.gov/litigation/admin/2016/34-78370.pdf 3-11578 2016-07-20 Order Directing Disbursement of Fair Fund Order Conseco Equity Sales, Inc. Conseco Services, LLC CIHC, Inc. N/A 34-78371 https://www.sec.gov/rules/sro/nyse/2016/34-78371.pdf SR-NYSE-2016-43 2016-07-20 Notice / Immediate Effectiveness for a New Rule 346 Prohibiting Association by Member Organizations, Principal Executives, Approved Persons, and Persons Associated with a Member Organization or Control Persons of Member Organizations with Persons Subject SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-48879 81-FR-48879 34-78372 https://www.sec.gov/rules/sro/nyse/2016/34-78372.pdf SR-NYSE-2016-50 2016-07-20 Notice / Immediate Effectiveness Amending Its Rules Regarding Payment of Compensation and Rebates, and Research Analyst Attestation Requirements, Harmonizing with Certain Financial Industry Regulatory Authority, Inc. Rules and Making other Conforming SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-48861 81-FR-48861 34-78373 https://www.sec.gov/rules/sro/nysearca/2016/34-78373.pdf SR-NYSEARCA-2016-97 2016-07-20 Notice / Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-48869 81-FR-48869 34-78374 https://www.sec.gov/rules/sro/nysearca/2016/34-78374.pdf SR-NYSEARCA-2016-98 2016-07-20 Notice / Immediate Effectiveness Amending NYSE Arca Equities Rules 1.1(s) and 7.35P(a)(10)(A) to Extend the Period for the Current Trading Halt Auction Collar Price Collar Thresholds SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-48876 81-FR-48876 34-78375 https://www.sec.gov/rules/sro/bx/2016/34-78375.pdf SR-BX-2016-034 2016-07-20 Notice / Immediate Effectiveness Relating to Affiliated Entities SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-48864 81-FR-48864 34-78376 https://www.sec.gov/rules/sro/nysemkt/2016/34-78376.pdf SR-NYSEMKT-2016-70 2016-07-21 Notice / Immediate Effectiveness Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-49311 81-FR-49311 34-78377 https://www.sec.gov/rules/sro/nysearca/2016/34-78377.pdf SR-NYSEARCA-2016-99 2016-07-21 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49327 81-FR-49327 34-78378 https://www.sec.gov/rules/sro/nyse/2016/34-78378.pdf SR-NYSE-2016-49 2016-07-21 Notice / Immediate Effectiveness Amending the Exchange's Price List SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-49315 81-FR-49315 34-78379 https://www.sec.gov/rules/sro/dtc/2016/34-78379.pdf SR-DTC-2016-003 2016-07-21 Notice / Designation of a Longer Period for Commission Action to Which DTC Would Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-49309 81-FR-49309 34-78380 https://www.sec.gov/rules/sro/nasdaq/2016/34-78380.pdf SR-NASDAQ-2016-090 2016-07-21 Notice / Immediate Effectiveness Related to Affiliated Entities SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-49288 81-FR-49288 34-78381 https://www.sec.gov/rules/sro/nysearca/2016/34-78381.pdf SR-NYSEARCA-2016-103 2016-07-21 Notice / Amending Rules 2.17(c) and 2.23(i) to Harmonize the Requirement of When OTP Holders and OTP Firms Must File A Uniform Termination Notice for Securities Industry Registration with the Rules of Other Exchanges and FINRA SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49286 81-FR-49286 34-78382 https://www.sec.gov/rules/sro/phlx/2016/34-78382.pdf SR-PHLX-2016-62 2016-07-21 Notice / Immediate Effectiveness Related to Affiliated Entities SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-49293 81-FR-49293 34-78383 https://www.sec.gov/rules/sro/nysearca/2016/34-78383.pdf SR-NYSEARCA-2016-104 2016-07-21 Notice / Amending NYSE Arca Equities Rules 2.16(c) and 2.21(i) to Harmonize the Requirement of When An ETP Holder Must File A Uniform Termination Notice for Securities Industry Registration with the Rules of Other Exchanges and FINRA SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49309 81-FR-49309 34-78384 https://www.sec.gov/rules/sro/nasdaq/2016/34-78384.pdf SR-NASDAQ-2016-002 2016-07-21 Notice / Designation of a Longer Period for Commission Action to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-49286 81-FR-49286 34-78385 https://www.sec.gov/rules/sro/nasdaq/2016/34-78385.pdf SR-NASDAQ-2016-103 2016-07-21 Notice / to List and Trade Exchange-Traded Managed Funds SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-49341 81-FR-49341 34-78386 https://www.sec.gov/rules/sro/nysearca/2016/34-78386.pdf SR-NYSEARCA-2016-79 2016-07-21 Notice / Designation of a Longer Period for Commission Action Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49299 81-FR-49299 34-78387 https://www.sec.gov/rules/sro/nyse/2016/34-78387.pdf SR-NYSE-2016-11 2016-07-21 Notice / Amendment No. 2 / Order Instituting Proceedings to Determine Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE Price List to Reflect the Changes SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-49300 81-FR-49300 34-78388 https://www.sec.gov/rules/sro/nysearca/2016/34-78388.pdf SR-NYSEARCA-2016-19 2016-07-21 Notice / Amendment No. 2 / Order Instituting to Determine Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services and the NYSE Arca SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49332 81-FR-49332 34-78389 https://www.sec.gov/rules/sro/nysemkt/2016/34-78389.pdf SR-NYSEMKT-2016-15 2016-07-21 Notice Amendment No. 2 / Order Instituting Proceedings to Determine Establishing Fees Relating to End Users and Amending the Definition of "Affiliate," as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-49304 81-FR-49304 34-78390 https://www.sec.gov/rules/sro/box/2016/34-78390.pdf SR-BOX-2016-33 2016-07-21 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-49336 81-FR-49336 34-78391 https://www.sec.gov/rules/sro/nsx/2016/34-78391.pdf SR-NSX-2016-05 2016-07-21 Notice / Immediate Effectiveness to Amend Exchange Rule 11.26 to Implement the Quoting and Trading Provisions of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-49348 81-FR-49348 34-78392 https://www.sec.gov/rules/sro/nasdaq/2016/34-78392.pdf SR-NASDAQ-2016-098 2016-07-22 Notice / to Modify the Complimentary Services Offered to Certain New Listings SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-49705 81-FR-49705 34-78393 https://www.sec.gov/litigation/admin/2016/34-78393.pdf AAER-3790 3-17356 2016-07-22 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled EFP Rotenberg, LLP Bottini, Nicholas, CPA N/A 34-78394 https://www.sec.gov/rules/sro/phlx/2016/34-78394.pdf SR-PHLX-2016-77 2016-07-22 Notice / Immediate Effectiveness to Amend Price Improvement XL Pricing SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-49709 81-FR-49709 34-78395 https://www.sec.gov/litigation/admin/2016/34-78395.pdf AAER-3791 3-14171 2016-07-22 Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed with the Commission Order Schneider, James, M. CPA N/A 34-78396 https://www.sec.gov/rules/sro/bats/2016/34-78396.pdf SR-BATS-2015-100 2016-07-22 Order / to Amend BATS Rule 14.11(i) to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing BATS Exchange, Inc. http://www.federalregister.gov/citation/81-FR-49698 81-FR-49698 34-78397 https://www.sec.gov/rules/sro/nysearca/2016/34-78397.pdf SR-NYSEARCA-2015-110 2016-07-22 Order / Amending NYSE Arca Equities Rule 8.600 to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-49320 81-FR-49320 34-78398 https://www.sec.gov/litigation/admin/2016/34-78398.pdf IA-4462 3-17251 2016-07-22 Order Making Findings and Imposing Remedial Sanctions AP Settled Blount, John Steven N/A 34-78399 https://www.sec.gov/litigation/admin/2016/34-78399.pdf 3-17223 2016-07-25 Notice That Initial Decision Has Become Final Notice Massive Dynamics, Inc. Medisafe 1 Technologies Corp. Gold Hills Mining, Ltd. MDU Communications International, Inc. N/A 34-78400 https://www.sec.gov/litigation/admin/2016/34-78400.pdf 3-17237 2016-07-22 Notice That Initial Decision Has Become Final Notice Coyote Resources, Inc. Shades Holding, Inc. Harbor Island Development Corp. Medical Makeover Corp. of America N/A 34-78401 https://www.sec.gov/litigation/admin/2016/34-78401.pdf 3-17236 2016-07-25 Notice that Initial Decision has Become Final Notice Pioneer Exploration, Inc. Premier Brands, Inc. Private Media Group, Inc. N/A 34-78402 https://www.sec.gov/litigation/admin/2016/34-78402.pdf AAER-3792 3-17357 2016-07-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-andd-Desist Order AP Settled LAN Airlines S.A. N/A 34-78403 https://www.sec.gov/rules/sro/nsx/2016/34-78403.pdf SR-NSX-2016-06 2016-07-25 Notice / to NSX Rule 11.25(a), Stating It Will Utilize IEX Market Data from the CQS/UQDF for Purposes of Order Handling, Routing, and Related Compliance Processes SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-50028 81-FR-50028 34-78404 https://www.sec.gov/rules/sro/nasdaq/2016/34-78404.pdf SR-NASDAQ-2016-099 2016-07-25 Notice / Immediate Effectiveness to Update Public Disclosure of Exchange Usage of Market Data SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-50024 81-FR-50024 34-78405 https://www.sec.gov/rules/sro/bx/2016/34-78405.pdf SR-BX-2016-044 2016-07-25 Notice / Immediate Effectiveness to Update Public Disclosure of Exchange Usage of Market Data SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-50041 81-FR-50041 34-78406 https://www.sec.gov/rules/sro/nasdaq/2016/34-78406.pdf SR-NASDAQ-2016-100 2016-07-25 Notice / Immediate Effectiveness to Modify NASDAQ Options Market LLC Pricing at Chapter XV SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-50029 81-FR-50029 34-78407 https://www.sec.gov/rules/sro/cboe/2016/34-78407.pdf SR-CBOE-2016-057 2016-07-25 Notice / Immediate Effectiveness Relating to Tied to Stock Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-50036 81-FR-50036 34-78408 https://www.sec.gov/rules/sro/phlx/2016/34-78408.pdf SR-PHLX-2016-76 2016-07-25 Notice / Immediate Effectivness Update Public Disclosure of Exchange Usage of Market Data SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-50026 81-FR-50026 34-78409 https://www.sec.gov/litigation/admin/2016/34-78409.pdf 3-17358 2016-07-25 Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension AP Settled Braslau, Samuel N/A 34-78410 https://www.sec.gov/litigation/admin/2016/34-78410.pdf 3-17359 2016-07-25 Order of Forthwith Suspension AP Settled Braslau, Samuel N/A 34-78411 https://www.sec.gov/litigation/admin/2016/34-78411.pdf 3-17360 2016-07-25 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Nemeckay, Timothy A. N/A 34-78412 https://www.sec.gov/litigation/suspensions/2016/34-78412.pdf 500-1 2016-07-26 Trading Suspension Trading Suspension American Transportation Holdings, Inc. http://www.federalregister.gov/citation/81-FR-49712 81-FR-49712 34-78413 https://www.sec.gov/litigation/admin/2016/34-78413.pdf AAER-3793 3-17361 2016-07-26 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Chen, Yi, CPA N/A 34-78414 https://www.sec.gov/rules/sro/nysearca/2016/34-78414.pdf SR-NYSEARCA-2016-79 2016-07-26 Order / Relating to the Listing and Trading of Shares of the Virtus Japan Alpha ETF Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-50576 81-FR-50576 34-78415 https://www.sec.gov/rules/sro/batsbzx/2016/34-78415.pdf SR-BATSBZX-2016-09 2016-07-26 Order / to List and Trade Shares of the Pointbreak Agriculture Commodity Strategy Fund of the Pointbreak ETF Trust under BZX Rule 14.11(i), Managed Fund Shares SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-50588 81-FR-50588 34-78416 https://www.sec.gov/rules/sro/iex/2016/34-78416.pdf SR-IEX-2016-01 2016-07-26 Notice / Immediate Effectiveness Relating to the Collection of Exchange Fees and Other Claims and Billing Policy SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-50573 81-FR-50573 34-78417 https://www.sec.gov/rules/exorders/2016/34-78417.pdf NO FILE NUMBER 2016-07-26 Order Granting Application of Investors' Exchange LLC a Limited Exemption from Rule 10b-10(a)(2)(i)(A) pursuant to Rule 10b-10(f) Orders Investors' Exchange LLC http://www.federalregister.gov/citation/81-FR-50035 81-FR-50035 34-78418 https://www.sec.gov/litigation/admin/2016/34-78418.pdf 3-17362 2016-07-26 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Schleifer, Nathan N/A 34-78419 https://www.sec.gov/rules/sro/phlx/2016/34-78419.pdf SR-PHLX-2016-78 2016-07-26 Notice / Immediate Effectiveness Amend Phlx Rule 754 (Employees' Discretion as to Customers' Accounts) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-50582 81-FR-50582 34-78420 https://www.sec.gov/rules/sro/iex/2016/34-78420.pdf SR-IEX-2016-02 2016-07-26 Notice / to Amend Rule 11.230 to Rename the "Router Plus" Routing Option to "Router" SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-50572 81-FR-50572 34-78421 https://www.sec.gov/rules/sro/c2/2016/34-78421.pdf SR-C2-2016-013 2016-07-26 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-50580 81-FR-50580 34-78422 https://www.sec.gov/rules/sro/nysearca/2016/34-78422.pdf SR-NYSEARCA-2016-102 2016-07-27 Notice / Immediate Effectiveness for a New NYSE Arca Rule 13.9 and a New NYSE Arca Equities Rule 11.9 and to Make Conforming Changes to NYSE Arca Rule 3.2 and NYSE Arca Equities Rule 3.2 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-50750 81-FR-50750 34-78423 https://www.sec.gov/rules/sro/ise/2016/34-78423.pdf SR-ISE-2015-30 2016-07-27 Notice / Disapproving to Amend Rule 804(g) SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-50759 81-FR-50759 34-78424 https://www.sec.gov/rules/sro/isegemini/2016/34-78424.pdf SR-ISEGEMINI-2015-17 2016-07-27 Order / Disapprovign to Amend Rule 804(g) SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-50757 81-FR-50757 34-78425 https://www.sec.gov/rules/sro/nysearca/2016/34-78425.pdf SR-NYSEARCA-2016-84 2016-07-27 Notice / Designating a longe time SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-50759 81-FR-50759 34-78426 https://www.sec.gov/rules/sro/nysearca/2016/34-78426.pdf SR-NYSEARCA-2016-101 2016-07-27 Notice / Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-50763 81-FR-50763 34-78427 https://www.sec.gov/rules/sro/box/2016/34-78427.pdf SR-BOX-2016-34 2016-07-27 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-50777 81-FR-50777 34-78428 https://www.sec.gov/rules/sro/box/2016/34-78428.pdf SR-BOX-2016-36 2016-07-27 Notice / Immeidate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-50761 81-FR-50761 34-78429 https://www.sec.gov/litigation/opinions/2016/33-10115.pdf 33-10115 IA-4463 IC-32194 3-15918 2016-07-27 Opinion Opinion Malouf, Dennis J. N/A 34-78430 https://www.sec.gov/litigation/admin/2016/34-78430.pdf 3-17363 2016-07-27 Order Instituting Proceedings and Fixing Time and Place of Public Hearing AP Litigated Sand International, Inc. N/A 34-78431 https://www.sec.gov/rules/sro/bx/2016/34-78431.pdf SR-BX-2016-045 2016-07-28 Notice / Immediate Effectiveness Regarding Tiers Related to SPY Options SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-51258 81-FR-51258 34-78432 https://www.sec.gov/rules/sro/nysemkt/2016/34-78432.pdf SR-NYSEMKT-2016-58 2016-07-28 Notice / Designation of a Longer Period for Commission Action Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fu SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-51248 81-FR-51248 34-78433 https://www.sec.gov/rules/sro/nysearca/2016/34-78433.pdf SR-NYSEARCA-2016-100 2016-07-28 Notice / Relating to the Listing and Trading of Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund under NYSE Arca Equities Rule 5.2(j)(3) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-51241 81-FR-51241 34-78434 https://www.sec.gov/rules/sro/17d-2/2016/34-78434.pdf 4-700 2016-07-28 Order / Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities SRO Filing Financial Industry Regulatory Authority, Inc. Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-51256 81-FR-51256 34-78435 https://www.sec.gov/rules/sro/finra/2016/34-78435.pdf SR-FINRA-2016-028 2016-07-28 Notice / Immediate Effectiveness to Clarify the Operation of the Regulation NMS Plan to Address Extraordinary Market Volatility SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-51239 81-FR-51239 34-78436 https://www.sec.gov/rules/sro/nyse/2016/34-78436.pdf SR-NYSE-2016-51 2016-07-28 Notice / Amending the Ninth Amended and Restated Operating Agreement of the Exchange SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-51249 81-FR-51249 34-78437 https://www.sec.gov/rules/sro/nasdaq/2016/34-78437.pdf SR-NASDAQ-2016-056 2016-07-28 Notice / Amendment No. 3 / Order Accelerating to List and Trade Shares of the PowerShares Variable Rate Investment Grade Portfolio, a series of the PowerShares Actively Managed Exchange-Traded Fund Trust SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-51251 81-FR-51251 34-78438 https://www.sec.gov/rules/sro/occ/2016/34-78438.pdf SR-OCC-2016-002 2016-07-28 Notice / Concerning Enhancements to The Options Clearing Corporation's Governance Arrangements SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-51220 81-FR-51220 34-78439 https://www.sec.gov/litigation/admin/2016/34-78439.pdf 3-17256 2016-07-29 Order Making Findings and Revoking Registration AP Settled Dragon Bright Mintai Botanical Technology Cayman Ltd. 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N/A 34-78441 https://www.sec.gov/rules/sro/nms/2016/34-78441.pdf 4-698 2016-07-29 Notice / Designation of a Longer Period for Commission Action on the Proposed Naitonal Market System Plan Governing the Consolidated Audit Trail Notice Joint Industry Plan http://www.federalregister.gov/citation/81-FR-51527 81-FR-51527 34-78442 https://www.sec.gov/rules/sro/nyse/2016/34-78442.pdf SR-NYSE-2016-31 2016-07-29 Notice / Designation of a Longer Period for Commission Action Amending NYSE Rule 6A To Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-51521 81-FR-51521 34-78443 https://www.sec.gov/rules/sro/nasdaq/2016/34-78443.pdf SR-NASDAQ-2016-064 2016-07-29 Order / Relating to the Listing and Trading of the Shares of the First Trust Strategic Mortgage REIT ETF of First Trust Exchange-Traded Fund VIII SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-51517 81-FR-51517 34-78444 https://www.sec.gov/rules/sro/box/2016/34-78444.pdf SR-BOX-2016-37 2016-07-29 Notice / Immediate Effectiveness to Detail How Complex Orders Will Execute Through the Facilitation Auction Mechanism SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-51533 81-FR-51533 34-78445 https://www.sec.gov/rules/sro/chx/2016/34-78445.pdf SR-CHX-2016-11 2016-07-29 Notice / Immediate Effectiveness to Adopt the Securities Trader Registration Category and the Series 57 Securities Trader Examination Registration Requirement SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-51513 81-FR-51513 34-78446 https://www.sec.gov/rules/sro/chx/2016/34-78446.pdf SR-CHX-2016-12 2016-07-29 Notice / Immediate Effectiveness to Provide Web-based Delivery of the Continuing Education Program SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-51530 81-FR-51530 34-78447 https://www.sec.gov/rules/sro/iex/2016/34-78447.pdf SR-IEX-2016-03 2016-07-29 Notice / Immediate Effectiveness to Correct Typographical Errors in Certain Referenced Time Frames SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-51528 81-FR-51528 34-78448 https://www.sec.gov/rules/sro/icc/2016/34-78448.pdf SR-ICC-2016-010 2016-07-29 Notice / to Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-51523 81-FR-51523 34-78449 https://www.sec.gov/rules/sro/box/2016/34-78449.pdf SR-BOX-2016-26 2016-08-01 Notice / Immediate Effectiveness to Amend the BOX Rules Regarding Participants and Associated Persons Who are or Become Subject to a Statutory Disqualification SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-51947 81-FR-51947 34-78450 https://www.sec.gov/rules/sro/cboe/2016/34-78450.pdf SR-CBOE-2016-051 2016-08-01 Notice / Immediate Effectiveness Relating to the Series 9/10 Examination Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-51949 81-FR-51949 34-78451 https://www.sec.gov/rules/sro/nasdaq/2016/34-78451.pdf SR-NASDAQ-2016-105 2016-08-01 Notice / Immediate Effectiveness Relating to the Listing and Trading of the Shares of the Eaton Vance Floating-Rate & High Income NextShares of the Eaton Vance NextShares Trust II SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-51946 81-FR-51946 34-78452 https://www.sec.gov/rules/sro/batsedgx/2016/34-78452.pdf SR-BATSEDGX-2016-33 2016-08-01 Notice/ Immediate Effectiveness to Adopt an Options Regulatory Fee SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-51951 81-FR-51951 34-78453 https://www.sec.gov/rules/sro/batsbzx/2016/34-78453.pdf SR-BATSBZX-2016-42 2016-08-01 Notice / Immediate Effectiveness to Amend the Options Regulatory Fee SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-51954 81-FR-51954 34-78454 https://www.sec.gov/rules/sro/batsbzx/2016/34-78454.pdf SR-BATSBZX-2016-46 2016-08-02 Notice / Immediate Effectiveness to Extend the Pilot Period for the Exchange's Supplemental Competitive Liquidity Provider Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52494 81-FR-52494 34-78455 https://www.sec.gov/rules/sro/batsbzx/2016/34-78455.pdf SR-BATSBZX-2016-43 2016-08-02 Notice / Immediate Effectiveness to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52504 81-FR-52504 34-78456 https://www.sec.gov/rules/sro/batsbyx/2016/34-78456.pdf SR-BATSBYX-2016-19 2016-08-02 Notice / Immediate Effectiveness to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52503 81-FR-52503 34-78457 https://www.sec.gov/litigation/admin/2016/34-78457.pdf IA-4468 IC-32202 3-17365 2016-08-02 Order Instituting Administrative and Cease-and-Desist Proceedings, AP Litigated Alison, Stephen D. Alison, LLC N/A 34-78458 https://www.sec.gov/litigation/opinions/2016/34-78458.pdf 3-17249 2016-08-02 Order Denying Request to Vacate Bars Order Woolf, Linda N/A 34-78459 https://www.sec.gov/rules/sro/batsedga/2016/34-78459.pdf SR-BATSEDGA-2016-17 2016-08-02 Notice / Immediate Effectiveness to Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52491 81-FR-52491 34-78460 https://www.sec.gov/rules/sro/batsedgx/2016/34-78460.pdf SR-BATSEDGX-2016-36 2016-08-02 Notice / Immediate Effectiveness Reflect the Dissolution of One of the Exchange's Intermediate Holding Companies, Direct Edge Holdings LLC SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52496 81-FR-52496 34-78461 https://www.sec.gov/rules/sro/c2/2016/34-78461.pdf SR-C2-2016-015 2016-08-02 Notice / Immediate Effectiveness Relating to Adopting a Principles-based Approach to Prohibit the Misuse of Material Nonpublic Information by Market-Makers and Designated Primary Market-Makers ("DPMs") SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-52498 81-FR-52498 34-78462 https://www.sec.gov/rules/sro/nasdaq/2016/34-78462.pdf SR-NASDAQ-2016-101 2016-08-02 Notice / to Add Nasdaq Rule 7046 (Nasdaq Trading Insights) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-52486 81-FR-52486 34-78463 https://www.sec.gov/litigation/opinions/2016/34-78463.pdf 3-16151 2016-08-02 Order Denying Request to Vacate Bars Order Stuart, Stephen N/A 34-78464 https://www.sec.gov/litigation/opinions/2016/34-78464.pdf 3-15819 2016-08-02 Order Denying Request to Vacate Bars Order Sheinwald, Alan N/A 34-78465 https://www.sec.gov/litigation/opinions/2016/34-78465.pdf 3-16818 2016-08-02 Order Denying Request to Vacate Bars Order McGee, Timothy J. N/A 34-78466 https://www.sec.gov/litigation/opinions/2016/34-78466.pdf 3-15624 2016-08-02 Order Denying Request to Vacate Bars Order Guyette, John B. N/A 34-78467 https://www.sec.gov/litigation/opinions/2016/34-78467.pdf 3-14139 2016-08-02 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Zurita, Michael Antonio N/A 34-78468 https://www.sec.gov/litigation/opinions/2016/34-78468.pdf IC-32205 3-14324 2016-08-02 Order Denying Request to Vacate Bars Order Boppre, Brian W. N/A 34-78469 https://www.sec.gov/litigation/opinions/2016/34-78469.pdf 3-15035 2016-08-02 Order Denying Request to Vacate Bars Order Turner, James F., II N/A 34-78470 https://www.sec.gov/litigation/opinions/2016/34-78470.pdf 3-15266 2016-08-02 Order Denying Request to Vacate Bars Order Healy, Sean Nathan N/A 34-78471 https://www.sec.gov/litigation/admin/2016/34-78471.pdf 3-17226 2016-08-02 Extension Order Order Wanger, Eric David N/A 34-78472 https://www.sec.gov/rules/sro/batsedgx/2016/34-78472.pdf SR-BATSEDGX-2016-35 2016-08-03 Notice / Immediate Effectiveness to Rule 11.21, Retail Orders, to Conform to the Rules of Bats BZX Exchange, Inc. and Bats BYX Exchange, Inc. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-52718 81-FR-52718 34-78473 https://www.sec.gov/rules/sro/17d-2/2016/34-78473.pdf 4-566 2016-08-03 Notice / Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Among Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., Chicago Stock Exchange, Inc., Bats EDGA Exchange, Inc., Bats EDGX Exchange, SRO Filing Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 http://www.federalregister.gov/citation/81-FR-52722 81-FR-52722 34-78474 https://www.sec.gov/rules/other/2016/34-78474.pdf 4-701 2016-08-03 Order / Declaring Effective a Minor Rule Violation Plan Order Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-52717 81-FR-52717 34-78475 https://www.sec.gov/rules/sro/iex/2016/34-78475.pdf SR-IEX-2016-05 2016-08-03 Notice / Immediate Effectiveness to Amend Rule 11.330 to Combine the TOPS and LAST Data Products and Make Minor Correcting and Conforming Changes to the Description of TOPS Viewer SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-52730 81-FR-52730 34-78476 https://www.sec.gov/litigation/admin/2016/34-78476.pdf 3-17246 2016-08-03 Order Making Findings and Imposing Remedial Sanctions AP Settled Ruehle, Greg N/A 34-78477 https://www.sec.gov/rules/sro/nms/2016/34-78477.pdf 4-668 2016-08-04 Notice / Immediate Effectiveness Amendment No. 4 to the National Market System Plan Governing the Process of Selecting a Plan Processor and Developing a Plan for the Consolidated Audit Trail by BATS Exchange, Inc., BATS-Y Exchange, Inc., BOX Options Excha SRO Filing Joint Industry Plan http://www.federalregister.gov/citation/81-FR-52917 81-FR-52917 34-78478 https://www.sec.gov/rules/sro/c2/2016/34-78478.pdf SR-C2-2016-014 2016-08-04 Notice / Immediate Effectiveness Relating to AIM Retained Orders SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-52922 81-FR-52922 34-78479 https://www.sec.gov/rules/sro/nysearca/2016/34-78479.pdf SR-NYSEARCA-2016-105 2016-08-04 Notice / Immediate Effectiveness Amending the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-52920 81-FR-52920 34-78480 https://www.sec.gov/rules/sro/nasdaq/2016/34-78480.pdf SR-NASDAQ-2016-097 2016-08-04 Notice / Immediate Effectiveness Related to Detection of Loss of Connection SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-52926 81-FR-52926 34-78481 https://www.sec.gov/rules/sro/iex/2016/34-78481.pdf SR-IEX-2016-07 2016-08-04 Notice / Immediate Effectiveness to Adopt Rule 11.340(b) to Set Forth the Requirements for the Collection and Transmission of Data Pursuant to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-52933 81-FR-52933 34-78482 https://www.sec.gov/rules/sro/iex/2016/34-78482.pdf SR-IEX-2016-06 2016-08-05 Notice / Immediate Effectiveness to Amend Rule 11.270(c) Concerning Clearly Erroneous Executions SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-53174 81-FR-53174 34-78483 https://www.sec.gov/rules/sro/nysemkt/2016/34-78483.pdf SR-NYSEMKT-2016-68 2016-08-05 Notice / Amending NYSE Rule 49 -Equities Regarding: (1) the Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-53176 81-FR-53176 34-78484 https://www.sec.gov/rules/sro/nyse/2016/34-78484.pdf SR-NYSE-2016-48 2016-08-05 Notice / Amending NYSE Rule 49 Regarding: (1) the Exchange's Emergency Powers; (2) the Exchange's Disaster Recovery Plans; and (3) Exchange Backup Systems and Mandatory Testing SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-53180 81-FR-53180 34-78485 https://www.sec.gov/rules/sro/nysearca/2016/34-78485.pdf SR-NYSEARCA-2016-115 2016-08-05 Notice / Immediate Effectiveness to Amend the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-53184 81-FR-53184 34-78486 https://www.sec.gov/litigation/opinions/2016/34-78486.pdf 3-17344 2016-08-05 Order Scheduling Briefs Order Hsu, Li-Lin N/A 34-78487 https://www.sec.gov/alj/aljdec/2016/34-78487.pdf 3-16972 2016-08-05 Notice That Initial Decision Has Become Final Notice Cooper, Brett A. N/A 34-78488 https://www.sec.gov/alj/aljdec/2016/34-78488.pdf 3-17037 2016-08-05 Notice that Initial Decision has Become Final Notice Palmer, Wayne L. N/A 34-78489 https://www.sec.gov/alj/aljdec/2016/34-78489.pdf 3-16989 2016-08-05 Notice that Initial Decision has Become Final Notice Nevatia, Vinay Kumar N/A 34-78490 https://www.sec.gov/litigation/opinions/2016/34-78490.pdf 3-15168 2016-08-05 Corrected Opinion of the Commission Opinions Bennett, Darren M., CPA Aesoph, John J., CPA N/A 34-78491 https://www.sec.gov/litigation/admin/2016/34-78491.pdf 3-17242 2016-08-08 Notice that Initial Decision has Become Final Notice Rush Exploration, Inc. Giant Resources, Inc. N/A 34-78492 https://www.sec.gov/litigation/admin/2016/34-78492.pdf 3-17248 2016-08-08 Notice that Initial Decision has Become Final Notice Northcore Technologies, Inc. Groveware Technologies, Ltd. Luve Sports, Inc. N/A 34-78493 https://www.sec.gov/litigation/admin/2016/34-78493.pdf 3-17259 2016-08-08 Notice That Initial Decision Has Become Final Notice Hauge Technology, Inc. Greenpower International Group Ltd. N/A 34-78494 https://www.sec.gov/litigation/admin/2016/34-78494.pdf 3-17247 2016-08-08 Notice That Initial Decision Has Become Final Notice Li-ion Motors Corp. N/A 34-78495 https://www.sec.gov/litigation/admin/2016/34-78495.pdf 3-17241 2016-08-08 Notice That Initial Decision Has Become Final Notice EQCO2, Inc. N/A 34-78496 https://www.sec.gov/litigation/admin/2016/34-78496.pdf 3-17258 2016-08-08 Notice that Initial Decision has become Final Notice China Unistone N/A 34-78497 https://www.sec.gov/rules/sro/nysearca/2016/34-78497.pdf SR-NYSEARCA-2016-110 2016-08-08 Notice / Immediate Effectiveness Amending Section 3 of NYSE Arca Equities Rule 8 to Extend the Effectiveness of the Exchange Traded Product Incentive Program SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-53524 81-FR-53524 34-78498 https://www.sec.gov/rules/sro/nyse/2016/34-78498.pdf SR-NYSE-2016-52 2016-08-08 Notice / Immediate Effectiveness to Amend Rule 19 to Specify in Exchange.... SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-53531 81-FR-53531 34-78499 https://www.sec.gov/rules/sro/nysearca/2016/34-78499.pdf SR-NYSEARCA-2016-106 2016-08-08 Notice / Immediate Effectiveness to Specify in Exchange Rules the Exchange's Use of Data Feeds from Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-53518 81-FR-53518 34-78500 https://www.sec.gov/rules/sro/nysemkt/2016/34-78500.pdf SR-NYSEMKT-2016-72 2016-08-08 Notice / Immediate Effectiveness to Amend NYSE MKT Rule 19 - Equities to Specify in Exchange Rules the Exchange's Use of Data Feeds from Investors' Exchange, LLC for Order Handling and Execution, Order Routing, and Regulatory Compliance SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-53521 81-FR-53521 34-78501 https://www.sec.gov/rules/sro/icc/2016/34-78501.pdf SR-ICC-2016-007 2016-08-08 Order / to Revise the ICC End-of-Day Price Discovery Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-53530 81-FR-53530 34-78502 https://www.sec.gov/rules/sro/iex/2016/34-78502.pdf SR-IEX-2016-10 2016-08-08 Notice / Immediate Effectiveness to Amend Rule 9.218 to Specify the List of Violations Eligible for Disposition Under IEX's Minor Rule Violation Plan SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-53509 81-FR-53509 34-78503 https://www.sec.gov/rules/sro/chx/2016/34-78503.pdf SR-CHX-2016-13 2016-08-08 Notice / Immediate Effectiveness to Update or Adopt Various Fees for Services... SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-53519 81-FR-53519 34-78504 https://www.sec.gov/rules/sro/chx/2016/34-78504.pdf SR-CHX-2016-14 2016-08-08 Notice / Immediate Effectiveness to Amend the Continuing Education Fees SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-53523 81-FR-53523 34-78505 https://www.sec.gov/rules/sro/miax/2016/34-78505.pdf SR-MIAX-2016-23 2016-08-08 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-53527 81-FR-53527 34-78506 https://www.sec.gov/litigation/suspensions/2016/34-78506.pdf 500-1 2016-08-09 Trading Suspension Trading Suspension Guanwei Recycling Corp. John D. Oil and Gas Company Computer Graphics International Inc. Legal Life Plans, Inc. ThermoEnergy Corporation Chang-On International, Inc. Reunion Industries, Inc. Powder River Coal Corp. http://www.federalregister.gov/citation/81-FR-53174 81-FR-53174 34-78507 https://www.sec.gov/litigation/admin/2016/34-78507.pdf 3-17366 2016-08-09 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Chang-On International, Inc. John D. Oil and Gas Company Legal Life Plans, Inc. Powder River Coal Corp. Computer Graphics International Inc. Capitol City Bancshares, Inc. N/A 34-78508 https://www.sec.gov/rules/sro/c2/2016/34-78508.pdf SR-C2-2016-016 2016-08-09 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-54144 81-FR-54144 34-78509 https://www.sec.gov/rules/sro/iex/2016/34-78509.pdf SR-IEX-2016-08 2016-08-09 Notice / Immediate Effectiveness to Amend Rule 11.190(f) to Make Correcting and Clarifying Changes SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-54140 81-FR-54140 34-78510 https://www.sec.gov/rules/sro/iex/2016/34-78510.pdf SR-IEX-2016-11 2016-08-09 Notice / Immediate Effectiveness to Amend Rule 11.190(g) Related to Discretionary Peg Orders SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-54166 81-FR-54166 34-78511 https://www.sec.gov/rules/sro/cboe/2016/34-78511.pdf SR-CBOE-2016-049 2016-08-09 Notice / Designation of a Longer Period for Commission Action to List Options that Overlie the FTSE Developed Europe Index and the FTSE Emerging Index, to Raise the Comprehensive Surveillance Agreement Percentage Applicable to Certain Index Options, and t SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-54173 81-FR-54173 34-78512 https://www.sec.gov/rules/sro/nyse/2016/34-78512.pdf SR-NYSE-2016-53 2016-08-09 Notice / Immediate Effectiveness Amending Rule 123D Relating to When a DMM may Reopen a Security Electronically SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-54149 81-FR-54149 34-78513 https://www.sec.gov/rules/sro/cboe/2016/34-78513.pdf SR-CBOE-2016-058 2016-08-09 Notice / Immediate Effectiveness Relating to Rule 24.6 SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-54137 81-FR-54137 34-78514 https://www.sec.gov/rules/sro/box/2016/34-78514.pdf SR-BOX-2016-38 2016-08-09 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-54147 81-FR-54147 34-78515 https://www.sec.gov/litigation/admin/2016/34-78515.pdf 3-17367 2016-08-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lobelsky, Terry Pickering N/A 34-78516 https://www.sec.gov/litigation/admin/2016/34-78516.pdf IA-4474 3-17369 2016-08-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Gray, David R., II N/A 34-78517 https://www.sec.gov/rules/sro/batsbzx/2016/34-78517.pdf SR-BATSBZX-2016-44 2016-08-09 Notice of Filing /Immediate Effectiveness Related to Fees for Use of the Exchange's Options Platform SRO Filing Bats BZX Echange, Inc. http://www.federalregister.gov/citation/81-FR-54134 81-FR-54134 34-78518 https://www.sec.gov/litigation/admin/2016/34-78518.pdf IA-4475 3-17370 2016-08-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Walter, Merle G. N/A 34-78519 https://www.sec.gov/rules/sro/miax/2016/34-78519.pdf SR-MIAX-2016-21 2016-08-09 Notice / Immediate Effectiveness to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-54162 81-FR-54162 34-78520 https://www.sec.gov/rules/sro/dtc/2016/34-78520.pdf SR-DTC-2016-005 2016-08-09 Notice / Immediate Effectiveness Regarding the Implementation of Functionality to Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option to Cover of Protect Directly with Agent SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-54170 81-FR-54170 34-78521 https://www.sec.gov/rules/sro/nysearca/2016/34-78521.pdf SR-NYSEARCA-2016-108 2016-08-09 Notice / Immediate Effectiveness in the Permitted Size of a Basket Applicable to Shares of ETFS Physical Silver Shares Issued by the ETFS Silver Trust SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-54142 81-FR-54142 34-78522 https://www.sec.gov/rules/sro/batsedgx/2016/34-78522.pdf SR-BATSEDGX-2016-40 2016-08-09 Notice / Immediate Effectiveness Related to Fees for Use of the Exchange's Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-54152 81-FR-54152 34-78523 https://www.sec.gov/rules/sro/nysearca/2016/34-78523.pdf SR-NYSEARCA-2016-107 2016-08-09 Notice / Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-54155 81-FR-54155 34-78524 2016-08-09 INTENTIONALLY OMITTED 34-78525 https://www.sec.gov/rules/sro/nscc/2016/34-78525.pdf SR-NSCC-2016-002 2016-08-09 Notice / Immediate Effectiveness to Add a Clearing Fund Maintenance Fee SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-54146 81-FR-54146 34-78526 https://www.sec.gov/rules/sro/occ/2016/34-78526.pdf SR-OCC-2016-008 2016-08-10 Notice / Immediate Effectiveness to Revise The Options Clearing Corporation's Schedule of Fees SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-54632 81-FR-54632 34-78527 https://www.sec.gov/rules/sro/batsbzx/2016/34-78527.pdf SR-BATSBZX-2016-47 2016-08-10 Notice / Immediate Effectiveness to Establish a Closing Contingency Procedure SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-54628 81-FR-54628 34-78528 https://www.sec.gov/litigation/admin/2016/34-78528.pdf 3-17371 2016-08-10 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled BlueLinx Holdings, Inc. N/A 34-78529 https://www.sec.gov/rules/sro/ficc/2016/34-78529.pdf SR-FICC-2016-004 2016-08-10 Notice / Immediate Effectiveness to Add a Clearing Fund Maintenance Fee SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-54626 81-FR-54626 34-78530 https://www.sec.gov/rules/sro/dtc/2016/34-78530.pdf SR-DTC-2016-006 2016-08-10 Notice / Immediate Effectiveness to Add a Participants Fund Maintenance Fee SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/81-FR-54639 81-FR-54639 34-78531 https://www.sec.gov/rules/sro/cboe/2016/34-78531.pdf SR-CBOE-2016-046 2016-08-10 Order / to Expand the Nonstandard Expirations Pilot Program to Include Monday Expirations SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-54643 81-FR-54643 34-78532 https://www.sec.gov/litigation/opinions/2016/33-10119.pdf 33-10119 IA-4476 IC-32210 3-15737 2016-08-10 Opinion Opinion Gonnella, Thomas C. N/A 34-78533 https://www.sec.gov/rules/sro/nasdaq/2016/34-78533.pdf SR-NASDAQ-2016-086 2016-08-10 Order / as Modified by Amendment No. 1 Thereto, to List and Trade the Shares of the VanEck Vectors Long/Flat Commodity ETF SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-54634 81-FR-54634 34-78534 https://www.sec.gov/rules/sro/cboe/2016/34-78534.pdf SR-CBOE-2016-060 2016-08-10 Notice / Immediate Effectiveness to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-54631 81-FR-54631 34-78535 https://www.sec.gov/rules/sro/batsedgx/2016/34-78535.pdf SR-BATSEDGX-2016-04 2016-08-10 Notice / Immediate Effectiveness Related to Fees SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-54640 81-FR-54640 34-78536 https://www.sec.gov/rules/sro/batsedga/2016/34-78536.pdf SR-BATSEDGA-2016-18 2016-08-10 Notice / Immediate Effectiveness Related to Logical Port Fees SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-54624 81-FR-54624 34-78537 https://www.sec.gov/litigation/admin/2016/34-78537.pdf IA-4477 3-17372 2016-08-10 Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing AP Litigated Island Trader LLC Nickles, Richard H. N/A 34-78538 https://www.sec.gov/litigation/admin/2016/34-78538.pdf 3-17374 2016-08-10 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Dominion Minerals Corp. Nexus Data Security Corp. Foxwedge, Inc. Juniper Acquisition Corporation Harrington Resources, Inc. N/A 34-78539 https://www.sec.gov/litigation/admin/2016/34-78539.pdf 3-17375 2016-08-10 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Basin Industries, Inc. Ameralink, Inc. Clinicorp, Inc. (n/k/a Trident Medical Concepts, Inc.) Claire Coast Corporation N/A 34-78540 https://www.sec.gov/litigation/admin/2016/34-78540.pdf 3-17376 2016-08-10 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Eastland Financial Corp. Greater Asia Realty Holdings, Ltd. Granite Cliffs, Incorporated N/A 34-78541 https://www.sec.gov/litigation/admin/2016/34-78541.pdf 3-13847 2016-08-11 Second Order Directing Disbursement of Fair Fund Order Morgan Asset Management, Inc. Morgan Keegan & Company, Inc. Kelsoe, James C., Jr. Weller, Joseph Thompson, CPA N/A 34-78542 https://www.sec.gov/rules/sro/batsbyx/2016/34-78542.pdf SR-BATSBYX-2016-20 2016-08-11 Notice / Immediate Effectiveness Related to Logical Port Fees SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-54896 81-FR-54896 34-78543 https://www.sec.gov/rules/sro/batsbzx/2016/34-78543.pdf SR-BATSBZX-2016-45 2016-08-11 Notice / Immediate Effectiveness Related to Logical Port Fees SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-54904 81-FR-54904 34-78544 https://www.sec.gov/rules/sro/nysemkt/2016/34-78544.pdf SR-NYSEMKT-2016-73 2016-08-11 Notice / Amending Rule 980NY(d) to Provide for the Rejection of Certain Electronic Complex Orders SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-54893 81-FR-54893 34-78545 https://www.sec.gov/rules/sro/nysearca/2016/34-78545.pdf SR-NYSEARCA-2016-111 2016-08-11 Notice / Immediate Effectiveness to Amend the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services Related to Tier 1 and Cross Asset Tier 2 Fees and Credits for Orders Executed on the Exchange, and Eliminate the Routable Retail Order Tier SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-54891 81-FR-54891 34-78546 https://www.sec.gov/rules/sro/nysearca/2016/34-78546.pdf SR-NYSEARCA-2016-109 2016-08-11 Notice / Amending Rule 6.91(b) to Provide for the Rejection of Certain Electronic Complex Orders SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-54867 81-FR-54867 34-78547 https://www.sec.gov/rules/sro/miax/2016/34-78547.pdf SR-MIAX-2016-24 2016-08-11 Notice / Immediate Effectiveness to Amend Exchange Rule 517 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-54911 81-FR-54911 34-78548 https://www.sec.gov/rules/sro/nysemkt/2016/34-78548.pdf SR-NYSEMKT-2016-74 2016-08-11 Notice / Immediate Effectiveness to Modify the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-54887 81-FR-54887 34-78549 https://www.sec.gov/rules/sro/finra/2016/34-78549.pdf SR-FINRA-2016-029 2016-08-11 Notice / Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se Customers to File and Serve Pleadings and Documents Through the FINRA Office of SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-54858 81-FR-54858 34-78550 https://www.sec.gov/rules/sro/iex/2016/34-78550.pdf SR-IEX-2016-09 2016-08-11 Notice / Immediate Effectiveness Related to Transaction and Regulatory Fees SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-54873 81-FR-54873 34-78551 https://www.sec.gov/litigation/admin/2016/34-78551.pdf IA-4480 3-17378 2016-08-11 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Meyer, Ricky T. N/A 34-78552 https://www.sec.gov/rules/sro/17d-2/2016/34-78552.pdf 4-618 2016-08-11 Notice / Order Approving and Declaring Effective an Amendment to the Plan for the Allocation of Regulatory Responsibilities Between Bats BZX Exchange, Inc., Bats BYX Exchange, Inc., BOX Options Exchange LLC, Chicago Board Options Exchange, Incorporated, C SRO Filing Program for Allocation of Regulatory Responsibilities Pursuant to Rule 17d-2 http://www.federalregister.gov/citation/81-FR-54905 81-FR-54905 34-78553 https://www.sec.gov/rules/sro/finra/2016/34-78553.pdf SR-FINRA-2016-030 2016-08-11 Notice / Amending Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions to Dismiss in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-54888 81-FR-54888 34-78554 https://www.sec.gov/rules/sro/cboe/2016/34-78554.pdf SR-CBOE-2016-059 2016-08-11 Notice / Immediate Effectiveness Relating to COPS SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-54870 81-FR-54870 34-78555 https://www.sec.gov/rules/sro/iex/2016/34-78555.pdf SR-IEX-2016-12 2016-08-11 Notice / Immediate Effectiveness to Conform Rules 3.260(d) and 5.110(e) to Corresponding Rules of the Financial Industry Regulatory Authority SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-54897 81-FR-54897 34-78556 https://www.sec.gov/rules/sro/nyse/2016/34-78556.pdf SR-NYSE-2016-45 2016-08-11 Notice / Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-54877 81-FR-54877 34-78557 https://www.sec.gov/rules/sro/finra/2016/34-78557.pdf SR-FINRA-2016-015 2016-08-11 Notice / Amendment No. 1 / Order Accelerating Amending Rule 12904 (Awards) of the Code of Arbitration Procedure for Customer Disputes and Rule 13904 (Awards) of the Code of Arbitration Procedure for Industry Disputes to Permit Award Offsets in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-54901 81-FR-54901 34-78558 https://www.sec.gov/litigation/admin/2016/34-78558.pdf AAER-3794 3-17379 2016-08-11 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Key Energy Services, Inc. N/A 34-78559 https://www.sec.gov/litigation/admin/2016/34-78559.pdf IA-4481 3-17380 2016-08-11 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Wilshinsky, Stephen N/A 34-78560 https://www.sec.gov/litigation/suspensions/2016/34-78560.pdf 500-1 2016-08-12 Trading Suspension Trading Suspension Dynamic Ventures Corp. Safecode Drug Technologies Corp. http://www.federalregister.gov/citation/81-FR-54631 81-FR-54631 34-78561 https://www.sec.gov/litigation/admin/2016/34-78561.pdf 3-17381 2016-08-12 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Safecode Drug Technologies Corp. N/A 34-78562 https://www.sec.gov/litigation/admin/2016/34-78562.pdf 3-17382 2016-08-12 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Triumph Ventures Corp. N/A 34-78563 https://www.sec.gov/litigation/admin/2016/34-78563.pdf 3-17383 2016-08-12 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Dynamic Ventures Corp. N/A 34-78564 https://www.sec.gov/rules/sro/nysearca/2016/34-78564.pdf SR-NYSEARCA-2016-62 2016-08-12 Order / Instituting Proceedings to Determine Whether to Approve or Disapprove Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-55247 81-FR-55247 34-78565 https://www.sec.gov/rules/sro/box/2016/34-78565.pdf SR-BOX-2016-40 2016-08-12 Notice / Immediate Effectiveness to Amend its Fee Schedule to Adopt a New Fee in Section V (Technology Fees) of the BOX Fee Schedule SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-55251 81-FR-55251 34-78566 https://www.sec.gov/rules/sro/icc/2016/34-78566.pdf SR-ICC-2016-009 2016-08-12 Order / to Revise the ICC Treasury Operations Policies and Procedures SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-55254 81-FR-55254 34-78567 https://www.sec.gov/rules/sro/nasdaq/2016/34-78567.pdf SR-NASDAQ-2016-115 2016-08-12 Notice / Immediate Effectiveness to Amend Nasdaq Rule 7018 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-55245 81-FR-55245 34-78568 https://www.sec.gov/litigation/opinions/2016/34-78568.pdf 3-16329 2016-08-12 Opinion Opinion Wedbush, Edward William Wedbush Securities, Inc. N/A 34-78569 https://www.sec.gov/litigation/admin/2016/34-78569.pdf 3-17384 2016-08-12 Order Instituting Administrative Proceedings, Making Findings, and Imposi AP Settled De Maison, Izak Zirk (f/k/a Izak Zirk Engelbrecht) N/A 34-78570 https://www.sec.gov/litigation/suspensions/2016/34-78570.pdf 500-1 2016-08-15 Trading Suspension Trading Suspension Neuromama, Ltd. http://www.federalregister.gov/citation/81-FR-54857 81-FR-54857 34-78571 https://www.sec.gov/litigation/admin/2016/34-78571.pdf IA-4484 IC-32213 3-17386 2016-08-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled Zhou, Tianyu N/A 34-78572 https://www.sec.gov/litigation/admin/2016/33-10120.pdf 33-10120 IA-4485 IC-32214 3-17387 2016-08-15 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Eden Arc Capital Advisors, LLC Lathen, Donald F., Jr. Eden Arc Capital Management, LLC N/A 34-78573 https://www.sec.gov/rules/sro/finra/2016/34-78573.pdf SR-FINRA-2016-032 2016-08-15 Notice / Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-55500 81-FR-55500 34-78574 https://www.sec.gov/litigation/admin/2016/34-78574.pdf IC-32215 3-17172 2016-08-15 Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Clare, Barry B. N/A 34-78575 https://www.sec.gov/litigation/opinions/2016/33-10121.pdf 33-10121 IA-4486 IC-32216 3-15446 2016-08-15 Partial Stay Order Order Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A 34-78576 https://www.sec.gov/rules/sro/phlx/2016/34-78576.pdf SR-PHLX-2016-83 2016-08-15 Notice / Immediate Effectiveness to Amend the Exchange's Pricing Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-55496 81-FR-55496 34-78577 https://www.sec.gov/litigation/admin/2016/34-78577.pdf 3-16017 2016-08-15 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice Linkbrokers Derivatives LLC N/A 34-78578 https://www.sec.gov/rules/sro/nasdaq/2016/34-78578.pdf SR-NASDAQ-2016-109 2016-08-15 Notice / Immediate Effectiveness to Amend Nasdaq Rule 7047 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-55513 81-FR-55513 34-78579 https://www.sec.gov/litigation/admin/2016/34-78579.pdf 3-17388 2016-08-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Barnes, Cathy S. Barnes, Damon M. N/A 34-78580 https://www.sec.gov/litigation/admin/2016/34-78580.pdf 3-17389 2016-08-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Barnes, Jeremy D. N/A 34-78581 https://www.sec.gov/litigation/admin/2016/34-78581.pdf 3-17390 2016-08-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bean, Daniel J. N/A 34-78582 https://www.sec.gov/litigation/admin/2016/34-78582.pdf 3-17391 2016-08-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Shipley, John L. N/A 34-78583 https://www.sec.gov/litigation/admin/2016/34-78583.pdf 3-17392 2016-08-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Beauregard, Joshua M. Beauregard, Jennifer M. N/A 34-78584 2016-08-16 INTENTIONALLY OMITTED 34-78585 https://www.sec.gov/litigation/admin/2016/34-78585.pdf IA-4487 IC-32217 3-17394 2016-08-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Chin, Edwin K. N/A 34-78586 https://www.sec.gov/rules/sro/nysemkt/2016/34-78586.pdf SR-NYSEMKT-2016-62 2016-08-16 Notice / Amending Section 146 of the NYSE MKT Company Guide to Adjust the Entitlement to Services of Special Purpose Acquisition Companies SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-56720 81-FR-56720 34-78587 https://www.sec.gov/rules/sro/nysearca/2016/34-78587.pdf SR-NYSEARCA-2016-87 2016-08-16 Notice / Designation of a Longer Period for Commission Action on a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the First Trust Horizon Managed Volatility Domestic ETF and the First Trust Horizon Managed Volatility SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-56728 81-FR-56728 34-78588 https://www.sec.gov/rules/sro/phlx/2016/34-78588.pdf SR-PHLX-2016-79 2016-08-16 Notice / to Amend Rule 1017, Openings in Options SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-56733 81-FR-56733 34-78589 https://www.sec.gov/rules/sro/nyse/2016/34-78589.pdf SR-NYSE-2016-55 2016-08-16 Notice / Adopting Maximum Fees Member Organizations may Charge in Connection with the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-56717 81-FR-56717 34-78590 https://www.sec.gov/litigation/admin/2016/34-78590.pdf 3-17396 2016-08-16 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Health Net, Inc. N/A 34-78591 https://www.sec.gov/litigation/admin/2016/34-78591.pdf IA-4489 3-17397 2016-08-16 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Oppenheim, Michael J. N/A 34-78592 https://www.sec.gov/rules/sro/nasdaq/2016/34-78592.pdf SR-NASDAQ-2016-061 2016-08-16 Order / to List and Trade Shares of the First Trust Equity Market Neutral ETF of the First Trust Exchange-Traded Fund VIII SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-56729 81-FR-56729 34-78593 https://www.sec.gov/rules/sro/phlx/2016/34-78593.pdf SR-PHLX-2016-82 2016-08-16 Notice / to Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Priced Orders SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-56724 81-FR-56724 34-78594 https://www.sec.gov/litigation/admin/2016/33-10122.pdf 33-10122 3-17398 2016-08-16 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A 34-78595 https://www.sec.gov/litigation/opinions/2016/34-78595.pdf 3-15350 2016-08-16 Order Granting Petition for Review and Scheduling Briefs Order Securities Industry and Financial Markets Association N/A 34-78596 https://www.sec.gov/litigation/opinions/2016/33-10124.pdf 33-10124 3-17013 2016-08-16 Order Granting Petition for Review and Scheduling Briefs Order Perres, Allen M. N/A 34-78597 https://www.sec.gov/litigation/suspensions/2016/34-78597.pdf 500-1 2016-08-17 Trading Suspension Trading Suspension Imperial Plantation Corporation http://www.federalregister.gov/citation/81-FR-55496 81-FR-55496 34-78598 https://www.sec.gov/rules/sro/nysemkt/2016/34-78598.pdf SR-NYSEMKT-2016-52 2016-08-17 Notice / Designation of a Longer Period for Commission Action on Proposed Rule Change Amending Rules 340, 341, and 359 to Extend the Time Within Which a Member, Member Organization, or an ATP Holder Must File a Uniform Termination Notice for Securities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-57642 81-FR-57642 34-78599 https://www.sec.gov/litigation/admin/2016/34-78599.pdf 3-17399 2016-08-17 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Goldstein, Gregory N/A 34-78600 https://www.sec.gov/rules/sro/nyse/2016/34-78600.pdf SR-NYSE-2016-54 2016-08-17 Notice / Immediate Effectiveness Extending the Pilot Period for the Exchange's Retail Liquidity Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-57642 81-FR-57642 34-78601 https://www.sec.gov/rules/sro/nysearca/2016/34-78601.pdf SR-NYSEARCA-2016-113 2016-08-17 Notice / Immediate Effectiveness Extending the Pilot Period for the Exchange's Retail Liquidity Program SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-57632 81-FR-57632 34-78602 https://www.sec.gov/rules/sro/nysemkt/2016/34-78602.pdf SR-NYSEMKT-2016-76 2016-08-17 Notice of Filing / Immediate Effectiveness Extending the Pilot Period for the Exchange's Retail Liquidity Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-57639 81-FR-57639 34-78603 https://www.sec.gov/litigation/admin/2016/34-78603.pdf 3-17400 2016-08-17 Order Instituting Administrative and Cease-and Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Delaney Equity Group LLC N/A 34-78604 https://www.sec.gov/rules/sro/iceeu/2016/34-78604.pdf SR-ICEEU-2016-009 2016-08-17 Notice / Relating to the Settlement of UK Spot Natural Gas Contracts and European Emissions Contracts SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-57635 81-FR-57635 34-78605 https://www.sec.gov/rules/sro/nasdaq/2016/34-78605.pdf SR-NASDAQ-2016-118 2016-08-17 Notice / Immediate Effectiveness to Correct a Typographical Error in Rules IM-5910-1 and IM-5920-1 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-57641 81-FR-57641 34-78606 https://www.sec.gov/litigation/admin/2016/34-78606.pdf 3-17403 2016-08-17 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Esposito, Justin N/A 34-78607 https://www.sec.gov/litigation/admin/2016/34-78607.pdf AAER-3795 3-17126 2016-08-17 Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Maiher, Jason N/A 34-78608 https://www.sec.gov/litigation/admin/2016/34-78608.pdf 3-17405 2016-08-18 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated Bay City Transfer Agency and Registrar, Inc. Amersey, Nitin M. N/A 34-78609 https://www.sec.gov/rules/sro/finra/2016/34-78609.pdf SR-FINRA-2016-031 2016-08-18 Notice / Immediate Effectiveness Relating to Use of the Alternative Display Facility for Trade Reporting Purpose Only SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-57964 81-FR-57964 34-78610 https://www.sec.gov/rules/sro/nysearca/2016/34-78610.pdf SR-NYSEARCA-2016-82 2016-08-18 Notice / Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the JPMorgan Diversified Event Driven ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-57960 81-FR-57960 34-78611 https://www.sec.gov/rules/sro/msrb/2016/34-78611.pdf SR-MSRB-2016-07 2016-08-18 Notice / Order Accelerating , as Modified by Amendment No. 1, Consisting of Proposed Amendments to Rule G-12, on Uniform Practice, Regarding Close-Out Procedures for Municipal Securities SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-57960 81-FR-57960 34-78612 https://www.sec.gov/rules/sro/miax/2016/34-78612.pdf SR-MIAX-2016-29 2016-08-18 Notice / Immediate Effectiveness to Amend Exchange Rules 803 and 1308 SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-57984 81-FR-57984 34-78613 https://www.sec.gov/rules/sro/batsbzx/2016/34-78613.pdf SR-BATSBZX-2016-35 2016-08-18 Notice / Notice of Designation of a Longer Period for Commission Action on a Proposed Rule Change to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-57967 81-FR-57967 34-78614 https://www.sec.gov/rules/sro/nysearca/2016/34-78614.pdf SR-NYSEARCA-2016-64 2016-08-18 Order / as Modified by Amendment Nos. 1 and 2, to List and Trade Shares of the AdvisorShares KIM Korea Equity ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-57981 81-FR-57981 34-78615 https://www.sec.gov/rules/sro/nysearca/2016/34-78615.pdf SR-NYSEARCA-2016-117 2016-08-18 Notice / Immediate Effectiveness to Amend NYSE Arca Equities Rules 7.25P, 7.34P, 7.18P, and 7.31P Regarding Order Processing Following an Auction or When Transitioning from One Trading Session to Another SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-57986 81-FR-57986 34-78616 https://www.sec.gov/rules/sro/nasdaq/2016/34-78616.pdf SR-NASDAQ-2016-104 2016-08-18 Notice / to Amend Nasdaq Rule 5735 to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-57968 81-FR-57968 34-78617 https://www.sec.gov/rules/sro/finra/2016/34-78617.pdf SR-FINRA-2015-054 2016-08-18 Order / as modified by Amendment Nos. 1 and 2 to adopt FINRA Capital Acquisitions Broker Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-57948 81-FR-57948 34-78618 https://www.sec.gov/rules/sro/box/2016/34-78618.pdf SR-BOX-2016-41 2016-08-18 Notice / Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-57977 81-FR-57977 34-78619 2016-08-18 INTENTIONALLY OMITTED 34-78620 https://www.sec.gov/rules/sro/miax/2016/34-78620.pdf SR-MIAX-2016-26 2016-08-18 Notice / to Adopt New Rules to Govern the Trading of Complex Orders on the Exchange SRO Filing Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-58770 81-FR-58770 34-78621 https://www.sec.gov/litigation/opinions/2016/33-10125.pdf 33-10125 3-14848 2016-08-18 Opinion Opinion OptonsXpress Inc. Feldman, Jonathan I. N/A 34-78622 https://www.sec.gov/rules/sro/msrb/2016/34-78622.pdf SR-MSRB-2016-11 2016-08-22 Notice / Immediate Effectiveness to Delay the Due Date for Certain Submissions Under Rule G-45 SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-58989 81-FR-58989 34-78623 https://www.sec.gov/litigation/admin/2016/34-78623.pdf 3-17407 2016-08-22 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Miller, John W.R. N/A 34-78624 https://www.sec.gov/litigation/admin/2016/34-78624.pdf 3-17408 2016-08-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Global Earth Energy, Inc. 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N/A 34-78638 https://www.sec.gov/litigation/opinions/2016/34-78638.pdf 3-17202 2016-08-22 Order Dismissing Proceeding Orders Expleo Solutins, Inc. N/A 34-78639 https://www.sec.gov/litigation/admin/2016/34-78639.pdf 3-17393 2016-08-23 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Peterson, Curtis A. N/A 34-78640 https://www.sec.gov/rules/sro/batsbzx/2016/34-78640.pdf SR-BATSBZX-2016-26 2016-08-23 Notice / Designation of Longer Period for Commission Action/to BZX Rule 14.11(d) to Add the EURO STOXX 50¿ Volatility Futures to the Definition of Futures Reference Asset SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-59257 81-FR-59257 34-78641 https://www.sec.gov/rules/sro/nyse/2016/34-78641.pdf SR-NYSE-2016-44 2016-08-23 Notice / Designation of Longer Period for Commission Action/Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-59259 81-FR-59259 34-78642 https://www.sec.gov/rules/sro/nasdaq/2016/34-78642.pdf SR-NASDAQ-2016-071 2016-08-23 Order/ to List and Trade Shares of the First Trust CEF Income Opportunity ETF and the First Trust Municipal CEF Income Opportunity ETF SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-59253 81-FR-59253 34-78643 https://www.sec.gov/rules/sro/batsbzx/2016/34-78643.pdf SR-BATSBZX-2016-34 2016-08-23 Notice / Designation of Longer Period for Commission Action/to BZX Rule 14.11(i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-59253 81-FR-59253 34-78644 https://www.sec.gov/rules/sro/nysearca/2016/34-78644.pdf SR-NYSEARCA-2016-87 2016-08-23 Notice / Withdrawal /to List and Trade Shares of the First Trust Horizon Managed Volatility Domestic ETF and the First Trust Horizon Managed Volatility Developed International ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-59711 81-FR-59711 34-78645 https://www.sec.gov/litigation/admin/2016/34-78645.pdf 3-17410 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Eratostene, David Anthony N/A 34-78646 https://www.sec.gov/litigation/admin/2016/34-78646.pdf 3-17411 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Messina, Alan D. N/A 34-78647 https://www.sec.gov/litigation/admin/2016/34-78647.pdf 3-17412 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Schultz, Gary X. N/A 34-78648 https://www.sec.gov/litigation/admin/2016/34-78648.pdf 3-17413 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Stein, Chazon N/A 34-78649 https://www.sec.gov/litigation/admin/2016/34-78649.pdf 3-17414 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Calash, Michael J. N/A 34-78650 https://www.sec.gov/litigation/admin/2016/34-78650.pdf 3-17415 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Angeletti, Michael T. N/A 34-78651 https://www.sec.gov/litigation/admin/2016/34-78651.pdf 3-17416 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Borgo, Christopher J. N/A 34-78652 https://www.sec.gov/rules/proposed/2016/33-10127.pdf 33-10127 S7-10-16 2016-08-23 Proposed Rule/Extension of comment period Ext. of Comment Period Extension of Comment Period for Modernization of Property Disclosures http://www.federalregister.gov/citation/81-FR-58877 81-FR-58877 34-78653 https://www.sec.gov/rules/sro/batsbzx/2016/34-78653.pdf SR-BATSBZX-2016-30 2016-08-23 Notice / Designation of Longer Period for Commission Action/to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-59256 81-FR-59256 34-78654 https://www.sec.gov/rules/sro/nasdaq/2016/34-78654.pdf SR-NASDAQ-2016-117 2016-08-23 Notice / Immediate Effectiveness/Relating to the Elkhorn Commodity Rotation Strategy ETF of the Elkhorn ETF Trust SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-59257 81-FR-59257 34-78655 https://www.sec.gov/litigation/admin/2016/34-78655.pdf 3-17417 2016-08-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Kuber, Douglas N/A 34-78656 https://www.sec.gov/litigation/admin/2016/34-78656.pdf 3-17418 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ho, Thomas T.M. N/A 34-78657 https://www.sec.gov/litigation/admin/2016/34-78657.pdf 3-17419 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ivener, Mark A. Ivener & Fullmer, LLP N/A 34-78658 https://www.sec.gov/litigation/admin/2016/34-78658.pdf 3-17420 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lawler, Martin J. N/A 34-78659 https://www.sec.gov/litigation/admin/2016/34-78659.pdf 3-14594 2016-08-24 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice Credit Suisse Alternative Capital, LLC Credit Suisse Asset Management , LLC Bhatt, Samir H. N/A 34-78660 https://www.sec.gov/rules/sro/finra/2016/34-78660.pdf SR-FINRA-2016-034 2016-08-24 Notice / Immediate Effectiveness/to Extend the Effective Date of SR-FINRA-2016-028 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-59676 81-FR-59676 34-78661 https://www.sec.gov/rules/sro/nyse/2016/34-78661.pdf SR-NYSE-2016-57 2016-08-24 Notice / Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-59699 81-FR-59699 34-78662 https://www.sec.gov/rules/sro/nysearca/2016/34-78662.pdf SR-NYSEARCA-2016-119 2016-08-24 Notice / Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-58674 81-FR-58674 34-78663 https://www.sec.gov/rules/sro/nysemkt/2016/34-78663.pdf SR-NYSEMKT-2016-80 2016-08-24 Notice / Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchange's Ultimate Parent Company, Intercontinental Exchange, Inc. SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-59696 81-FR-59696 34-78664 https://www.sec.gov/rules/sro/nyse/2016/34-78664.pdf SR-NYSE-2016-40 2016-08-24 Notice / Immediate Effectiveness/Amending the Text of Current Rule 8313; Amending Rules Relating to the Imposition of Temporary and Current Cease and Desist Orders to Correspond to Recent Amendments by FINRA; and Making Certain Technical and Conforming Changes to Rule 9310 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-59678 81-FR-59678 34-78665 https://www.sec.gov/rules/sro/phlx/2016/34-78665.pdf SR-PHLX-2016-85 2016-08-24 Notice / Immediate Effectiveness to Amend the Exchange's Connectivity Fees at Chapter VIII of the NASDAQ PHLX LLC Pricing Schedule SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-59693 81-FR-59693 34-78666 https://www.sec.gov/rules/sro/batsbzx/2016/34-78666.pdf SR-BATSBZX-2016-48 2016-08-24 Notice /to Rule 14.11(c)(4) to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-59700 81-FR-59700 34-78667 https://www.sec.gov/rules/sro/bx/2016/34-78667.pdf SR-PHLX-2016-58 SR-NASDAQ-2016-067 SR-BX-2016-037 2016-08-24 Notice / Amendment No./Order / Accelerated Approval of Proposed Rule Changes, as Modified by Amendments No. 1, to Adopt Limit Order Protections SRO Filing NASDAQ BX, Inc.; Nasdaq Stock Market LLC; NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-59672 81-FR-59672 34-78668 https://www.sec.gov/rules/sro/box/2016/34-78668.pdf SR-BOX-2016-28 2016-08-24 Order/to Expand the Short Term Option Series Program to Allow Wednesday Expirations for SPY Options SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-59696 81-FR-59696 34-78669 https://www.sec.gov/litigation/opinions/2016/34-78669.pdf 3-17128 2016-08-24 Opinion/Opinion Opinions Parris, Christopher A. N/A 34-78670 https://www.sec.gov/rules/exorders/2016/34-78670.pdf NO FILE NUMBER 2016-08-24 Order Granting Conditional Exemption of Morningstar Credit Ratings, LLC Opinions Morningstar Credit Ratings, LLC N/A 34-78671 https://www.sec.gov/rules/other/2016/34-78671.pdf NO FILE NUMBER 2016-08-24 Order Granting Registration of Morningstar Credit Ratings, LLC for Two Additional Classes of Credit Ratings Orders Morningstar Credit Ratings, LLC N/A 34-78672 https://www.sec.gov/alj/aljdec/2016/34-78672.pdf 3-17003 2016-08-24 Notice That Initial Decision Has Become Final Orders Eichler, Peter J. Jr. N/A 34-78673 https://www.sec.gov/rules/sro/nysemkt/2016/34-78673.pdf SR-NYSEMKT-2016-79 2016-08-25 Notice / Immediate Effectiveness/Amending Its Rules Relating to Pre-Opening Indications and Opening Procedures SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-60038 81-FR-60038 34-78674 https://www.sec.gov/rules/sro/nysearca/2016/34-78674.pdf SR-NYSEARCA-2016-116 2016-08-25 Notice / Immediate Effectiveness Amending NYSE Arca Equities Rule 5.3(i)(3) to Amend the Requirements for the Dissemination of News in Compliance with the Exchange's Immediate Release Policy SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-60091 81-FR-60091 34-78675 https://www.sec.gov/rules/sro/occ/2016/34-78675.pdf SR-OCC-2016-009 2016-08-25 Notice / Concerning the Options Clearing Corporation's Escrow Deposit Program SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-60099 81-FR-60099 34-78676 https://www.sec.gov/rules/sro/nsx/2016/34-78676.pdf SR-NSX-2016-07 2016-08-25 Notice / Immediate Effectiveness/to Amend Rules Regarding Qualification, Registration and Continuing Education for Persons Associated with Equity Trading Permit Holders, to Add Definitions, Amend Definitions, and to Make Technical, Non-Substantive and Conforming Amendments to Rules. SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-60083 81-FR-60083 34-78677 https://www.sec.gov/rules/exorders/2016/34-78677.pdf SR-NYSEARCA-2013-107 2016-08-25 Order / In Connection with Exchange's Retail Liquidity Program Until December 31, 2016 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-60037 81-FR-60037 34-78678 https://www.sec.gov/rules/exorders/2016/34-78678.pdf SR-NYSEAMEX-2011-84 SR-NYSE-2011-55 2016-08-25 Order/Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges? Retail Liquidity Programs Until December 31, 2016 SRO Filing New York Stock Exchange LLC; NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-60031 81-FR-60031 34-78679 https://www.sec.gov/rules/sro/nyse/2016/34-78679.pdf SR-NYSE-2016-59 2016-08-25 Notice / Immediate Effectiveness/Amending Rule 13 to Eliminate Orders with a Sell ?Plus? and Buy ?Minus? Instruction and Retain Orders with a ?Buy Minus Zero Plus? Instruction, and Make Conforming Changes to Rules 104, 107B, 123C and 1004 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-60080 81-FR-60080 34-78680 https://www.sec.gov/rules/sro/phlx/2016/34-78680.pdf SR-PHLX-2016-86 2016-08-25 Notice /to Delete or Amend Outdated Rule Language SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-60110 81-FR-60110 34-78681 https://www.sec.gov/rules/sro/miax/2016/34-78681.pdf SR-MIAX-2016-28 2016-08-25 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-60077 81-FR-60077 34-78682 https://www.sec.gov/litigation/admin/2016/34-78682.pdf 3-17505 2016-08-25 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Kuhn, Kieran T. N/A 34-78683 https://www.sec.gov/rules/sro/finra/2016/34-78683.pdf SR-FINRA-2015-056 2016-08-25 Order/to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish ?Pay-To-Play? and Related Rules SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-60051 81-FR-60051 34-78684 https://www.sec.gov/rules/sro/chx/2016/34-78684.pdf SR-CHX-2016-15 2016-08-25 Notice / Immediate Effectiveness/to Modify the Handling of Intermarket Sweep Orders SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-60034 81-FR-60034 34-78685 https://www.sec.gov/rules/sro/nysemkt/2016/34-78685.pdf SR-NYSEMKT-2016-77 2016-08-25 Notice / Immediate Effectiveness/Amending Rule 900.2NY(18A) SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-60108 81-FR-60108 34-78686 https://www.sec.gov/rules/sro/cboe/2016/34-78686.pdf SR-CBOE-2016-062 2016-08-25 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program to Allow Wednesday Expirations for SPY Options SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-60089 81-FR-60089 34-78687 https://www.sec.gov/rules/other/2016/33-10198.pdf 33-10198 S7-18-16 2016-08-25 Request for Comment Request for Comment 17 CFR Part 229 http://www.federalregister.gov/citation/81-FR-59927 81-FR-59927 34-78688 https://www.sec.gov/litigation/admin/2016/34-78688.pdf 3-17255 2016-08-26 Notice That Initial Decision Has Become Final Notice Bodisen Biotech, Inc. China Global Media, Inc. China Heli Resource Renewable, Inc. GFR Pharmaceuticals, Inc. N/A 34-78689 https://www.sec.gov/litigation/admin/2016/34-78689.pdf 3-17266 2016-08-26 Notice that Initial Decision has Become Final Notice China Vantagepoint Acquisition Co. Citizens Community Bancorp, Inc. Solis Pharma US, Inc. N/A 34-78690 https://www.sec.gov/litigation/admin/2016/34-78690.pdf 3-17256 2016-08-26 Notice that Initial Decision has Become Final Notice Jinzanghuang Tibet Pharmaceuticals, Inc. N/A 34-78691 https://www.sec.gov/litigation/suspensions/2016/34-78691.pdf 500-1 2016-08-26 Trading Suspension Trading Suspensions MarilynJean Interactive Inc. http://www.federalregister.gov/citation/81-FR-59674 81-FR-59674 34-78692 https://www.sec.gov/rules/sro/nysemkt/2016/34-78692.pdf SR-NYSEMKT-2016-81 2016-08-26 Notice / Immediate Effectiveness/Amending Rule 13 ? Equities to Eliminate Orders with a Sell ?Plus? and Buy ?Minus? Instruction and Retain Orders with a ?Buy Minus Zero Plus? Instruction, and Make Conforming Changes to Rules 104? Equities, 107B ? Equities, 123C ? Equities and 1004 ? Equities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-60094 81-FR-60094 34-78693 https://www.sec.gov/rules/sro/phlx/2016/34-78693.pdf SR-PHLX-2016-89 2016-08-26 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-60074 81-FR-60074 34-78694 https://www.sec.gov/rules/sro/bx/2016/34-78694.pdf SR-BX-2016-047 2016-08-26 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-60049 81-FR-60049 34-78695 https://www.sec.gov/rules/sro/nasdaq/2016/34-78695.pdf SR-NASDAQ-2016-122 2016-08-26 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-60072 81-FR-60072 34-78696 https://www.sec.gov/rules/sro/batsedgx/2016/34-78696.pdf SR-BATSEDGX-2016-50 2016-08-26 Notice / Immediate Effectiveness/to Amend Rule 19.6, Series of Options Contracts Open for Trading, to Allow Wednesday Expirations for SPY Options SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-60070 81-FR-60070 34-78697 https://www.sec.gov/rules/sro/batsbzx/2016/34-78697.pdf SR-BATSBZX-2016-53 2016-08-26 Notice / Immediate Effectiveness/to Amend Rule 19.6, Series of Options Contracts Open for Trading, to Allow Wednesday Expirations for SPY Options SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-60097 81-FR-60097 34-78698 https://www.sec.gov/rules/sro/cboe/2016/34-78698.pdf SR-CBOE-2016-061 2016-08-26 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-60032 81-FR-60032 34-78699 https://www.sec.gov/litigation/admin/2016/34-78699.pdf 3-17507 2016-08-26 Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension AP Litigated Piterra, Joseph L. N/A 34-78700 https://www.sec.gov/rules/sro/nms/2016/34-78700.pdf S7-24-89 2016-08-26 Notice / Immediate Effectiveness/Joint Industry Plan Notice IEX (S7-24-89) http://www.federalregister.gov/citation/81-FR-60395 81-FR-60395 34-78701 https://www.sec.gov/rules/sro/nms/2016/34-78701.pdf SR-CTA/CQ-2016-01 2016-08-26 Notice / Immediate Effectiveness/Amendment No. 26 to the Second Restatement of the CTA Plan and Amendment No. 19 to the Restated CQ Plan to Add the Investors Exchange LLC as a Participant SRO Filing Consolidated Tape Association http://www.federalregister.gov/citation/81-FR-60394 81-FR-60394 34-78702 https://www.sec.gov/rules/sro/nms/2016/34-78702.pdf 4-657 2016-08-26 Notice / Immediate Effectiveness/to Implement a Tick Size Pilot Program to Add the Investors Exchange LLC as a Participant Notice IEX (4-657) http://www.federalregister.gov/citation/81-FR-60399 81-FR-60399 34-78703 https://www.sec.gov/rules/sro/nms/2016/34-78703.pdf 4-631 2016-08-26 Notice / Immediate Effectiveness/to Address Extraordinary Market Volatility to Add the Investors Exchange LLC as a Participant Notice IEX (4-631) http://www.federalregister.gov/citation/81-FR-60397 81-FR-60397 34-78704 https://www.sec.gov/rules/sro/nms/2016/34-78704.pdf 4-518 2016-08-26 Notice / Immediate Effectiveness/Establishing Procedures Under Rule 605 of Regulation NMS to Add the Investors Exchange LLC as a Participant Notice IEX (4-518) http://www.federalregister.gov/citation/81-FR-60398 81-FR-60398 34-78705 https://www.sec.gov/alj/aljdec/2016/33-10199.pdf 33-10199 IA-4514 IC-32240 3-15446 2016-08-26 Notice that Initial Decision has Become Final Notice Drennan, Douglas F. N/A 34-78706 https://www.sec.gov/alj/aljdec/2016/34-78706.pdf 3-17004 2016-08-26 Notice That Initial Decision Has Become Final Notice Sellers, Devin Barrera, Roland N/A 34-78707 https://www.sec.gov/litigation/admin/2016/34-78707.pdf 3-17508 2016-08-26 Order Instituting Administrative Proceedings and Imposing Temporary Suspension AP Litigated Casey, Michael Ralph N/A 34-78708 https://www.sec.gov/litigation/admin/2016/34-78708.pdf 3-17509 2016-08-26 Order of Forthwith Suspension Orders Casey, Michael Ralph N/A 34-78709 https://www.sec.gov/litigation/admin/2016/34-78709.pdf 3-17374 2016-08-29 Order Making Findings and Revoking Registration AP Settled Dominion Minerals Corp. Foxwedge, Inc. Harrington Resources, Inc. Juniper Acquisition Corporation Nexus Data Security Corp. N/A 34-78710 https://www.sec.gov/rules/other/2016/34-78710.pdf 601-01 2016-08-29 Notice /to Modify an Existing Exemption from Clearing Agency Registration Notice Euroclear Bank SA/NV http://www.federalregister.gov/citation/81-FR-61271 81-FR-61271 34-78711 https://www.sec.gov/litigation/admin/2016/34-78711.pdf AAER-3797 3-17510 2016-08-29 Order Instituting Public Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Dulek, Thomas CPA N/A 34-78712 https://www.sec.gov/rules/sro/nysearca/2016/34-78712.pdf SR-NYSEARCA-2016-70 2016-08-29 Order / Instituting Proceedings to/Regarding Use of Rule 144A Securities By the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-60759 81-FR-60759 34-78713 https://www.sec.gov/rules/sro/nasdaq/2016/34-78713.pdf SR-NASDAQ-2016-120 2016-08-29 Notice /to Adopt the Third Party Connectivity Service under Rules 7034(b) and 7051 SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-60768 81-FR-60768 34-78714 https://www.sec.gov/rules/sro/phlx/2016/34-78714.pdf SR-PHLX-2016-84 2016-08-29 Notice / Immediate Effectiveness/to Amend Rule 1042A, Exercise of Options Contracts and Options Floor Procedure Advice G-1, Index Option Exercise Advice Forms SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-60756 81-FR-60756 34-78715 https://www.sec.gov/rules/sro/ise/2016/34-78715.pdf SR-ISE-2016-18 2016-08-29 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-60765 81-FR-60765 34-78716 https://www.sec.gov/rules/final/2016/34-78716.pdf S7-15-15 2016-08-29 Final Rule/Access to Data Obtained by Security-Based Swap Data Repositories Final Rule 34 Act; Rule 13-n-4(b)(9)-(10); Rule 13n-4(d) http://www.federalregister.gov/citation/81-FR-60585 81-FR-60585 34-78717 https://www.sec.gov/litigation/admin/2016/34-78717.pdf IA-4515 3-17511 2016-08-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Watson, Pamella B. N/A 34-78718 https://www.sec.gov/rules/sro/occ-an/2016/34-78718.pdf SR-OCC-2016-801 2016-08-30 Notice / Withdrawal /Related to the Adoption of an Options Exchange Risk Control Standards Policy SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-61620 81-FR-61620 34-78719 https://www.sec.gov/rules/other/2016/34-78719.pdf 2016-16 2016-08-30 Order Determining Whistleblower Award Claim Orders Redacted N/A 34-78720 https://www.sec.gov/rules/sro/ficc/2016/34-78720.pdf SR-FICC-2016-003 2016-08-30 Notice / Designation of Longer Period for Commission Action to/to Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-61271 81-FR-61271 34-78721 https://www.sec.gov/rules/sro/nysemkt/2016/34-78721.pdf SR-NYSEMKT-2016-75 2016-08-30 Notice / Immediate Effectiveness/Amending Rule 9217 to Add a Provision and Related Fines Addressing Trade-Through Violations SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-61266 81-FR-61266 34-78722 https://www.sec.gov/litigation/admin/2016/34-78722.pdf 3-17513 2016-08-30 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Fairfield Minerals, Ltd. Metal Storm Limited N/A 34-78723 https://www.sec.gov/litigation/admin/2016/34-78723.pdf 3-17514 2016-08-30 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Ilio, Inc. Industrial Imaging Corporation JackRay Corporation N/A 34-78724 https://www.sec.gov/rules/sro/occ/2016/34-78724.pdf SR-OCC-2016-004 2016-08-30 Notice / Withdrawal /Related to the Adoption of an Options Exchange Risk Control Standards Policy SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-61269 81-FR-61269 34-78725 https://www.sec.gov/litigation/admin/2016/34-78725.pdf 3-17516 2016-08-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled De Maison, Angelique N/A 34-78726 https://www.sec.gov/rules/other/2016/33-10200.pdf 33-10200 NO FILE NUMBER 2016-08-30 Order Making Fiscal Year 2017 Annual Adjustments to Registration Fee Rates Orders Fiscal Year 2017 Annual Adjustments to the Fee Rates http://www.federalregister.gov/citation/81-FR-61200 81-FR-61200 34-78727 https://www.sec.gov/rules/sro/nysearca/2016/34-78727.pdf SR-NYSEARCA-2016-96 2016-08-30 Notice / Designation of Longer Period for Commission Action to/to Amend NYSE Arca Equities Rule 8.700 and to List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-61268 81-FR-61268 34-78728 https://www.sec.gov/rules/sro/nysearca/2016/34-78728.pdf SR-NYSEARCA-2016-63 2016-08-30 Order / Instituting Proceedings to/Relating to the Listing and Trading of Shares of BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-61260 81-FR-61260 34-78729 https://www.sec.gov/rules/sro/finra/2016/34-78729.pdf SR-FINRA-2016-033 2016-08-30 Notice /Amending Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-61288 81-FR-61288 34-78730 https://www.sec.gov/litigation/admin/2016/34-78730.pdf AAER-3798 3-17517 2016-08-30 Order Instituting Cease and Desist Proceedings, Making Findings, and Imposing a Cease and Desist Order AP Settled AstraZeneca PLC N/A 34-78731 https://www.sec.gov/litigation/suspensions/2016/34-78731.pdf 500-1 2016-08-31 Trading Suspension Trading Suspensions Multi-Corp. International http://www.federalregister.gov/citation/81-FR-60767 81-FR-60767 34-78732 https://www.sec.gov/litigation/admin/2016/34-78732.pdf 3-17518 2016-08-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Multi-Coorp. International, Inc. Pan American Goldfields Ltd. Sky Harvest Energy Corp. N/A 34-78733 https://www.sec.gov/litigation/suspensions/2016/34-78733.pdf 500-1 2016-08-31 Trading Suspension Trading Suspensions Luxeyard, Inc. SuperDirectories, Inc. http://www.federalregister.gov/citation/81-FR-60764 81-FR-60764 34-78734 https://www.sec.gov/litigation/admin/2016/34-78734.pdf 3-17519 2016-08-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Grace Development, Inc. Luxeyard, Inc. SuperDirectories, Inc. N/A 34-78735 https://www.sec.gov/litigation/admin/2016/34-78735.pdf 3-17520 2016-08-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled RBC Capital Markets, LLC N/A 34-78736 https://www.sec.gov/litigation/admin/2016/34-78736.pdf IA-4518 3-17523 2016-08-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mata, Paul N/A 34-78737 https://www.sec.gov/rules/proposed/2016/33-10201.pdf 33-10201 S7-19-16 2016-08-31 Proposed Rule/Exhibit Hyperlinks and HTML Format Proposed Rule Exhibit Hyperlinks and HTML Format http://www.federalregister.gov/citation/81-FR-62689 81-FR-62689 34-78738 https://www.sec.gov/rules/sro/nasdaq/2016/34-78738.pdf SR-NASDAQ-2016-103 2016-08-31 Order/to List and Trade Exchange-Traded Managed Funds SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-62229 81-FR-62229 34-78739 https://www.sec.gov/litigation/opinions/2016/33-10202.pdf 33-10202 IA-4519 IC-32250 3-15918 2016-08-31 Order Granting Partial Stay Orders Malouf, Dennis J. N/A 34-78740 https://www.sec.gov/rules/sro/phlx/2016/34-78740.pdf SR-PHLX-2016-88 2016-08-31 Notice / Immediate Effectiveness/to Amend Prior Rule Change, SR-PHLX-2016-38 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-61722 81-FR-61722 34-78741 https://www.sec.gov/rules/sro/cboe/2016/34-78741.pdf SR-CBOE-2016-063 2016-08-31 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-61727 81-FR-61727 34-78742 https://www.sec.gov/rules/sro/nysemkt/2016/34-78742.pdf SR-NYSEMKT-2016-13 2016-08-31 Notice / Withdrawal / to Amend Rule 955NY(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-61730 81-FR-61730 34-78743 https://www.sec.gov/rules/sro/nysearca/2016/34-78743.pdf SR-NYSEARCA-2016-15 2016-08-31 Notice / Withdrawal /to Amend Rule 6.67(c) by Revising the Clearing Member Requirements for Entering an Order into the Electronic Order Capture System SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-61724 81-FR-61724 34-78744 https://www.sec.gov/rules/sro/nysemkt/2016/34-78744.pdf SR-NYSEMKT-2016-48 2016-08-31 Notice / Designation of Longer Period for Commission Action/to Amend Certain Rules Relating to Flexible Exchange Options SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-61725 81-FR-61725 34-78745 https://www.sec.gov/rules/sro/batsedgx/2016/34-78745.pdf SR-BATSEDGX-2016-48 2016-09-01 Notice / Immediate Effectiveness/to Delay the Implementation of the Options Regulatory Fee SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/81-FR-62185 81-FR-62185 34-78746 https://www.sec.gov/rules/sro/batsbzx/2016/34-78746.pdf SR-BATSBZX-2016-52 2016-09-01 Notice / Immediate Effectiveness/to Delay the Implementation of Amendments to the Options Regulatory Fee SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-62225 81-FR-62225 34-78747 https://www.sec.gov/rules/sro/batsbyx/2016/34-78747.pdf SR-BATSBYX-2016-23 2016-09-01 Notice / Immediate Effectiveness/Related to Fees for Use of Bats BYX Exchange, Inc. SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62198 81-FR-62198 34-78748 https://www.sec.gov/rules/sro/batsedga/2016/34-78748.pdf SR-BATSEDGA-2016-20 2016-09-01 Notice / Immediate Effectiveness/Related to Fees SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62226 81-FR-62226 34-78749 https://www.sec.gov/rules/sro/nasdaq/2016/34-78749.pdf SR-NASDAQ-2016-121 2016-09-01 Notice /Related to the NASDAQ Options Market LLC's Pricing at Chapter XV, Section 2(6) SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-62212 81-FR-62212 34-78750 https://www.sec.gov/rules/sro/nysearca/2016/34-78750.pdf SR-NYSEARCA-2016-97 2016-09-01 Notice / Designation of Longer Period for Commission Action/Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-62233 81-FR-62233 34-78751 https://www.sec.gov/rules/sro/nysemkt/2016/34-78751.pdf SR-NYSEMKT-2016-82 2016-09-01 Notice / Immediate Effectiveness/Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Amend the Date that Two Wireless Connections to Third Party Data Feeds are Expected to be Available SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-62216 81-FR-62216 34-78752 https://www.sec.gov/rules/sro/nysearca/2016/34-78752.pdf SR-NYSEARCA-2016-122 2016-09-01 Notice / Immediate Effectiveness/Amending the NYSE Arca Options Fee Schedule and, the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Amend the Date that Two Wireless Connections to Third Party Data Feeds are Expected to be Available SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-62203 81-FR-62203 34-78753 https://www.sec.gov/rules/sro/nyse/2016/34-78753.pdf SR-NYSE-2016-61 2016-09-01 Notice / Immediate Effectiveness/Amending the Exchange?s Price List to Amend the Date that Two Wireless Connections to Third Party Data Feeds are Expected to be Available SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-62200 81-FR-62200 34-78754 https://www.sec.gov/litigation/admin/2016/34-78754.pdf 3-17524 2016-09-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Tahmazian, Jilbert Esq N/A 34-78755 https://www.sec.gov/rules/sro/nysearca/2016/34-78755.pdf SR-NYSEARCA-2016-103 2016-09-01 Notice / Designation of Longer Period for Commission Action/Amending Rules 2.17(c) and 2.23(i) to Extend the Time Within Which OTP Holders and OTP Firms Must File a Uniform Termination Notice for Securities Industry Registration (?U5?) SRO Filing NYSE Arca Inc. http://www.federalregister.gov/citation/81-FR-62192 81-FR-62192 34-78756 https://www.sec.gov/litigation/admin/2016/34-78756.pdf 3-17525 2016-09-01 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Milligan, Robert D. N/A 34-78757 https://www.sec.gov/litigation/suspensions/2016/34-78757.pdf 500-1 2016-09-02 Trading Suspension Trading Suspensions Preston Royalty Corp. http://www.federalregister.gov/citation/81-FR-61721 81-FR-61721 34-78758 https://www.sec.gov/rules/sro/nysearca/2016/34-78758.pdf SR-NYSEARCA-2016-67 2016-09-02 Notice / Withdrawal /to List and Trade Shares of of the Natixis Seeyond International Minimum Volatility ETF Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-62198 81-FR-62198 34-78759 https://www.sec.gov/rules/sro/finra/2016/34-78759.pdf SR-FINRA-2016-024 2016-09-02 Order/to Create an Academic Corporate Bond TRACE Data Product SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-62222 81-FR-62222 34-78760 https://www.sec.gov/rules/sro/cboe/2016/34-78760.pdf SR-CBOE-2016-049 2016-09-02 Notice / Order Accelerating /as Modified by Amendment No. 1, to List and Trade Options that Overlie the FTSE Developed Europe Index and the FTSE Emerging Index and to Amend the Maintenance Listing Criteria Applicable to Certain Index Options SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-62208 81-FR-62208 34-78761 https://www.sec.gov/rules/sro/nsx/2016/34-78761.pdf SR-NSX-2016-04 2016-09-02 Notice / Immediate Effectiveness/to Amend Rule 11.18 to Address the Exchange?s Liability for System Failures; Amend Rule 2.11 to Provide for an Error Account Maintained by the Exchange?s Routing Broker; Adopt Rule 11.11(e) to Allow Cancellation of Orders When a System Failure Occurs; Amend Rule 1.5 to Reposition the Definition of a Trading Center; and Make Other Non-Substantive and Conforming Changes SRO Filing National Stock Exchange, Inc http://www.federalregister.gov/citation/81-FR-62187 81-FR-62187 34-78762 https://www.sec.gov/rules/sro/iceeu/2016/34-78762.pdf SR-ICEEU-2016-010 2016-09-02 Notice / Immediate Effectiveness/Relating to Certain Default Management Requirements under Applicable Law SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-62228 81-FR-62228 34-78763 https://www.sec.gov/rules/sro/batsedga/2016/34-78763.pdf SR-BATSEDGA-2016-15 2016-09-02 Notice / Order Accelerating /as Modified by Amendment No. 1, to Amend Exchange Rule 11.21 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62219 81-FR-62219 34-78764 https://www.sec.gov/litigation/opinions/2016/34-78764.pdf 3-16430 2016-09-02 Opinion Opinions Laccetti, Mark E. N/A 34-78765 https://www.sec.gov/rules/sro/batsbzx/2016/34-78765.pdf SR-BATSBZX-2016-29 2016-09-02 Notice / Order Accelerating /as Modified by Amendment No. 1, to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62195 81-FR-62195 34-78766 https://www.sec.gov/rules/sro/batsbyx/2016/34-78766.pdf SR-BATSBYX-2016-17 2016-09-02 Notice / Order Accelerating /as Modified by Amendment No. 1, to Amend Exchange Rule 11.27 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62192 81-FR-62192 34-78767 https://www.sec.gov/rules/sro/batsedgx/2016/34-78767.pdf SR-BATSEDGX-2016-26 2016-09-02 Notice / Order Accelerating /as Modified by Amendment No. 1, to Amend Exchange Rule 11.22 to Describe Changes to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62205 81-FR-62205 34-78768 https://www.sec.gov/litigation/admin/2016/34-78768.pdf 3-17526 2016-09-02 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Scholander, William N/A 34-78769 https://www.sec.gov/rules/other/2016/33-10203.pdf 33-10203 IA-4521 IC-32251 S7-20-16 2016-09-02 Semiannual Regulatory Agenda Orders Semiannual Regulatory Agenda http://www.federalregister.gov/citation/81-FR-94898 81-FR-94898 34-78770 https://www.sec.gov/rules/sro/nysearca/2016/34-78770.pdf SR-NYSEARCA-2016-101 2016-09-06 Notice / Designation of Longer Period for Commission Action/Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-62780 81-FR-62780 34-78771 https://www.sec.gov/rules/sro/batsedgx/2016/34-78771.pdf SR-BATSEDGX-2016-49 2016-09-06 Notice / Immediate Effectiveness/to Fees for Use of Bats EDGX Exchange, Inc. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-62781 81-FR-62781 34-78772 https://www.sec.gov/rules/sro/miax/2016/34-78772.pdf SR-MIAX-2016-31 2016-09-06 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-62784 81-FR-62784 34-78773 https://www.sec.gov/litigation/opinions/2016/34-78773.pdf 3-15350 2016-09-06 Order Granting Extension of Time and to Exceed Length Limitation for Reply Brief Orders Securities Industry and Financial Markets Associations N/A 34-78774 https://www.sec.gov/rules/sro/dtc/2016/34-78774.pdf SR-DTC-2016-003 2016-09-06 Order / Instituting Proceedings to/Notice of Filing of Amendment No. 1 and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-62775 81-FR-62775 34-78775 https://www.sec.gov/litigation/admin/2016/34-78775.pdf IA-4523 3-17528 2016-09-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Kazinec, Aaron Nash N/A 34-78776 https://www.sec.gov/litigation/admin/2016/34-78776.pdf IA-4524 3-17529 2016-09-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Diaz, Eduardo Guillermo N/A 34-78777 https://www.sec.gov/rules/sro/msrb/2016/34-78777.pdf SR-MSRB-2016-12 2016-09-07 Notice /to Require Disclosure of Mark-Ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-62947 81-FR-62947 34-78778 https://www.sec.gov/rules/sro/dtc/2016/34-78778.pdf SR-DTC-2016-007 SR-FICC-2016-005 SR-NSCC-2016-003 2016-09-07 Notice /to Clearing Agency Investment Policy SRO Filing Depository Trust Company Fixed Income Clearing Corporation National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-62963 81-FR-62963 34-78779 https://www.sec.gov/rules/sro/nysearca/2016/34-78779.pdf SR-NYSEARCA-2016-127 2016-09-07 Notice / Immediate Effectiveness/to Amend Rule 6.1(b)(41) and Rule 6.4 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-62944 81-FR-62944 34-78780 https://www.sec.gov/rules/sro/nysemkt/2016/34-78780.pdf SR-NYSEMKT-2016-87 2016-09-07 Notice / Immediate Effectiveness/to Amend Rule 903 and Rule 900.2NY(50) SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-62939 81-FR-62939 34-78781 https://www.sec.gov/rules/sro/miax/2016/34-78781.pdf SR-MIAX-2016-30 2016-09-07 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-62942 81-FR-62942 34-78782 https://www.sec.gov/rules/sro/nyse/2016/34-78782.pdf SR-NYSE-2016-58 2016-09-07 Notice /to Adjust the Timing of Entitlements to Complimentary Products and Services for Special Purpose Acquisition Companies SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-62937 81-FR-62937 34-78783 https://www.sec.gov/litigation/admin/2016/34-78783.pdf 3-17530 2016-09-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Morariu, Marius N/A 34-78784 https://www.sec.gov/rules/sro/phlx/2016/34-78784.pdf SR-PHLX-2016-91 2016-09-08 Notice / Immediate Effectiveness/to the Exchange's Pricing Schedule Under Section VIII with Respect to Execution and Routing of Orders in Securities Priced at $1 or More Per Share SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-63231 81-FR-63231 34-78785 https://www.sec.gov/rules/sro/c2/2016/34-78785.pdf SR-C2-2016-017 2016-09-08 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-63233 81-FR-63233 34-78786 https://www.sec.gov/rules/sro/cboe/2016/34-78786.pdf SR-CBOE-2016-066 2016-09-08 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-63243 81-FR-63243 34-78787 https://www.sec.gov/rules/sro/batsbzx/2016/34-78787.pdf SR-BATSBZX-2016-57 2016-09-08 Notice / Immediate Effectiveness/to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63241 81-FR-63241 34-78788 https://www.sec.gov/rules/sro/ise/2016/34-78788.pdf SR-ISE-2016-19 2016-09-08 Notice / Immediate Effectiveness/to Add Specificity to the Definition of a Professional in the Exchange's Rules SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-63252 81-FR-63252 34-78789 https://www.sec.gov/rules/sro/batsedgx/2016/34-78789.pdf SR-BATSEDGX-2016-52 2016-09-08 Notice / Immediate Effectiveness/to Fees for Use of Bats EDGX Exchange, Inc. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63235 81-FR-63235 34-78790 https://www.sec.gov/rules/sro/isegemini/2016/34-78790.pdf SR-ISEGEMINI-2016-08 2016-09-08 Notice / Immediate Effectiveness/to Add Specificity to the Definition of a Professional SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-63245 81-FR-63245 34-78791 https://www.sec.gov/rules/sro/isemercury/2016/34-78791.pdf SR-ISEMERCURY-2016-14 2016-09-08 Notice / Immediate Effectiveness/to Add Specificity to the Definition of a Professional in the Exchange's Rules SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-63249 81-FR-63249 34-78792 https://www.sec.gov/rules/sro/batsbzx/2016/34-78792.pdf SR-BATSBZX-2016-56 2016-09-08 Notice / Immediate Effectiveness/to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63239 81-FR-63239 34-78793 https://www.sec.gov/rules/other/2016/34-78793.pdf 10-227 2016-09-08 Notice of Filing of Application for Registration as a National Securities Exchange Notice MIAX PEARL, LLC http://www.federalregister.gov/citation/81-FR-63238 81-FR-63238 34-78794 https://www.sec.gov/litigation/admin/2016/33-10204.pdf 33-10204 3-17533 2016-09-09 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled BOKF, NA N/A 34-78795 https://www.sec.gov/rules/sro/batsbyx/2016/34-78795.pdf SR-BATSBYX-2016-25 2016-09-09 Notice / Immediate Effectiveness/to Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63508 81-FR-63508 34-78796 https://www.sec.gov/rules/sro/batsbzx/2016/34-78796.pdf SR-BATSBZX-2016-55 2016-09-09 Notice / Immediate Effectiveness/to Amend Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63561 81-FR-63561 34-78797 https://www.sec.gov/litigation/opinions/2016/33-10205.pdf 33-10205 3-15790 2016-09-09 Opinion Opinions Cohen, Moshe Marc N/A 34-78798 https://www.sec.gov/rules/sro/batsedgx/2016/34-78798.pdf SR-BATSEDGX-2016-51 2016-09-09 Notice / Immediate Effectiveness/to Amend Rule 11.22(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGX Exchange, Inc.; http://www.federalregister.gov/citation/81-FR-63532 81-FR-63532 34-78799 https://www.sec.gov/rules/sro/batsedga/2016/34-78799.pdf SR-BATSEDGA-2016-21 2016-09-09 Notice / Immediate Effectiveness/to Amend Rule 11.21(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63549 81-FR-63549 34-78800 https://www.sec.gov/rules/sro/finra/2016/34-78800.pdf SR-FINRA-2016-035 2016-09-09 Notice / Immediate Effectiveness/to Amend FINRA Rule 6191 Relating to the Data Collection Requirements of the Regulation NMS Plan to Implement A Tick Size Pilot Program SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-63565 81-FR-63565 34-78801 https://www.sec.gov/rules/sro/nysearca/2016/34-78801.pdf SR-NYSEARCA-2016-123 2016-09-09 Notice /Amending Rule 7.46 Relating to the Tick Size Pilot Program SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-63525 81-FR-63525 34-78802 https://www.sec.gov/rules/sro/nyse/2016/34-78802.pdf SR-NYSE-2016-62 2016-09-09 Notice /Amending Rule 67 Relating to the Tick Size Pilot Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-63515 81-FR-63515 34-78803 https://www.sec.gov/rules/sro/nysemkt/2016/34-78803.pdf SR-NYSEMKT-2016-83 2016-09-09 Notice /Amending Rule 67 - Equities Relating to the Tick Size Pilot Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-63552 81-FR-63552 34-78804 https://www.sec.gov/rules/sro/nysemkt/2016/34-78804.pdf SR-NYSEMKT-2016-58 2016-09-09 Order / Instituting Proceedings to/Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-63543 81-FR-63543 34-78805 https://www.sec.gov/rules/sro/nyse/2016/34-78805.pdf SR-NYSE-2016-51 2016-09-09 Order/Amending the Ninth Amended and Restated Operating Agreement of the Exchange SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-63536 81-FR-63536 34-78806 https://www.sec.gov/rules/sro/nasdaq/2016/34-78806.pdf SR-NASDAQ-2016-098 2016-09-09 Order/to Modify the Complimentary Services Offered to Certain New Listings SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-63523 81-FR-63523 34-78807 https://www.sec.gov/rules/sro/ficc/2016/34-78807.pdf SR-FICC-2016-006 2016-09-09 Notice / Immediate Effectiveness/to Describe the Backtesting Charge and the Holiday Charge that May Be Imposed on Members SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-63538 81-FR-63538 34-78808 https://www.sec.gov/rules/sro/nscc/2016/34-78808.pdf SR-NSCC-2016-004 2016-09-09 Notice / Immediate Effectiveness/to Describe the Backtesting Charge and the Bank Holiday Charge that May Be Imposed on Members SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-63511 81-FR-63511 34-78809 https://www.sec.gov/rules/sro/nysearca/2016/34-78809.pdf SR-NYSEARCA-2016-104 2016-09-09 Order/Amending NYSE Arca Equities Rules 2.16(c) and 2.21(i) Regarding the Timing for Submission of a Uniform Termination Notice for Securities Industry Registration (?Form U5?) by an ETP Holder SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-63543 81-FR-63543 34-78810 https://www.sec.gov/litigation/admin/2016/34-78810.pdf 3-17366 2016-09-12 Order Making Findings and Revoking Registration AP Settled Legal Life Plans, Inc. N/A 34-78811 https://www.sec.gov/rules/sro/bx/2016/34-78811.pdf SR-BX-2016-048 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 4770 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-63828 81-FR-63828 34-78812 https://www.sec.gov/rules/sro/chx/2016/34-78812.pdf SR-CHX-2016-17 2016-09-12 Notice / Immediate Effectiveness/to Amend Article 20, Rule 13(b) to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-63821 81-FR-63821 34-78813 https://www.sec.gov/rules/sro/nyse/2016/34-78813.pdf SR-NYSE-2016-63 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 67 to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-63825 81-FR-63825 34-78814 https://www.sec.gov/rules/sro/nysearca/2016/34-78814.pdf SR-NYSEARCA-2016-124 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 7.46 to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-63818 81-FR-63818 34-78815 https://www.sec.gov/rules/sro/phlx/2016/34-78815.pdf SR-PHLX-2016-90 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 3317 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-63833 81-FR-63833 34-78816 https://www.sec.gov/rules/sro/nasdaq/2016/34-78816.pdf SR-NASDAQ-2016-123 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 4770 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-63815 81-FR-63815 34-78817 https://www.sec.gov/rules/sro/nysemkt/2016/34-78817.pdf SR-NYSEMKT-2016-84 2016-09-12 Notice / Immediate Effectiveness/to Amend Rule 67 - Equities to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-63811 81-FR-63811 34-78818 https://www.sec.gov/rules/sro/icc/2016/34-78818.pdf SR-ICC-2016-012 2016-09-12 Notice /to Provide for the Clearance of Additional Credit Default Swap Contracts SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-63831 81-FR-63831 34-78819 https://www.sec.gov/rules/sro/bx/2016/34-78819.pdf SR-BX-2016-049 2016-09-13 Notice / Immediate Effectiveness/Regarding Tiers Related to SPY Options SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-64221 81-FR-64221 34-78820 https://www.sec.gov/rules/sro/iex/2016/34-78820.pdf SR-IEX-2016-13 2016-09-13 Notice / Immediate Effectiveness/to Amend Rule 11.340 to Modify Certain Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-64234 81-FR-64234 34-78821 https://www.sec.gov/litigation/opinions/2016/33-10206.pdf 33-10206 3-14848 2016-09-13 Corrected Order Dismissing Proceeding as to Jonathan I. Feldman and Imposing Remedial Sanctions as to OptionXpress Orders OptionsXress, Inc. Feldman, Jonathan I. N/A 34-78822 https://www.sec.gov/litigation/opinions/2016/33-10207.pdf 33-10207 IA-4528 IC-32258 3-15918 2016-09-13 Corrected Order Imposing Remedial Sanctions Orders Malouf, Dennis J. N/A 34-78823 https://www.sec.gov/rules/sro/finra/2016/34-78823.pdf SR-FINRA-2016-018 2016-09-13 Notice / Order Accelerating /Notice of Filing of Partial Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change Amending FINRA Rules 2210 (Communications with the Public), 2213 (Requirements for the Use of Bond Mutual Fund Volatility Ratings), and 2214 (Requirements for the Use of Investment Analysis Tools), as Modified by Partial Amendment No. 1 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-64240 81-FR-64240 34-78824 https://www.sec.gov/litigation/admin/2016/34-78824.pdf AAER-3799 3-17534 2016-09-13 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Portugal Telecom, SGPS, S.A., nka PHAROL SGPS, S.A. N/A 34-78825 https://www.sec.gov/litigation/admin/2016/34-78825.pdf AAER-3800 3-17535 2016-09-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Zhang, Jun Ping N/A 34-78826 https://www.sec.gov/rules/sro/msrb/2016/34-78826.pdf SR-MSRB-2016-09 2016-09-13 Notice / Order Accelerating /Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1, to Establish the MSRB Academic Historical Transaction Data Product SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-64215 81-FR-64215 34-78827 https://www.sec.gov/rules/sro/box/2016/34-78827.pdf SR-BOX-2016-42 2016-09-13 Notice/ Immediate Effectiveness to Amend the Fee Schedule on the Box Market LLC ("BOX") Options Facility to Specify that All Complex Order Transactions Executed Through the Exchange's Auction Mechanisms Will be Subject to Section I (Exchange Fees) and II (Liquidity Fees and Credits) SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-64218 81-FR-64218 34-78828 https://www.sec.gov/rules/sro/box/2016/34-78828.pdf SR-BOX-2016-43 2016-09-13 Notice/ Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility to Change the Fees and Credits For Facilitation and Solicitation Transactions SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-64250 81-FR-64250 34-78829 https://www.sec.gov/rules/sro/nysemkt/2016/34-78829.pdf SR-NYSEMKT-2016-86 2016-09-13 to Extend the Deadline for Implementing Rule 967.1NY(a)(2) and (3) until September 30, 2016/Notice / Immediate Effectiveness SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-64238 81-FR-64238 34-78830 https://www.sec.gov/rules/sro/box/2016/34-78830.pdf SR-BOX-2016-44 2016-09-13 Notice/ Immediate Effectiveness to Amend the Fee Schedule on the BOX Market LLC ("BOX") Options Facility to Change the Liquidity Fee and Credit Structure for PIP and COPIP Transactions SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-64249 81-FR-64249 34-78831 https://www.sec.gov/rules/sro/nysearca/2016/34-78831.pdf SR-NYSEARCA-2016-126 2016-09-13 Notice / Immediate Effectiveness/to Extend the Deadline for Implementing Rule 6.61(a)(2) and (3) until September 30, 2016 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-64247 81-FR-64247 34-78832 https://www.sec.gov/litigation/admin/2016/34-78832.pdf 3-17536 2016-09-13 Order of Suspension Orders Weed, Richard Esq N/A 34-78833 https://www.sec.gov/litigation/admin/2016/34-78833.pdf 3-17406 2016-09-13 Order Denying Stay as Moot Orders Geary, Keith D. N/A 34-78834 https://www.sec.gov/rules/sro/occ-an/2016/34-78834.pdf SR-OCC-2016-802 2016-09-14 Notice / Advance Notice/Concerning The Options Clearing Corporation?s Escrow Deposit Program SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-64536 81-FR-64536 34-78835 https://www.sec.gov/rules/sro/phlx/2016/34-78835.pdf SR-PHLX-2016-92 2016-09-14 Notice /to Describe Changes to System Functionality Necessary to Implement the Tick Size Pilot Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-64552 81-FR-64552 34-78836 https://www.sec.gov/rules/sro/finra/2016/34-78836.pdf SR-FINRA-2016-022 2016-09-14 Order/to Amend Rule 12403 (Cases with Three Arbitrators) of the Code of Arbitration Procedure for Customer Disputes Relating to the Panel Selection Process in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-64564 81-FR-64564 34-78837 https://www.sec.gov/rules/sro/nasdaq/2016/34-78837.pdf SR-NASDAQ-2016-126 2016-09-14 Notice /to Describe Changes to System Functionality Necessary to Implement the Tick Size Pilot Program SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-64544 81-FR-64544 34-78838 https://www.sec.gov/rules/sro/bx/2016/34-78838.pdf SR-BX-2016-050 2016-09-14 Notice /to Describe Changes to System Functionality Necessary to Implement the Tick Size Pilot Program SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-64566 81-FR-64566 34-78839 https://www.sec.gov/rules/sro/cboe/2016/34-78839.pdf SR-CBOE-2016-053 2016-09-14 Notice /Relating to Price Protection Mechanisms and Risk Controls SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-64521 81-FR-64521 34-78840 https://www.sec.gov/rules/sro/nysearca/2016/34-78840.pdf SR-NYSEARCA-2016-100 2016-09-14 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund under NYSE Arca Equities Rule 5.2(j)(3) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-64552 81-FR-64552 34-78841 https://www.sec.gov/litigation/admin/2016/34-78841.pdf 3-16795 2016-09-14 Extension Order Orders Fox, Joseph J. N/A 34-78842 https://www.sec.gov/litigation/admin/2016/34-78842.pdf 3-17537 2016-09-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Caspersen, Andrew W.W. N/A 34-78843 https://www.sec.gov/litigation/opinions/2016/34-78843.pdf 3-17254 2016-09-14 Order Orders Meyers, Bruce Meyers Associates, L.P. N/A 34-78844 https://www.sec.gov/rules/other/2016/33-10208.pdf 33-10208 265-27 2016-09-15 Notice of meeting Notice SEC Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-64519 81-FR-64519 34-78845 https://www.sec.gov/rules/other/2016/33-10209.pdf 33-10209 39-2511 IA-4530 IC-32263 S7-21-16 2016-09-15 Publication of list of rules scheduled for review Notice Regulatory Flexibility Act Rule Review List http://www.federalregister.gov/citation/81-FR-64364 81-FR-64364 34-78846 https://www.sec.gov/rules/sro/icc/2016/34-78846.pdf SR-ICC-2016-010 2016-09-15 Notice / Designation of Longer Period for Commission Action/to Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-64574 81-FR-64574 34-78847 https://www.sec.gov/rules/sro/batsbzx/2016/34-78847.pdf SR-BATSBZX-2016-34 2016-09-15 Notice / Order Accelerating /Notice of Filing of Amendment No. 1, and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, to BZX Rule 14.1 (i), Managed Fund Shares, to List and Trade Shares of the ProShares Crude Oil Strategy ETF SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-64560 81-FR-64560 34-78848 https://www.sec.gov/litigation/admin/2016/34-78848.pdf 3-16652 3-16892 2016-09-15 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice Wilson, Michael S. CPA Cotterman-Wilson, CPAs, Inc. Budden , James T. Budden, Alexander W. N/A 34-78849 https://www.sec.gov/rules/sro/batsbzx/2016/34-78849.pdf SR-BATSBZX-2016-42 2016-09-15 Order / Instituting Proceedings to/Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Modify the Options Regulatory Fee SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-64960 81-FR-64960 34-78850 https://www.sec.gov/rules/sro/batsedgx/2016/34-78850.pdf SR-BATSEDGX-2016-33 2016-09-15 Order / Instituting Proceedings to/Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt an Options Regulatory Fee SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/81-FR-64963 81-FR-64963 34-78851 https://www.sec.gov/rules/sro/finra/2016/34-78851.pdf SR-FINRA-2016-036 2016-09-15 Notice / Immediate Effectiveness/to Adopt NASD Interpretive Material 2210-2 as FINRA Rule 2211 (Communications with the Public About Variable Life Insurance and Variable Annuities) in the Consolidated FINRA Rulebook SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-64969 81-FR-64969 34-78852 https://www.sec.gov/litigation/admin/2016/34-78852.pdf 3-17539 2016-09-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Kreais, Francis W. N/A 34-78853 https://www.sec.gov/litigation/admin/2016/34-78853.pdf 3-17540 2016-09-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Jenkins, Gordon W. N/A 34-78854 https://www.sec.gov/litigation/admin/2016/34-78854.pdf 3-17541 2016-09-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Sweeten, Theodore P. N/A 34-78855 https://www.sec.gov/rules/sro/nyse/2016/34-78855.pdf SR-NYSE-2016-31 2016-09-15 Order/Amending NYSE Rule 6A To Exclude the Physical Area Within Fully Enclosed Telephone Booths Located in 18 Broad Street From the Definition of Trading Floor SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-64966 81-FR-64966 34-78856 https://www.sec.gov/litigation/suspensions/2016/34-78856.pdf 500-1 2016-09-16 Trading Suspension Trading Suspensions All Energy Corp. As Seen On TV, Inc. http://www.federalregister.gov/citation/81-FR-64563 81-FR-64563 34-78857 https://www.sec.gov/litigation/admin/2016/34-78857.pdf 3-17542 2016-09-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated All Energy Corp. As Seen On TV, Inc. N/A 34-78858 https://www.sec.gov/litigation/admin/2016/34-78858.pdf 3-17543 2016-09-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Affordable Green Homes International Jilco Industries, Inc. TMP Land Mortgage Fund, Ltd. N/A 34-78859 https://www.sec.gov/rules/sro/nysearca/2016/34-78859.pdf SR-NYSEARCA-2016-84 2016-09-16 Notice /Notice of Filing of Amendment No. 2 to a Proposed Rule Change to List and Trade Shares of the Global Currency Gold Fund under NYSE Arca Equities Rule 8.201, and Order Instituting Proceedings to Determine Whether to Approve or Disapprove Proposed Rule Change, as Modified by Amendment No. 2 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-65431 81-FR-65431 34-78860 https://www.sec.gov/rules/sro/chx/2016/34-78860.pdf SR-CHX-2016-16 2016-09-16 Notice /to Adopt the CHX Liquidity Taking Access Delay SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-65442 81-FR-65442 34-78861 https://www.sec.gov/rules/sro/nysearca/2016/34-78861.pdf SR-NYSEARCA-2016-129 2016-09-16 Notice / Immediate Effectiveness/to Amend Rule 7.35P (Auctions) Regarding Indicative Match Price SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-65458 81-FR-65458 34-78862 https://www.sec.gov/rules/sro/occ/2016/34-78862.pdf SR-OCC-2016-002 2016-09-16 Order/Concerning Enhancements to The Options Clearing Corporation?s Governance Arrangements SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-65415 81-FR-65415 34-78863 https://www.sec.gov/litigation/admin/2016/33-10210.pdf 33-10210 3-17545 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Notice of Hearing AP Settled Fusion Pharm, Inc. N/A 34-78864 https://www.sec.gov/litigation/admin/2016/33-10211.pdf 33-10211 AAER-3801 3-17546 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Notice of Hearing AP Settled Dittman, Scott M. CPA N/A 34-78865 https://www.sec.gov/litigation/admin/2016/33-10212.pdf 33-10212 3-17547 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Notice of Hearing AP Litigated Sears, William J. N/A 34-78866 https://www.sec.gov/litigation/admin/2016/33-10213.pdf 33-10213 3-17548 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Notice of Hearing AP Litigated Microcap Management LLC Bayside Realty Holdings LLC Meadpoint Venture Partners, LLC N/A 34-78867 https://www.sec.gov/litigation/admin/2016/33-10214.pdf 33-10214 3-17549 2016-09-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/Notice of Hearing AP Litigated Bodden, Cliffe R. N/A 34-78868 https://www.sec.gov/rules/sro/c2/2016/34-78868.pdf SR-C2-2016-019 2016-09-14 Notice / Immediate Effectiveness/to Amend the Bylaws Title SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-64520 81-FR-64520 34-78869 https://www.sec.gov/litigation/admin/2016/34-78869.pdf 3-17282 2016-09-19 Notice that Initial Decision has Become Final Notice Eric B. Global Ventures, Inc. Secure Digital, Inc. N/A 34-78870 https://www.sec.gov/litigation/admin/2016/34-78870.pdf 3-17292 2016-09-19 Notice that Initial Decision has Become Final Notice Echo Automotive, Inc. Vision Industries Corp. N/A 34-78871 https://www.sec.gov/litigation/admin/2016/34-78871.pdf 3-17293 2016-09-19 Notice that Initial Decision has Become Final Notice Anoteros, Inc. Emperial Americas, Inc. Nord Resources Corporation UNR Holdings, Inc. N/A 34-78872 https://www.sec.gov/litigation/admin/2016/34-78872.pdf AAER-3802 3-17552 2016-09-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ernst & Young LLP Bednar, Gregory S. N/A 34-78873 https://www.sec.gov/litigation/admin/2016/34-78873.pdf AAER-3803 3-17553 2016-09-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ernst & Young LLP Brehl, Robert J. Hartford, Pamela J. Kamienski, Michael T. N/A 34-78874 https://www.sec.gov/rules/sro/iceeu/2016/34-78874.pdf SR-ICEEU-2016-011 2016-09-19 Notice / Immediate Effectiveness/Relating to the F&O Intraday Risk Management Policy SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-65689 81-FR-65689 34-78875 https://www.sec.gov/litigation/admin/2016/34-78875.pdf 3-17554 2016-09-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Zimmerman, David A. N/A 34-78876 https://www.sec.gov/litigation/admin/2016/34-78876.pdf IC-32266 3-17555 2016-09-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Phu, Kenny N/A 34-78877 https://www.sec.gov/litigation/admin/2016/34-78877.pdf 3-17070 2016-09-19 Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Prolman, David N/A 34-78878 https://www.sec.gov/litigation/admin/2016/34-78878.pdf 3-17518 2016-09-20 Order Making Findings and Revoking Registration AP Settled Pan American Goldfields Ltd. N/A 34-78879 https://www.sec.gov/litigation/admin/2016/34-78879.pdf 3-17310 2016-09-20 Order Making Findings and Revoking Registration AP Settled Frawley Corporation N/A 34-78880 https://www.sec.gov/litigation/admin/2016/34-78880.pdf 3-17302 2016-09-20 Notice that Initial Decision has Become Final Notice Medisys Technologies, Inc. New Day Financial Management, Inc. Pivotal Group, Inc. N/A 34-78881 https://www.sec.gov/rules/other/2016/34-78881.pdf 2016-17 2016-09-20 Whistleblower Award Other Redacted N/A 34-78882 https://www.sec.gov/rules/exorders/2016/34-78882.pdf TP 16-13 2016-09-20 Order Granting Limited Exemptions from Rules 10b-17, and 101 and 102 of Regulation M Orders Amplify YieldShares Prime 5 Dividend ETF http://www.federalregister.gov/citation/81-FR-66109 81-FR-66109 34-78883 https://www.sec.gov/rules/final/2016/33-10217.pdf 33-10217 39-2512 IC-32269 NO FILE NUMBER 2016-09-20 Final Rule Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-67118 81-FR-67118 34-78884 https://www.sec.gov/litigation/admin/2016/34-78884.pdf 3-17556 2016-09-20 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Nu Skin Enterprises, Inc. N/A 34-78885 https://www.sec.gov/rules/sro/cboe/2016/34-78885.pdf SR-CBOE-2016-064 2016-09-20 Notice /Relating to SPX Combo Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-66105 81-FR-66105 34-78886 https://www.sec.gov/rules/sro/nasdaq/2016/34-78886.pdf SR-NASDAQ-2016-101 2016-09-20 Order/to Add Nasdaq Rule 7046 (Nasdaq Trading Insights) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-66113 81-FR-66113 34-78887 https://www.sec.gov/rules/sro/nyse/2016/34-78887.pdf SR-NYSE-2016-45 2016-09-20 Notice / Amendment No./No. 1 Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-66095 81-FR-66095 34-78888 https://www.sec.gov/rules/sro/nysearca/2016/34-78888.pdf SR-NYSEARCA-2016-109 SR-NYSEMKT-2016-73 2016-09-20 Order/to Provide for the Rejection of Certain Electronic Complex Orders SRO Filing NYSE Arca, Inc. NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-66111 81-FR-66111 34-78889 https://www.sec.gov/litigation/admin/2016/34-78889.pdf 3-16398 2016-09-20 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice Dyche, Sandra N/A 34-78890 https://www.sec.gov/litigation/admin/2016/34-78890.pdf 3-17557 2016-09-20 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Coleman, Roger G. Sr. N/A 34-78891 https://www.sec.gov/litigation/admin/2016/34-78891.pdf 3-17558 2016-09-20 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Bluforest, Inc. N/A 34-78892 https://www.sec.gov/rules/sro/nysearca/2016/34-78892.pdf SR-NYSEARCA-2016-128 2016-09-21 Notice / Immediate Effectiveness/Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-66315 81-FR-66315 34-78893 https://www.sec.gov/rules/sro/occ-an/2016/34-78893.pdf SR-OCC-2016-803 2016-09-21 Proposal to Enter Into a New Credit Facility Agreement/Notice / Advance Notice / No Objection SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-66318 81-FR-66318 34-78894 https://www.sec.gov/litigation/admin/2016/33-10218.pdf 33-10218 3-17559 2016-09-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Rose, Sheldon MKJJ Consulting LLC N/A 34-78895 https://www.sec.gov/litigation/admin/2016/34-78895.pdf IA-4533 3-17527 2016-09-21 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing/Corrected AP Litigated Hahn, Karl E. N/A 34-78896 https://www.sec.gov/litigation/admin/2016/34-78896.pdf AAER-3804 3-17561 2016-09-21 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order and Civil Penalties AP Settled Park National Corporation N/A 34-78897 https://www.sec.gov/litigation/admin/2016/34-78897.pdf AAER-3805 3-17562 2016-09-21 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Waegelein, Robert N/A 34-78898 https://www.sec.gov/litigation/opinions/2016/33-10219.pdf 33-10219 IC-32279 3-16498 2016-09-21 Opinion Opinions Schalk, Russell C. Jr. N/A 34-78899 https://www.sec.gov/litigation/opinions/2016/34-78899.pdf 3-17344 2016-09-21 Opinion and Order Dismissing Application for Review Opinions Hsu, Li-Lin N/A 34-78900 https://www.sec.gov/litigation/opinions/2016/34-78900.pdf 3-17512 2016-09-21 Order Scheduling Briefs Orders KCD Financial, Inc. N/A 34-78901 https://www.sec.gov/litigation/opinions/2016/34-78901.pdf 3-17402 2016-09-21 Order Scheduling Briefs Orders McGee, Bernard G. N/A 34-78902 https://www.sec.gov/litigation/opinions/2016/34-78902.pdf 3-17406 2016-09-21 Order Scheduling Briefs Orders Geary, Keith D. N/A 34-78903 https://www.sec.gov/litigation/admin/2016/34-78903.pdf 3-17563 2016-09-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated AIC International Resources Corp. Stellar Metals, Inc. N/A 34-78904 https://www.sec.gov/litigation/admin/2016/34-78904.pdf 3-17564 2016-09-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Amarillo Mesquite Grill, Inc. Global Opportunity Fund LP Healthrenu Medical, Inc. Hynes & Howes Insurance Counselors, Inc. N/A 34-78905 https://www.sec.gov/litigation/admin/2016/34-78905.pdf 3-17565 2016-09-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Capital Preferred Yield Fund-III, LP Clearly Canadian Beverage Corp. Diversinet Corp. N/A 34-78906 https://www.sec.gov/litigation/admin/2016/34-78906.pdf 3-17566 2016-09-22 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Wilmington Savings Fund Society, FSB N/A 34-78907 https://www.sec.gov/rules/sro/cboe/2016/34-78907.pdf SR-CBOE-2016-068 2016-09-22 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-66706 81-FR-66706 34-78908 https://www.sec.gov/rules/sro/nasdaq/2016/34-78908.pdf SR-NASDAQ-2016-111 2016-09-22 Notice /to Amend Nasdaq Rules 4702 and 4703 SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-66702 81-FR-66702 34-78909 https://www.sec.gov/rules/sro/bx/2016/34-78909.pdf SR-BX-2016-046 2016-09-22 Notice /to Amend BX Rules 4702 and 4703 SRO Filing NASDAQ BX, Inc.. http://www.federalregister.gov/citation/81-FR-66708 81-FR-66708 34-78910 https://www.sec.gov/litigation/admin/2016/34-78910.pdf 3-17032 2016-09-23 Notice That Initial Decision Has Become Final Notice Reon Holdings, Inc. N/A 34-78911 https://www.sec.gov/litigation/admin/2016/34-78911.pdf 3-17309 2016-09-23 Notice That Initial Decision Has Become Final Notice Coastal Pacific Mining Corp. Petaquilla Minerals Ltd. N/A 34-78912 https://www.sec.gov/rules/sro/nasdaq/2016/34-78912.pdf SR-NASDAQ-2016-130 2016-09-23 Notice / Immediate Effectiveness/to Amend Nasdaq's Fees at Rule 7014(f) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-67019 81-FR-67019 34-78913 https://www.sec.gov/rules/sro/nasdaq/2016/34-78913.pdf SR-NASDAQ-2016-002 2016-09-23 Notice / Order Accelerating /to List and Trade Shares of the First Trust Municipal High Income ETF of First Trust Exchange-Traded Fund III SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-69109 81-FR-69109 34-78914 https://www.sec.gov/rules/sro/nysemkt/2016/34-78914.pdf SR-NYSEMKT-2016-89 2016-09-23 Notice / Immediate Effectiveness/to Add to the Rules of the Exchange the Tenth Amended and Restated Operating Agreement of the New York Stock Exchange LLC SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-67027 81-FR-67027 34-78915 https://www.sec.gov/rules/sro/cboe/2016/34-78915.pdf SR-CBOE-2016-067 2016-09-23 Notice / Immediate Effectiveness/to Correct Rule 3.6A SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-67031 81-FR-67031 34-78916 https://www.sec.gov/rules/sro/nyse/2016/34-78916.pdf SR-NYSE-2016-48 2016-09-23 Order/Amending Exchange Rule 49 Regarding the Exchange?s: (1) Emergency Powers; (2) Disaster Recovery Plans; and (3) Backup Systems and Mandatory Testing SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-67029 81-FR-67029 34-78917 https://www.sec.gov/rules/sro/nysemkt/2016/34-78917.pdf SR-NYSEMKT-2016-68 2016-09-23 Order/Amending Exchange Rule 49 Regarding the Exchange?s: (1) Emergency Powers; (2) Disaster Recovery Plans; and (3) Backup Systems and Mandatory Testing SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-67036 81-FR-67036 34-78918 https://www.sec.gov/rules/sro/nasdaq/2016/34-78918.pdf SR-NASDAQ-2016-104 2016-09-23 Order/to Amend Nasdaq Rule 5735 to Adopt Generic Listing Standards for Managed Fund Shares SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-67033 81-FR-67033 34-78919 https://www.sec.gov/rules/sro/miax/2016/34-78919.pdf SR-MIAX-2016-32 2016-09-23 Notice / Immediate Effectiveness/to Amend Its Fee Schedule to Modify the Exchange?s Connectivity Fees SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-67016 81-FR-67016 34-78920 https://www.sec.gov/rules/sro/ise/2016/34-78920.pdf SR-ISE-2016-21 2016-09-23 Notice / Immediate Effectiveness/to Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity and Allow the Exchange to Take Prompt Action SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-67038 81-FR-67038 34-78921 https://www.sec.gov/litigation/admin/2016/34-78921.pdf 3-17568 2016-09-23 Order Instituting Cease and Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Orders and Civil Penalties AP Settled Paterson, David A. N/A 34-78922 https://www.sec.gov/litigation/admin/2016/34-78922.pdf 3-17569 2016-09-23 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Cease-and-Desist Orders and Civil Penalties AP Settled Koppelman, Charles A. N/A 34-78923 https://www.sec.gov/litigation/admin/2016/34-78923.pdf 3-17570 2016-09-23 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Medient Studios, Inc., a/k/a Moon River Studios, Inc. N/A 34-78924 https://www.sec.gov/litigation/admin/2016/34-78924.pdf 3-17571 2016-09-23 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Mellon, Matthew T. N/A 34-78925 https://www.sec.gov/rules/sro/finra/2016/34-78925.pdf SR-FINRA-2016-023 2016-09-23 Order / Regarding TRACE Reporting and Dissemination of CMO Transactions SRO Filing Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/81-FR-67023 81-FR-67023 34-78926 https://www.sec.gov/rules/proposed/2016/33-10220.pdf 33-10220 IC-32281 S7-15-16 2016-09-23 Extension of Comment Period for Disclosure Update and Simplification Ext. of Comment Period 33 Act; 34 Act; IC Act; Disclosure requirements http://www.federalregister.gov/citation/81-FR-66898 81-FR-66898 34-78927 https://www.sec.gov/litigation/admin/2016/34-78927.pdf IA-4535 3-17572 2016-09-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Tagliaferro, Jack N/A 34-78928 https://www.sec.gov/litigation/suspensions/2016/34-78928.pdf 500-1 2016-09-26 Trading Suspension Trading Suspensions Havaya Corp. Helpeo, Inc. Hua Ye Gas Group Holding Co. International Capital & Technology Corp. Kinemotive Corp. Old Fashion Foods, Inc. Peptide Technologies, Inc. PTI Holding, Inc. Rancho Santa Monica Developments, Inc. Restaurant Acquisition Partners, Inc. Richland Resources Corp. SMSA Humble Acquisition Corp. SMSA Treemont Acquisition Corp. Stevens International, Inc. Sur Ventures, Inc. USA InvestCo Holdings, Inc. Whole Gold International Group Holding Company Winter Sports, Inc. Wintex Mill, Inc. Wyndmoor Industries, Inc. Ya Zhu Silk, Inc. A.A. Importing Co., Inc. ACM Corporation Alleghany Pharmacal Corp. Amiworld, Inc. BTHC XIV, Inc. Buccaneer Energy Corp. CECO Filters, Inc. Child World, Inc. Comp Services Inc. Connohio, Inc. Dadongnan Holding., Co. Day & Meyer, Murray & Young Corp. DEI Holdings, Inc. Diversified Thermal Solutions, Inc. Global Industries Corp. http://www.federalregister.gov/citation/81-FR-66705 81-FR-66705 34-78929 https://www.sec.gov/litigation/admin/2016/34-78929.pdf IA-4536 3-17573 2016-09-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Merrill Lynch, Pierce, Fenner & Smith Incorporated N/A 34-78930 https://www.sec.gov/rules/sro/cboe/2016/34-78930.pdf SR-CBOE-2016-070 2016-09-26 Notice / Immediate Effectiveness/Relating to the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-67408 81-FR-67408 34-78931 https://www.sec.gov/rules/sro/nsx/2016/34-78931.pdf SR-NSX-2016-11 2016-09-26 Notice / Immediate Effectiveness/to Amend the Fee and Rebate Schedule to Create a Liquidity-Adding Volume Threshold to Benefit from the Current Liquidity Taking Fee in Securities Priced $1.00 or Greater SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-67412 81-FR-67412 34-78932 https://www.sec.gov/litigation/admin/2016/34-78932.pdf IC-32286 3-17575 2016-09-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bonacci , Nicholas M. N/A 34-78933 https://www.sec.gov/litigation/admin/2016/34-78933.pdf 3-17574 2016-09-26 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Accel Brands, Inc. N/A 34-78934 https://www.sec.gov/litigation/admin/2016/34-78934.pdf 3-17576 2016-09-26 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Connexus Corporation N/A 34-78935 https://www.sec.gov/rules/sro/dtc/2016/34-78935.pdf SR-DTC-2016-005 2016-09-26 Notice / Order Accelerating /Regarding the Implementation of Functionality to Submit a Cover of Protect on Behalf of Another Participant and the Removal of the Option to Cover of Protect Directly with Agent SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-67406 81-FR-67406 34-78936 https://www.sec.gov/litigation/admin/2016/34-78936.pdf 3-17577 2016-09-26 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Seibert, Robert N/A 34-78937 https://www.sec.gov/litigation/admin/2016/34-78937.pdf 3-17578 2016-09-26 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing A Cease-and-Desist Order AP Settled Barucci, Frank S. N/A 34-78938 https://www.sec.gov/litigation/admin/2016/34-78938.pdf 3-17579 2016-09-26 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Barucci, Frank P. N/A 34-78939 https://www.sec.gov/litigation/admin/2016/34-78939.pdf 3-17580 2016-09-26 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Rajan, Vijay S. N/A 34-78940 https://www.sec.gov/litigation/admin/2016/34-78940.pdf 3-17581 2016-09-26 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing A Cease-and-Desist Order AP Settled Hashim, Syed A. N/A 34-78941 https://www.sec.gov/rules/other/2016/34-78941.pdf 600-36 2016-09-27 Notice /Application for Registration as a Clearing Agency and Request for Exemptive Relief Notice LCH SA http://www.federalregister.gov/citation/81-FR-68074 81-FR-68074 34-78942 https://www.sec.gov/litigation/suspensions/2016/34-78942.pdf 500-1 2016-09-27 Trading Suspension Trading Suspensions Accel Brands, Inc. http://www.federalregister.gov/citation/81-FR-67027 81-FR-67027 34-78943 https://www.sec.gov/litigation/admin/2016/34-78943.pdf 3-17327 2016-09-27 Notice that Initial Decision Has Become Final Notice Easy Health Technologies Ltd. Neptune Acquisition Corp. Segway IV Corp. N/A 34-78944 https://www.sec.gov/litigation/admin/2016/33-10221.pdf 33-10221 AAER-3806 3-17582 2016-09-27 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Weatherford International plc f/k/a Weatherford International Ltd. Hudgins, James M. Kitay, Darryl S. N/A 34-78945 https://www.sec.gov/rules/sro/iex/2016/34-78945.pdf SR-IEX-2016-15 2016-09-27 Notice / Immediate Effectiveness/Related to Optional Risk Management Controls SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-68081 81-FR-68081 34-78946 https://www.sec.gov/rules/sro/box/2016/34-78946.pdf SR-BOX-2016-45 2016-09-27 Notice /to Amend the Treatment of Quotes to Provide that All Quotes on BOX are Liquidity Adding Only SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-68069 81-FR-68069 34-78947 https://www.sec.gov/litigation/admin/2016/33-10222.pdf 33-10222 AAER-3807 3-17583 2016-09-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Orrstown Financial Services, Inc. Quinn, Thomas R. Everly, Bradley S. Embly, Jeffrey W. Barton, Douglas P. N/A 34-78948 https://www.sec.gov/litigation/admin/2016/33-10223.pdf 33-10223 IC-32290 3-17584 2016-09-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Silverman, Jeffrey A. Silverman, Anthony N/A 34-78949 https://www.sec.gov/rules/sro/nysearca/2016/34-78949.pdf SR-NYSEARCA-2016-107 2016-09-27 Notice / Designation of Longer Period for Commission Action/Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-68078 81-FR-68078 34-78950 https://www.sec.gov/rules/sro/miax/2016/34-78950.pdf SR-MIAX-2016-33 2016-09-27 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-68084 81-FR-68084 34-78951 https://www.sec.gov/rules/sro/nysemkt/2016/34-78951.pdf SR-NYSEMKT-2016-15 2016-09-27 Notice / Withdrawal /Establishing Fees Relating to End Users and Amending the Definition of ?Affiliate,? as well as Amending the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Reflect the Changes SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-68086 81-FR-68086 34-78952 https://www.sec.gov/rules/sro/nysearca/2016/34-78952.pdf SR-NYSEARCA-2016-19 2016-09-27 Notice / Withdrawal /to Establish Certain End User Fees, Amend the Definition of Affiliate, and Amend the Co-location section of the Fee Schedule to Reflect the Changes SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-68086 81-FR-68086 34-78953 https://www.sec.gov/rules/sro/nyse/2016/34-78953.pdf SR-NYSE-2016-11 2016-09-27 Notice / Withdrawal /Establishing Fees Relating to End Users and Amending the Definition of ?Affiliate,? as well as Amending the NYSE Price List to Reflect the Changes SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-68083 81-FR-68083 34-78954 https://www.sec.gov/rules/sro/cboe/2016/34-78954.pdf SR-CBOE-2016-069 2016-09-27 Notice / Immediate Effectiveness/to Amend the Nonstandard Expirations Pilot Program to Permit New Series to be Added Up to and Including on the Expiration Date SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-68071 81-FR-68071 34-78955 https://www.sec.gov/litigation/admin/2016/34-78955.pdf 3-17585 2016-09-27 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Bluefire Renewables, Inc. N/A 34-78956 https://www.sec.gov/litigation/admin/2016/34-78956.pdf 3-17542 2016-09-28 Order Making Findings and Revoking Registration AP Settled All Energy Corp. As Seen On TV, Inc. N/A 34-78957 https://www.sec.gov/litigation/admin/2016/34-78957.pdf AAER-3808 3-17586 2016-09-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Anheuser-Busch InBev SA/NV N/A 34-78958 https://www.sec.gov/litigation/admin/2016/34-78958.pdf 3-17587 2016-09-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled UBS Financial Services, Inc. N/A 34-78959 https://www.sec.gov/rules/sro/nysemkt/2016/34-78959.pdf SR-NYSEMKT-2016-71 2016-09-28 Notice / Immediate Effectiveness/Amending Rule 8313 Relating to the Exchange's Ability to Publicly Release Disciplinary Complaints SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-68481 81-FR-68481 34-78960 https://www.sec.gov/rules/sro/nsx/2016/34-78960.pdf SR-NSX-2016-12 2016-09-28 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.26 to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-68476 81-FR-68476 34-78961 https://www.sec.gov/rules/final/2016/34-78961.pdf S7-03-14 2016-09-28 Standards for Covered Clearing Agencies/Final Rule Final Rule Standards for Covered Clearing Agencies http://www.federalregister.gov/citation/81-FR-70786 81-FR-70786 34-78962 https://www.sec.gov/rules/proposed/2016/34-78962.pdf S7-22-16 2016-09-28 Amendment to Securities Transaction Settlement Cycle Proposed Rule 34 Act; Rule 15c6-1 http://www.federalregister.gov/citation/81-FR-69240 81-FR-69240 34-78963 https://www.sec.gov/rules/proposed/2016/34-78963.pdf S7-23-16 2016-09-28 Proposed Rule Proposed Rule Definition of "Covered Clearing Agency" http://www.federalregister.gov/citation/81-FR-70744 81-FR-70744 34-78964 https://www.sec.gov/rules/sro/batsbzx/2016/34-78964.pdf SR-BATSBZX-2016-59 2016-09-28 Notice / Immediate Effectiveness/to Update BZX Rules 21.1, 21.7 and 21.9 to Align the Exchange?s Rules and Functionality Applicable to the Exchange?s Options Platform, BZX Options, with the Exchange?s Affiliated Options Platform, EDGX Options, which is Operated by Bats EDGX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-68493 81-FR-68493 34-78965 https://www.sec.gov/rules/sro/finra/2016/34-78965.pdf SR-FINRA-2016-032 2016-09-28 Notice / Designation of Longer Period for Commission Action/Relating to FINRA Rule 2232 (Customer Confirmations) to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Fixed Income Securities SRO Filing Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/81-FR-68492 81-FR-68492 34-78966 https://www.sec.gov/rules/sro/nyse/2016/34-78966.pdf SR-NYSE-2016-45 2016-09-28 Notice / Designation of Longer Period for Commission Action/Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-68475 81-FR-68475 34-78967 https://www.sec.gov/rules/sro/nysearca/2016/34-78967.pdf SR-NYSEARCA-2016-89 2016-09-28 Notice / Designation of Longer Period for Commission Action/Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-68480 81-FR-68480 34-78968 https://www.sec.gov/rules/sro/nysemkt/2016/34-78968.pdf SR-NYSEMKT-2016-63 2016-09-28 Notice / Designation of Longer Period for Commission Action/Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-68493 81-FR-68493 34-78969 https://www.sec.gov/litigation/opinions/2016/34-78969.pdf 3-17035 2016-09-28 Order Granting Petition for Review and Scheduling Briefs Orders Desai, Shreyans N/A 34-78970 https://www.sec.gov/litigation/admin/2016/34-78970.pdf 3-17589 2016-09-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Cantab Pharmaceuticals PLC International Panorama Resource Corp. Zealous, Inc. (n/k/a CoreStream Energy, Inc.) N/A 34-78971 https://www.sec.gov/litigation/admin/2016/34-78971.pdf 3-17590 2016-09-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Victory Eagle Resources Corp. Telestone Technologies Corp. US Fuel Corp. N/A 34-78972 https://www.sec.gov/litigation/suspensions/2016/34-78972.pdf 500-1 2016-09-29 Trading Suspension Trading Suspensions Sierra Resource Group, Inc. http://www.federalregister.gov/citation/81-FR-68492 81-FR-68492 34-78973 https://www.sec.gov/litigation/admin/2016/34-78973.pdf 3-17591 2016-09-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Sierra Resource Group, Inc. N/A 34-78974 https://www.sec.gov/rules/sro/miax/2016/34-78974.pdf SR-MIAX-2016-34 2016-09-29 Notice / Immediate Effectiveness/to Amend Exchange Rule 519C, Mass Cancellation of Trading Interest SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-69090 81-FR-69090 34-78975 https://www.sec.gov/rules/exorders/2016/34-78975.pdf NO FILE NUMBER 2016-09-29 Order/Temporary Exemption from Compliance with Rules 13n-1 to 13n-12 under the Exchange Act Orders DTCC Data Repository (U.S.) LLC ICE Trade Vault, LLC http://www.federalregister.gov/citation/81-FR-69122 81-FR-69122 34-78976 https://www.sec.gov/litigation/admin/2016/34-78976.pdf 3-17594 2016-09-29 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Whitehead, Kenneth S. N/A 34-78977 https://www.sec.gov/rules/sro/nasdaq/2016/34-78977.pdf SR-NASDAQ-2016-132 2016-09-29 Notice / Immediate Effectiveness/to Amend Nasdaq's Fees and Credits at Rules 7014 and 7018 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-69140 81-FR-69140 34-78978 https://www.sec.gov/rules/sro/phlx/2016/34-78978.pdf SR-PHLX-2016-93 2016-09-29 Notice /to Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-69133 81-FR-69133 34-78979 https://www.sec.gov/rules/sro/nasdaq/2016/34-78979.pdf SR-NASDAQ-2016-127 2016-09-29 Notice /to Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-69145 81-FR-69145 34-78980 https://www.sec.gov/rules/sro/isemercury/2016/34-78980.pdf SR-ISEMERCURY-2016-16 2016-09-29 Notice /to Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-69127 81-FR-69127 34-78981 https://www.sec.gov/rules/sro/isegemini/2016/34-78981.pdf SR-ISEGEMINI-2016-10 2016-09-29 Notice /to Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-69165 81-FR-69165 34-78982 https://www.sec.gov/rules/sro/bsecc/2016/34-78982.pdf SR-BSECC-2016-001 2016-09-29 Notice /to Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access SRO Filing Boston Stock Exchange Clearing Corporation http://www.federalregister.gov/citation/81-FR-69159 81-FR-69159 34-78983 https://www.sec.gov/rules/sro/occ/2016/34-78983.pdf SR-OCC-2016-010 2016-09-29 Related to Amendments to and the Restatement of OCC's Certificate of Incorporation/Notice / Immediate Effectiveness SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-69100 81-FR-69100 34-78984 https://www.sec.gov/rules/sro/sccp/2016/34-78984.pdf SR-SCCP-2016-01 2016-09-29 Notice /to Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access SRO Filing Stock Clearing Corporation of Philadelphia http://www.federalregister.gov/citation/81-FR-69093 81-FR-69093 34-78985 https://www.sec.gov/rules/sro/ise/2016/34-78985.pdf SR-ISE-2016-22 2016-09-29 Notice /to Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-69102 81-FR-69102 34-78986 https://www.sec.gov/rules/sro/bx/2016/34-78986.pdf SR-BX-2016-051 2016-09-29 Notice /to Amend the By-Laws of Nasdaq, Inc. to Implement Proxy Access SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-69152 81-FR-69152 34-78987 https://www.sec.gov/rules/sro/nsx/2016/34-78987.pdf SR-NSX-2016-13 2016-09-29 Notice / Immediate Effectiveness SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-69123 81-FR-69123 34-78988 https://www.sec.gov/rules/sro/batsedgx/2016/34-78988.pdf SR-BATSEDGX-2016-41 2016-09-29 Notice/Related to the Exchange's Equity Options Platform to Adopt a Price Improvement Auction, the Bats Auction Mechanism SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-69172 81-FR-69172 34-78989 https://www.sec.gov/litigation/admin/2016/34-78989.pdf IA-4540 3-17595 2016-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing Remedial Sanctions, and a Cease-and-Desist Order, and Notice of Hearing AP Settled Och-Ziff Capital Management Group LLC OZ Management LP Och, Daniel S. Frank, Joel M. N/A 34-78990 https://www.sec.gov/litigation/opinions/2016/33-10225.pdf 33-10225 IA-4541 IC-32294 3-15737 2016-09-29 Order Granting Partial Stay Orders Gonnella, Thomas C. N/A 34-78991 https://www.sec.gov/litigation/admin/2016/34-78991.pdf 3-17596 2016-09-29 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled International Game Technology N/A 34-78992 https://www.sec.gov/rules/sro/nyse/2016/34-78992.pdf SR-NYSE-2016-57 SR-NYSEMKT-2016-80 SR-NYSEARCA-2016-119 2016-09-29 Order/Amending and Restating the Second Amended and Restated Certificate of Incorporation of the Exchanges? Ultimate Parent Company, Intercontinental Exchange, Inc. SRO Filing New York Stock Exchange LLC NYSE MKT LLC NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-69092 81-FR-69092 34-78993 https://www.sec.gov/alj/aljdec/2016/34-78993.pdf 3-17020 2016-09-29 Notice That Initial Decision Has Become Final Notice Dalmy, Diane D. Esq N/A 34-78994 https://www.sec.gov/litigation/admin/2016/34-78994.pdf IC-32297 3-17597 2016-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Cleary, James E. N/A 34-78995 https://www.sec.gov/litigation/admin/2016/34-78995.pdf IC-32296 3-17598 2016-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ganton, Jason M. N/A 34-78996 https://www.sec.gov/litigation/admin/2016/34-78996.pdf IC-32295 3-17599 2016-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Newman, Mason D. N/A 34-78997 https://www.sec.gov/litigation/admin/2016/34-78997.pdf 3-17600 2016-09-29 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Altair Nanotechnologies, Inc. N/A 34-78998 https://www.sec.gov/litigation/admin/2016/34-78998.pdf 3-17601 2016-09-29 Order Instituting Administrative Proceedings, Making Findings, Accepting Settlement, Implementing Settlement, and Staying Proceedings to Implement Settlement AP Settled Altair Nanotechnologies, Inc. N/A 34-78999 https://www.sec.gov/litigation/admin/2016/34-78999.pdf 3-17602 2016-09-29 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Cope, Jason N/A 34-79000 https://www.sec.gov/litigation/suspensions/2016/34-79000.pdf 500-1 2016-09-30 Trading Suspension Trading Suspensions Infinex Ventures, Inc. http://www.federalregister.gov/citation/81-FR-68480 81-FR-68480 34-79001 https://www.sec.gov/litigation/suspensions/2016/34-79001.pdf 500-1 2016-09-30 Trading Suspension Trading Suspensions Rainbow International, Corp., a/k/a Raintree Brands Incorporated http://www.federalregister.gov/citation/81-FR-68492 81-FR-68492 34-79002 https://www.sec.gov/litigation/admin/2016/33-10226.pdf 33-10226 3-17603 2016-09-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Rainbow International, Corp., a/k/a Raintree Brands Incorporated Corn, Donald R. N/A 34-79003 https://www.sec.gov/litigation/admin/2016/34-79003.pdf IA-4542 3-17604 2016-09-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Moloney Securities Co., Inc. Medley, Joseph Ronald N/A 34-79004 https://www.sec.gov/litigation/admin/2016/34-79004.pdf AAER-3809 3-17605 2016-09-30 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled D'Arelli Pruzansky, P.A. D’Arelli, Joseph Pruzansky, Mitchell J. N/A 34-79005 https://www.sec.gov/litigation/admin/2016/34-79005.pdf AAER-3810 3-17606 2016-09-30 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled GlaxoSmithKline plc N/A 34-79006 https://www.sec.gov/litigation/admin/2016/34-79006.pdf 3-17607 2016-09-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Jones Barbera, Kona N/A 34-79007 https://www.sec.gov/litigation/opinions/2016/34-79007.pdf 3-17076 2016-09-30 Opinion Opinions Akindemowo, Kenny N/A 34-79008 https://www.sec.gov/litigation/opinions/2016/34-79008.pdf 3-17226 2016-09-30 Opinion Opinions Wanger, Eric David N/A 34-79009 https://www.sec.gov/litigation/opinions/2016/33-10227.pdf 33-10227 IA-4543 IC-32298 3-15617 2016-09-30 Opinion Opinions Grossman, Larry C. N/A 34-79010 https://www.sec.gov/litigation/opinions/2016/34-79010.pdf 3-16913R 2016-09-30 Opinion Opinions AutoChina International Limited N/A 34-79011 https://www.sec.gov/litigation/admin/2016/34-79011.pdf 3-17608 2016-09-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Elray Resources, Inc. N/A 34-79012 https://www.sec.gov/rules/sro/isemercury/2016/34-79012.pdf SR-ISEMERCURY-2016-18 2016-09-30 Notice / Immediate Effectiveness/to Adopt a New Rule 209 SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-69565 81-FR-69565 34-79013 https://www.sec.gov/rules/sro/isegemini/2016/34-79013.pdf SR-ISEGEMINI-2016-12 2016-09-30 Notice / Immediate Effectiveness/to Adopt a New Rule 209 SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-69556 81-FR-69556 34-79014 https://www.sec.gov/rules/sro/ise/2016/34-79014.pdf SR-ISE-2016-24 2016-09-30 Notice / Immediate Effectiveness/to Adopt a New Rule 213 SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-69560 81-FR-69560 34-79015 https://www.sec.gov/litigation/admin/2016/34-79015.pdf 3-17609 2016-09-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Greenfield, Jonathan N/A 34-79016 https://www.sec.gov/litigation/opinions/2016/34-79016.pdf 3-17404 2016-09-30 Opinion/Opinion Opinions Murphy, Kevin M. N/A 34-79017 https://www.sec.gov/rules/sro/nysearca/2016/34-79017.pdf SR-NYSEARCA-2016-123 2016-09-30 Notice / Order Accelerating/to the Exchange's order types to implement the Tick Size Pilot Program SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-69562 81-FR-69562 34-79018 https://www.sec.gov/litigation/opinions/2016/34-79018.pdf 3-15601R 2016-09-30 Opinion Opinions Fillet, Mitchell H. N/A 34-79019 https://www.sec.gov/litigation/admin/2016/34-79019.pdf AAER-3811 3-17611 2016-09-30 Order of Suspension AP Settled Ritter, Alan N/A 34-79020 https://www.sec.gov/litigation/admin/2016/34-79020.pdf AAER-3812 IA-4544 3-17612 2016-09-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Duban, Dennis N/A 34-79021 https://www.sec.gov/litigation/admin/2016/34-79021.pdf AAER-3813 3-17613 2016-09-30 Order of Suspension AP Settled Brazile, Steven M. N/A 34-79022 https://www.sec.gov/litigation/suspensions/2016/34-79022.pdf 500-1 2016-10-03 Trading Suspension Trading Suspensions Avatar Ventures Corp. N/A 34-79023 https://www.sec.gov/rules/sro/phlx/2016/34-79023.pdf SR-PHLX-2016-82 2016-10-03 Notice / Designation of Longer Period for Commission Action/to Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Priced Orders SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-69877 81-FR-69877 34-79024 https://www.sec.gov/rules/sro/phlx/2016/34-79024.pdf SR-PHLX-2016-79 2016-10-03 Notice / Designation of Longer Period for Commission Action/to Amend Rule 1017, Openings in Options SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-69892 81-FR-69892 34-79025 https://www.sec.gov/rules/sro/nasdaq/2016/34-79025.pdf SR-NASDAQ-2016-106 2016-10-03 Notice /to Adjust the Entitlement to Services of Acquisition Companies SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-69881 81-FR-69881 34-79026 https://www.sec.gov/rules/sro/finra/2016/34-79026.pdf SR-FINRA-2016-038 2016-10-03 Notice / Immediate Effectiveness/to Modify the Quoting and Trading Requirements Relating to the Block Size Exception and the Use of Intermarket Sweep Orders and Trade-at Intermarket Sweep Orders SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-69893 81-FR-69893 34-79027 https://www.sec.gov/rules/sro/chx/2016/34-79027.pdf SR-CHX-2016-19 2016-10-03 Notice / Immediate Effectiveness/to Amend Rules to Describe Changes Necessary to Implement the Tick Size Pilot Program SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-69889 81-FR-69889 34-79028 https://www.sec.gov/rules/sro/occ/2016/34-79028.pdf SR-OCC-2016-012 2016-10-03 Notice / Immediate Effectiveness/to Revise the Options Clearing Corporation's Schedule of Fees SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-69885 81-FR-69885 34-79029 https://www.sec.gov/rules/sro/nysemkt/2016/34-79029.pdf SR-NYSEMKT-2016-83 2016-10-03 Notice / Order Accelerating /to Amend Rule 67 - Equities Relating to the Tick Size Pilot Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-69874 81-FR-69874 34-79030 https://www.sec.gov/rules/sro/nyse/2016/34-79030.pdf SR-NYSE-2016-62 2016-10-03 Notice / Order Accelerating /to Amend Rule 67 Relating to the Tick Size Pilot Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-69878 81-FR-69878 34-79031 https://www.sec.gov/litigation/admin/2016/33-10228.pdf 33-10228 IA-4545 IC-32301 3-17614 2016-10-04 Order Instituting Administrative and Cease-and-Desist Proceeding AP Litigated Laurence I. Balter (d/b/a Oracle Investment Research) N/A 34-79032 https://www.sec.gov/litigation/admin/2016/34-79032.pdf 3-17353 2016-10-04 Order Making Findings and Revoking Registration AP Settled StarInvest Group, Inc. N/A 34-79033 https://www.sec.gov/litigation/admin/2016/34-79033.pdf 3-17311 2016-10-04 Notice That Initial Decision Has Become Final Notice Rebornne (USA) Inc. N/A 34-79034 https://www.sec.gov/rules/sro/nysearca/2016/34-79034.pdf SR-NYSEARCA-2016-134 2016-10-04 Notice / Immediate Effectiveness/Amending Rule 7.16P SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-70226 81-FR-70226 34-79035 https://www.sec.gov/rules/sro/nasdaq/2016/34-79035.pdf SR-NASDAQ-2016-124 2016-10-04 Notice / Immediate Effectiveness/to Amend Nasdaq Rule 7046 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-70207 81-FR-70207 34-79036 https://www.sec.gov/rules/sro/iex/2016/34-79036.pdf SR-IEX-2016-16 2016-10-04 Notice / Immediate Effectiveness/to adopt rules to implement the quoting and trading provisions of the Tick Size Pilot Program and to describe related changes to IEX system functionality SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-70216 81-FR-70216 34-79037 https://www.sec.gov/rules/sro/box/2016/34-79037.pdf SR-BOX-2016-46 2016-10-04 Notice / Immediate Effectiveness/to Make Non-Controversial Amendments to its Rules SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-70224 81-FR-70224 34-79038 https://www.sec.gov/rules/sro/box/2016/34-79038.pdf SR-BOX-2016-47 2016-10-04 Notice / Immediate Effectiveness/to Amend the Fee Schedule to Adopt Participant Fees on the BOX Market LLC (?BOX?) Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-70214 81-FR-70214 34-79039 https://www.sec.gov/rules/sro/batsbzx/2016/34-79039.pdf SR-BATSBZX-2016-62 2016-10-04 Notice / Immediate Effectiveness/to Rule 22.3, Continuing Options Market Maker Registration SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-79039 81-FR-79039 34-79040 https://www.sec.gov/rules/sro/box/2016/34-79040.pdf SR-BOX-2016-49 2016-10-04 Notice / Immediate Effectiveness/to Amend the Fee Schedule on the BOX Market LLC (?BOX?) Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-70222 81-FR-70222 34-79041 https://www.sec.gov/rules/sro/batsedgx/2016/34-79041.pdf SR-BATSEDGX-2016-53 2016-10-04 Notice / Immediate Effectiveness/to Rule 22.3, Continuing Options Market Maker Registration, of Bats EDGX Exchange, Inc. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-70198 81-FR-70198 34-79042 https://www.sec.gov/litigation/suspensions/2016/34-79042.pdf 500-1 2016-10-05 Trading Suspension Trading Suspensions Boreal Water Collection, Inc. N/A 34-79043 https://www.sec.gov/litigation/admin/2016/34-79043.pdf 3-17615 2016-10-05 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Boreal Water Collection, Inc. N/A 34-79044 https://www.sec.gov/litigation/admin/2016/33-10229.pdf 33-10229 3-17617 2016-10-05 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions. AP Settled Credit Suisse AG N/A 34-79045 https://www.sec.gov/litigation/admin/2016/33-10230.pdf 33-10230 3-17618 2016-10-05 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions. AP Settled Bögli , Rolf N/A 34-79046 https://www.sec.gov/rules/sro/dtc/2016/34-79046.pdf SR-DTC-2016-008 2016-10-05 Notice /to Processing of Transactions in Money Market Instruments SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/81-FR-70200 81-FR-70200 34-79047 https://www.sec.gov/rules/sro/phlx/2016/34-79047.pdf SR-PHLX-2016-96 2016-10-05 Notice / Immediate Effectiveness/to Amend Options Floor Procedure Advice F-1, Entitled ?Use of Identification Letters and Numbers.? SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-70447 81-FR-70447 34-79048 https://www.sec.gov/rules/sro/miax/2016/34-79048.pdf SR-MIAX-2016-35 2016-10-05 Notice / Immediate Effectiveness/to Amend Exchange Rule 503 Openings on the Exchange and Rule 603 Obligations of Market Makers SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-70453 81-FR-70453 34-79049 https://www.sec.gov/rules/sro/nasdaq/2016/34-79049.pdf SR-NASDAQ-2016-120 2016-10-05 Notice / Designation of Longer Period for Commission Action to/to Adopt the Third Party Connectivity Service under Rules 7034(b) and 7051 SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-70452 81-FR-70452 34-79050 https://www.sec.gov/rules/sro/finra/2016/34-79050.pdf SR-FINRA-2016-037 2016-10-05 Notice / Immediate Effectiveness/to Modify Fees and Transaction Credits for the FINRA/NYSE Trade Reporting Facility SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-70462 81-FR-70462 34-79051 https://www.sec.gov/rules/sro/nyse/2016/34-79051.pdf SR-NYSE-2016-55 2016-10-05 Notice / Designation of Longer Period for Commission Action/on Proposed Rule Change Adopting Maximum Fees Member Organizations May Charge in Connection with the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-70449 81-FR-70449 34-79052 https://www.sec.gov/rules/sro/nysearca/2016/34-79052.pdf SR-NYSEARCA-2016-82 2016-10-05 Order / Instituting Proceedings to/to Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment Nos. 1, 2, and 3 Thereto, to List and Trade Shares of the JPMorgan Diversified Event Driven ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-70455 81-FR-70455 34-79053 https://www.sec.gov/rules/sro/batsbzx/2016/34-79053.pdf SR-BATSBZX-2016-35 2016-10-05 Order/to List and Trade Shares of the JPMorgan Global Bond Opportunities ETF of the J.P. Morgan Exchange-Traded Fund Trust under BZX Rule 14.11(i), Managed Fund Shares SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-70468 81-FR-70468 34-79054 https://www.sec.gov/rules/sro/nysearca/2016/34-79054.pdf SR-NYSEARCA-2016-137 2016-10-05 Notice / Immediate Effectiveness/to Revise the Requirements For the Current Step Up Tier SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-70473 81-FR-70473 34-79055 https://www.sec.gov/rules/sro/nysemkt/2016/34-79055.pdf SR-NYSEMKT-2016-52 SR-NYSEARCA-2016-103 2016-10-05 Order / Instituting Proceedings to/to Determine Whether to Approve or Disapprove Proposed Rule Changes to Extend the Time Within Which a Member, Member Organization, an ATP Holder, an OTP Holder, or an OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration (?Form U5?) SRO Filing NYSE MKT LLC NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-70460 81-FR-70460 34-79056 https://www.sec.gov/rules/sro/nysemkt/2016/34-79056.pdf SR-NYSEMKT-2016-62 2016-10-06 Order/to Adjust the Entitlement to Services of Special Purpose Acquisition Companies SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-70449 81-FR-70449 34-79057 https://www.sec.gov/rules/sro/17d-2/2016/34-79057.pdf 4-705 2016-10-06 Notice/Order Approving and Declaring Effective a Proposed Plan for the Allocation of Regulatory Responsibilities Orders Financial Industry Regulatory Authority, Inc. Bats BZX Exchange, Inc. Bats BYX Exchange, Inc. Bats EDGA Exchange, Inc. Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-70728 81-FR-70728 34-79058 https://www.sec.gov/litigation/admin/2016/34-79058.pdf 3-16575 2016-10-06 Third Extension Order Orders Computer Sciences Corporation Laphen, Michael Mancuso, Michael Banks, Wayne Wakefield, Paul N/A 34-79059 https://www.sec.gov/rules/sro/isemercury/2016/34-79059.pdf SR-ISEMERCURY-2016-17 2016-10-06 Notice / Immediate Effectiveness/to Amend a Current Billing Practice With Respect to Billing Disputes SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-70726 81-FR-70726 34-79060 https://www.sec.gov/rules/sro/isegemini/2016/34-79060.pdf SR-ISEGEMINI-2016-11 2016-10-06 Notice / Immediate Effectiveness/to Amend a Current Billing Practice With Respect to Billing Disputes SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-70716 81-FR-70716 34-79061 https://www.sec.gov/rules/sro/ise/2016/34-79061.pdf SR-ISE-2016-23 2016-10-06 Notice / Immediate Effectiveness/to Amend a Current Billing Practice With Respect to Billing Disputes SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-70721 81-FR-70721 34-79062 https://www.sec.gov/rules/sro/nysearca/2016/34-79062.pdf SR-NYSEARCA-2016-64 2016-10-06 Notice / Withdrawal /to List and Trade Shares of the AdvisorShares KIM Korea Equity ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-70722 81-FR-70722 34-79063 https://www.sec.gov/rules/sro/nysearca/2016/34-79063.pdf SR-NYSEARCA-2016-132 2016-10-06 Notice / Immediate Effectiveness/Amending the NYSE Arca Options Fee Schedule SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-70719 81-FR-70719 34-79064 https://www.sec.gov/rules/sro/batsbzx/2016/34-79064.pdf SR-BATSBZX-2016-64 2016-10-06 Notice / Immediate Effectiveness/to Fees to Make a Clarifying Change Related to the Tape B Quoting Tier SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-70718 81-FR-70718 34-79065 https://www.sec.gov/litigation/admin/2016/34-79065.pdf 3-17619 2016-10-06 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Risinger, Jeffrey B. Esq. N/A 34-79066 https://www.sec.gov/litigation/admin/2016/34-79066.pdf 3-17620 2016-10-06 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Risinger, Jeffrey B. Esq. N/A 34-79067 https://www.sec.gov/litigation/admin/2016/34-79067.pdf 3-17621 2016-10-06 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Stitt, Andrew N/A 34-79068 https://www.sec.gov/rules/sro/nysearca/2016/34-79068.pdf SR-NYSEARCA-2016-136 2016-10-07 Notice /to Provide for Widened Price Collar Thresholds for the Core Open Auction on Volatile Trading Days SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-71127 81-FR-71127 34-79069 https://www.sec.gov/rules/sro/batsbzx/2016/34-79069.pdf SR-BATSBZX-2016-26 2016-10-07 Order/to Amend BZX Rule 14.11(d) to Add the EURO STOXX 50 Volatility Futures to the Definition of Futures Reference Asset SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-70714 81-FR-70714 34-79070 https://www.sec.gov/rules/sro/batsbzx/2016/34-79070.pdf SR-BATSBZX-2016-66 2016-10-07 Notice / Immediate Effectiveness/to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-71146 81-FR-71146 34-79071 https://www.sec.gov/rules/sro/nyse/2016/34-79071.pdf SR-NYSE-2016-64 2016-10-07 Notice / Immediate Effectiveness/Amending Supplementary Material .20 to Rule 103 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-70723 81-FR-70723 34-79072 https://www.sec.gov/rules/sro/miax/2016/34-79072.pdf SR-MIAX-2016-26 2016-10-07 Order/to Adopt New Rules to Govern the Trading of Complex Orders SRO Filing Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-71131 81-FR-71131 34-79073 https://www.sec.gov/rules/sro/phlx/2016/34-79073.pdf SR-PHLX-2016-97 2016-10-07 Notice /to Delete Outdated or Unnecessary Rule Language SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-71153 81-FR-71153 34-79074 https://www.sec.gov/rules/sro/phlx/2016/34-79074.pdf SR-PHLX-2016-92 2016-10-07 Notice / Order Accelerating /to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-71123 81-FR-71123 34-79075 https://www.sec.gov/rules/sro/nasdaq/2016/34-79075.pdf SR-NASDAQ-2016-126 2016-10-07 Notice / Order Accelerating /to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-71143 81-FR-71143 34-79076 https://www.sec.gov/rules/sro/bx/2016/34-79076.pdf SR-BX-2016-050 2016-10-07 Notice / Order Accelerating /to System Functionality Necessary to Implement the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-71150 81-FR-71150 34-79077 https://www.sec.gov/rules/sro/ficc/2016/34-79077.pdf SR-FICC-2016-003 2016-10-11 Order/to Describe the Blackout Period Exposure Charge That May Be Imposed on GCF Repo Participants SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-71545 81-FR-71545 34-79078 https://www.sec.gov/rules/sro/nysearca/2016/34-79078.pdf SR-NYSEARCA-2016-135 2016-10-11 Notice / Immediate Effectiveness/to Remove Definitions and Trading Rules That Are No Longer Operative After the Completed Full Migration of All Symbols to the Pillar Trading Platform SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-71559 81-FR-71559 34-79079 https://www.sec.gov/litigation/admin/2016/34-79079.pdf IA-4547 3-17511 2016-10-11 Order Making Findings, and Imposing Remedial Sanctions AP Settled Watson, Pamella B. N/A 34-79080 https://www.sec.gov/rules/sro/phlx/2016/34-79080.pdf SR-PHLX-2016-100 2016-10-11 Notice /to Amend the Pricing Schedule at Section IV, Part B titled ?Flex Transaction Fees? SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-71556 81-FR-71556 34-79081 https://www.sec.gov/rules/sro/nasdaq/2016/34-79081.pdf SR-NASDAQ-2016-135 2016-10-11 Notice /to Amend the Continued Listing Requirements for Exchange-Traded Products SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-71548 81-FR-71548 34-79082 https://www.sec.gov/rules/sro/nasdaq/2016/34-79082.pdf SR-NASDAQ-2016-134 2016-10-11 Notice /to List and Trade Exchange-Traded Managed Funds SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-71549 81-FR-71549 34-79083 https://www.sec.gov/litigation/admin/2016/34-79083.pdf IA-4548 3-17622 2016-10-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Certain Deutsche Bank Securities, Inc. Research N/A 34-79084 https://www.sec.gov/rules/sro/batsbzx/2016/34-79084.pdf SR-BATSBZX-2016-30 2016-10-12 Order / Instituting Proceedings to/Determine Whether to Approve or Disapprove a Proposed Rule Change to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-71778 81-FR-71778 34-79085 https://www.sec.gov/rules/sro/nyse/2016/34-79085.pdf SR-NYSE-2016-44 2016-10-12 Order / Instituting Proceedings to/Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendments No. 1 and 2, Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges Any NMS Stock Listed on Another National Securities Exchange; Establishing Listing and Trading Requirements for Exchange Traded Products; and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-71771 81-FR-71771 34-79086 https://www.sec.gov/rules/sro/cboe/2016/34-79086.pdf SR-CBOE-2016-072 2016-10-12 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-71772 81-FR-71772 34-79087 https://www.sec.gov/rules/sro/phlx/2016/34-79087.pdf SR-PHLX-2016-86 2016-10-12 Notice / Designation of Longer Period for Commission Action/on Proposed Rule Change to Delete or Amend Rule Language Relating to Specialists and Registered Options Traders SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-71776 81-FR-71776 34-79088 https://www.sec.gov/rules/sro/dtc/2016/34-79088.pdf SR-DTC-2016-009 2016-10-12 Notice / Immediate Effectiveness/to Clarify Certain Rules Provisions Relating to Pledges SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/81-FR-71774 81-FR-71774 34-79089 https://www.sec.gov/rules/sro/nysemkt/2016/34-79089.pdf SR-NYSEMKT-2016-91 2016-10-13 Notice / Immediate Effectiveness/to Modify the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-72133 81-FR-72133 34-79090 https://www.sec.gov/rules/sro/batsedgx/2016/34-79090.pdf SR-BATSEDGX-2016-55 2016-10-13 Notice / Immediate Effectiveness/to Fees for Use of Bats EDGX Exchange, Inc. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-72135 81-FR-72135 34-79091 https://www.sec.gov/rules/sro/batsedgx/2016/34-79091.pdf SR-BATSEDGX-2016-57 2016-10-13 Notice / Immediate Effectiveness/to Fees for Use of Bats EDGX Exchange, Inc. Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-72131 81-FR-72131 34-79092 https://www.sec.gov/rules/sro/batsbzx/2016/34-79092.pdf SR-BATSBZX-2016-48 2016-10-13 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-72141 81-FR-72141 34-79093 https://www.sec.gov/litigation/admin/2016/33-10232.pdf 33-10232 3-17625 2016-10-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Forcerank LLC N/A 34-79094 https://www.sec.gov/rules/sro/occ/2016/34-79094.pdf SR-OCC-2016-009 2016-10-13 Order/Approving Proposed Rule Change Concerning the Options Clearing Corporation's Escrow Deposit Program SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-72129 81-FR-72129 34-79095 https://www.sec.gov/rules/final/2016/33-10231.pdf 33-10231 IC-32314 S7-08-15 2016-10-13 Final Rule/Investment Company Reporting Modernization Final Rule 33 Act; IC Act; Rules 30a-4;30b1-9;8b-16;8b-33;10f-3;30a-1; 30a-2; 30a-3; 30d-1 and Forms N-PORT; N-CEN; N-8F; N-1A;N-2;N-3;N-4;N-6;N-14; N-CSR;Rescind Rules 30b1-1; 30b1-2; 30b1-3; 30b1-5 and Forms N-SAR and N-Q; 34Act; Rules 10A-1; 12b-25; 13a-10;13a-11; 13a-13;13a-16;15d-10;15d-11;15d-13;15d-16; Section 322; 330; Reg S-X Article 6 and Article 12; Section 800;Reg S-T Rules 105; 301, and 401; Rescind Section 332 http://www.federalregister.gov/citation/81-FR-81870 81-FR-81870 34-79096 https://www.sec.gov/rules/sro/occ-an/2016/34-79096.pdf SR-OCC-2016-802 2016-10-13 Notice of No Objection to Advance Notice/Concerning The Options Clearing Corporation's Escrow Deposit Program SRO Filing The Depository Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-72138 81-FR-72138 34-79097 https://www.sec.gov/litigation/admin/2016/34-79097.pdf 3-17351 2016-10-14 Notice That Initial Decision Has Become Final Notice Gold Basin Gold Limited N/A 34-79098 https://www.sec.gov/litigation/admin/2016/34-79098.pdf 3-17307 2016-10-14 Notice That Initial Decision Has Become Final Notice Galileo Petroleum Ltd. Hyperion Acquisition Corp. Satori Beverages International, Ltd. N/A 34-79099 https://www.sec.gov/litigation/opinions/2016/34-79099.pdf 3-17560 2016-10-14 Order Scheduling Briefs Orders Springsteen-Abbott, Kimberly N/A 34-79100 https://www.sec.gov/rules/sro/ise/2016/34-79100.pdf SR-ISE-2016-25 2016-10-14 Notice / Immediate Effectiveness/to Amend the Schedule of Fees SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-72636 81-FR-72636 34-79101 https://www.sec.gov/rules/sro/nysearca/2016/34-79101.pdf SR-NYSEARCA-2016-131 2016-10-14 Notice /to Listing and Trading of Shares of the Virtus Enhanced U.S. Equity ETF under Commentary .01 to NYSE Arca Equities Rule 5.2(j)(3) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-72630 81-FR-72630 34-79102 https://www.sec.gov/litigation/admin/2016/34-79102.pdf IA-4551 3-17626 2016-10-14 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Rogers, Keith Michael N/A 34-79103 https://www.sec.gov/rules/sro/batsbzx/2016/34-79103.pdf SR-BATSBZX-2016-60 2016-10-14 Notice /to Bats BZX Rule 14.13, Company Listing Fees, and to the Bats BZX Fee Schedule/Order / Instituting Proceedings to/Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-72624 81-FR-72624 34-79104 https://www.sec.gov/litigation/admin/2016/34-79104.pdf 3-17310 2016-10-17 Notice that Initial Decision Has Become Final Initial Decision Caspian International Oil Corporation Elevate, Inc. Groen Brothers Aviation, Inc. Logic Devices, Incorporated N/A 34-79105 https://www.sec.gov/rules/sro/nasdaq/2016/34-79105.pdf SR-NASDAQ-2016-133 2016-10-17 Notice / Immediate Effectiveness/to Amend Specialized Quote Feed Port Fees SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-72844 81-FR-72844 34-79106 https://www.sec.gov/rules/sro/nyse/2016/34-79106.pdf SR-NYSE-2016-65 2016-10-17 Notice / Immediate Effectiveness/to Amend its Price List to Eliminate Take Fees for Bonds Executed on the NYSE BondsSM System SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-72842 81-FR-72842 34-79107 https://www.sec.gov/rules/sro/nysearca/2016/34-79107.pdf SR-NYSEARCA-2016-130 2016-10-18 Notice /Amending NYSE Arca Equities Rules 7.35 (Auctions), 7.10 (Clearly Erroneous Executions), 7.31 (Orders and Modifiers), and 7.11 (Limit Up ? Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-73159 81-FR-73159 34-79108 https://www.sec.gov/rules/sro/nysemkt/2016/34-79108.pdf SR-NYSEMKT-2016-92 2016-10-18 Notice / Immediate Effectiveness/Amending NYSE MKT Rule 6A ? Equities and NYSE MKT Rule 6 - Equities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-73182 81-FR-73182 34-79109 https://www.sec.gov/litigation/admin/2016/34-79109.pdf AAER-3814 3-17628 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ernst & Young LLP Fronckiewicz, Craig R. CPA Adams, Sarah E. CPA N/A 34-79110 https://www.sec.gov/rules/sro/cboe/2016/34-79110.pdf SR-CBOE-2016-064 2016-10-18 Notice / Withdrawal /Relating to SPX Combo Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-73182 81-FR-73182 34-79111 https://www.sec.gov/rules/sro/nysearca/2016/34-79111.pdf SR-NYSEARCA-2016-96 2016-10-18 Order / Instituting Proceedings to/to Amend NYSE Arca Equities Rule 8.700 and to List and Trade Shares of the Managed Emerging Markets Trust Under Proposed Amended NYSE Arca Equities Rule 8.700 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-73179 81-FR-73179 34-79112 https://www.sec.gov/litigation/admin/2016/33-10236.pdf 33-10236 IA-4553 IC-32320 3-17629 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lebel, Paul T. N/A 34-79113 https://www.sec.gov/litigation/admin/2016/34-79113.pdf IA-4555 3-17631 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bank Leumi le-Israel B.M. Leumi Private Bank Bank Leumi (Luxembourg) S.A. N/A 34-79114 https://www.sec.gov/rules/sro/nysemkt/2016/34-79114.pdf SR-NYSEMKT-2016-93 2016-10-18 Notice / Immediate Effectiveness/Amending Article IV, Section 4.05 of the Ninth Amended and Restated Operating Agreement of the Exchange SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-73177 81-FR-73177 34-79115 https://www.sec.gov/rules/sro/nyse/2016/34-79115.pdf SR-NYSE-2016-66 2016-10-18 Notice / Immediate Effectiveness/Amending Article IV, Section 4.05 of the Tenth Amended and Restated Operating Agreement of the Exchange SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-73187 81-FR-73187 34-79116 https://www.sec.gov/rules/sro/finra/2016/34-79116.pdf SR-FINRA-2016-027 2016-10-18 Notice / Order Accelerating Amendment No. 1 Relating to the Reporting of Transactions in U.S. Treasury Securities to TRACE SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-73167 81-FR-73167 34-79117 https://www.sec.gov/litigation/admin/2016/34-79117.pdf 3-17632 2016-10-19 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Leonard, John M. N/A 34-79118 https://www.sec.gov/rules/sro/nasdaq/2016/34-79118.pdf SR-NASDAQ-2016-121 2016-10-19 Notice / Designation of Longer Period for Commission Action/Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-73186 81-FR-73186 34-79119 https://www.sec.gov/rules/sro/nasdaq/2016/34-79119.pdf SR-NASDAQ-2016-138 2016-10-19 Notice / Immediate Effectiveness/to Amend Nasdaq Rule 7046 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-73157 81-FR-73157 34-79120 https://www.sec.gov/litigation/admin/2016/34-79120.pdf AAER-3815 3-17633 2016-10-19 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated Aronson, David A. CPA N/A 34-79121 https://www.sec.gov/litigation/admin/2016/34-79121.pdf 3-17635 2016-10-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Sizer, Craig V. N/A 34-79122 https://www.sec.gov/rules/sro/dtc/2016/34-79122.pdf SR-DTC-2016-010 2016-10-19 Notice / Immediate Effectiveness/to Allow DTC to Automate the Process for Participants to Submit Eligibility Requests for Older Issues SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/81-FR-73450 81-FR-73450 34-79123 https://www.sec.gov/litigation/admin/2016/34-79123.pdf 3-17636 2016-10-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Meza (a/k/a Michael Mesa), Miguel N/A 34-79124 https://www.sec.gov/litigation/admin/2016/34-79124.pdf 3-17637 2016-10-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Yaffar-Pena, Lia N/A 34-79125 https://www.sec.gov/rules/sro/nysemkt/2016/34-79125.pdf SR-NYSEMKT-2016-48 2016-10-19 Notice / Order Accelerating /to Amend Certain Rules Related to Flexible Exchange Options SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-73452 81-FR-73452 34-79126 https://www.sec.gov/litigation/admin/2016/34-79126.pdf IA-4557 3-17638 2016-10-20 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Valentine, John Leo N/A 34-79127 https://www.sec.gov/litigation/admin/2016/34-79127.pdf AAER-3816 3-17639 2016-10-20 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions, Cease-and-Desist Orders and Penalties AP Settled FMC Technologies, Inc. Favret, Jeffrey CPA Croft, Steven CPA N/A 34-79128 https://www.sec.gov/litigation/opinions/2016/34-79128.pdf IA-4558 3-17115 2016-10-20 Order Directing Filings Orders Schooler, Louis V. N/A 34-79129 https://www.sec.gov/alj/aljdec/2016/34-79129.pdf 3-17049 2016-10-20 Notice that Initial Decision Has Become Final Notice RAHFCO Management Group, LLC N/A 34-79130 https://www.sec.gov/rules/sro/nyse/2016/34-79130.pdf SR-NYSE-2016-67 2016-10-21 Notice / Immediate Effectiveness/Amending Rule 497 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-74847 81-FR-74847 34-79131 https://www.sec.gov/rules/sro/nysearca/2016/34-79131.pdf SR-NYSEARCA-2016-97 2016-10-21 Order / Instituting Proceedings to/Relating to the Listing and Trading of Shares of PowerShares Government Collateral Pledge Portfolio Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-74840 81-FR-74840 34-79132 https://www.sec.gov/rules/sro/nysemkt/2016/34-79132.pdf SR-NYSEMKT-2016-94 2016-10-21 Notice / Immediate Effectiveness/Amending Rule 497-Equities SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-74851 81-FR-74851 34-79133 https://www.sec.gov/rules/sro/cboe/2016/34-79133.pdf SR-CBOE-2016-071 2016-10-21 Notice /Relating to Opening and Closing Rotations Under the HOSS System SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-74828 81-FR-74828 34-79134 https://www.sec.gov/litigation/admin/2016/33-10237.pdf 33-10237 3-16228 2016-10-21 Order Making Findings and Imposing a Cease-and-Desist AP Settled Navagate, Inc. Rorke (a/k/a Greg Rorke), Gregory N/A 34-79135 https://www.sec.gov/rules/sro/nysemkt/2016/34-79135.pdf SR-NYSEMKT-2016-45 2016-10-21 Order/Disapproving a Proposed Rule Change to Modify the NYSE Amex Options Fee Schedule with Respect to Fees, Rebates, and Credits for Transactions in the Customer Best Execution Auction SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-74842 81-FR-74842 34-79136 https://www.sec.gov/litigation/admin/2016/34-79136.pdf 3-11498 2016-10-21 Order Approving Use of Fair Fund to Pay Outstanding and Remaining Fees and Expenses Orders Strong Capital Management, Inc. Strong Investor Services, Inc. Strong Investments, Inc. Richard S. Strong Hooker, Thomas A. Jr. D'Amato, Anthony J. N/A 34-79137 https://www.sec.gov/litigation/admin/2016/34-79137.pdf AAER-3817 3-17640 2016-10-21 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Chandler, Julianne M. N/A 34-79138 https://www.sec.gov/litigation/opinions/2016/34-79138.pdf 3-16430 2016-10-21 Order Terminating Automatic Stay Orders Laccetti, Mark E. CPA N/A 34-79139 https://www.sec.gov/litigation/admin/2016/34-79139.pdf 3-14854 2016-10-21 Notice of Proposed Plan of Distribution and Opportunity for Comment Notice GMB Capital Management LLC (c/k/a Clearstream Investments LLC GMB Capital Partners LLC Bitran, Gabriel Bitran, Marco N/A 34-79140 https://www.sec.gov/litigation/admin/2016/34-79140.pdf 3-17542 2016-10-24 Order Making Findings and Revoking Registration AP Settled All Energy Corp. N/A 34-79141 https://www.sec.gov/litigation/suspensions/2016/34-79141.pdf 500-1 2016-10-24 Trading Suspension Trading Suspensions Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A 34-79142 https://www.sec.gov/litigation/admin/2016/34-79142.pdf 3-17641 2016-10-24 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A 34-79143 https://www.sec.gov/litigation/suspensions/2016/34-79143.pdf 500-1 2016-10-24 Trading Suspension Trading Suspensions Cala Corporation China Huaren Organic Products, Inc. Daystar Technologies, Inc. Hangover Joe's Holding Corp. N/A 34-79144 https://www.sec.gov/litigation/admin/2016/34-79144.pdf 3-17642 2016-10-24 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Cala Corporation China Huaren Organic Products, Inc. Daystar Technologies, Inc. Hangover Joe's Holding Corp. N/A 34-79145 https://www.sec.gov/rules/sro/phlx/2016/34-79145.pdf SR-PHLX-2016-109 2016-10-24 to Adopt Phlx Rule 765 (Prohibition Against Trading Ahead of Customer Orders) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-75174 81-FR-75174 34-79146 https://www.sec.gov/rules/sro/miax/2016/34-79146.pdf SR-MIAX-2016-36 2016-10-24 Notice / Designation of Longer Period for Commission Action/Notice / Immediate Effectiveness/to Amend the MIAX Options Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-75171 81-FR-75171 34-79147 https://www.sec.gov/litigation/admin/2016/34-79147.pdf AAER-3818 3-17228 2016-10-24 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled David S. Hall, P.C. d/b/a The Hall Group, CPAs Hall, David S. CPA N/A 34-79148 https://www.sec.gov/rules/sro/batsbyx/2016/34-79148.pdf SR-BATSBYX-2016-27 2016-10-25 Notice / Immediate Effectiveness/ to Amend BYX Rule 11.13, Order Execution and Routing SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-75456 81-FR-75456 34-79149 https://www.sec.gov/rules/sro/batsbzx/2016/34-79149.pdf SR-BATSBZX-2016-65 2016-10-25 Notice / Immediate Effectiveness/to BZX Rule 11.13, Order Execution and Routing SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-75464 81-FR-75464 34-79150 https://www.sec.gov/rules/sro/batsedga/2016/34-79150.pdf SR-BATSEDGA-2016-22 2016-10-25 Notice / Immediate Effectiveness/to EDGA Rule 11.11, Routing to Away Trading Centers SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-75466 81-FR-75466 34-79151 https://www.sec.gov/rules/sro/batsedgx/2016/34-79151.pdf SR-BATSEDGX-2016-54 2016-10-25 Notice / Immediate Effectiveness/to Amend EDGX Rule 11.11, Routing to Away Trade Centers SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-75458 81-FR-75458 34-79152 https://www.sec.gov/rules/sro/nms/2016/34-79152.pdf SR-OPRA-2016-01 2016-10-25 Notice / Immediate Effectiveness/to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend the Professional Subscriber Device-Based Fees and Policies with Respect to Device-Based Fees SRO Filing Options Price Reporting Authority http://www.federalregister.gov/citation/81-FR-75462 81-FR-75462 34-79153 https://www.sec.gov/rules/sro/nms/2016/34-79153.pdf SR-OPRA-2016-02 2016-10-25 Notice / Immediate Effectiveness/to the Plan for Reporting of Consolidated Options Last Sale Reports and Quotation Information to Amend OPRA?s Non-Display Use Fees SRO Filing Options Price Reporting Authority http://www.federalregister.gov/citation/81-FR-75460 81-FR-75460 34-79154 https://www.sec.gov/rules/sro/bx/2016/34-79154.pdf SR-BX-2016-054 2016-10-25 Notice / Immediate Effectiveness/to Add Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-75468 81-FR-75468 34-79155 https://www.sec.gov/rules/sro/nasdaq/2016/34-79155.pdf SR-NASDAQ-2016-143 2016-10-25 Notice / Immediate Effectiveness/Change to Add Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-75471 81-FR-75471 34-79156 https://www.sec.gov/rules/sro/phlx/2016/34-79156.pdf SR-PHLX-2016-106 2016-10-25 Notice / Immediate Effectiveness/to Add Commentary .14 to Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-75473 81-FR-75473 34-79157 https://www.sec.gov/rules/sro/miax/2016/34-79157.pdf SR-MIAX-2016-38 2016-10-26 Notice / Immediate Effectiveness/to Amend Its Fee Schedule to Adopt Fees and Credits for Transactions Involving Complex Orders SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-75885 81-FR-75885 34-79158 https://www.sec.gov/rules/sro/nasdaq/2016/34-79158.pdf SR-NASDAQ-2016-131 2016-10-26 Notice /to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-75879 81-FR-75879 34-79159 https://www.sec.gov/rules/exorders/2016/34-79159.pdf TP 16-14 2016-10-26 Order Granting Limited Exemptions from Exchange Act Rule 10b-17 and Rules 101 and 102 of Regulation M Pursuant to Exchange Act Rule 10b-17(b)(2) and Rules 101(d) and 102(e) of Regulation M Orders Premise Capital Frontier Advantage Diversified Tactical ETF http://www.federalregister.gov/citation/81-FR-75865 81-FR-75865 34-79160 https://www.sec.gov/litigation/admin/2016/34-79160.pdf 3-17644 2016-10-26 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Eppy, Michael N/A 34-79161 https://www.sec.gov/rules/final/2016/33-10238.pdf 33-10238 S7-22-15 2016-10-26 Final Rule/Exemptions to Facilitate Intrastate and Regional Securities Offerings Final Rule 33 Act; 34 Act; Rule 147; 147A; 504; repeal Rule 505 http://www.federalregister.gov/citation/81-FR-83494 81-FR-83494 34-79162 https://www.sec.gov/rules/sro/batsbzx/2016/34-79162.pdf SR-BATSBZX-2016-61 2016-10-26 to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS/Notice/to Amend Exchange Rule 11.23, Auction, SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-75875 81-FR-75875 34-79163 https://www.sec.gov/rules/sro/nasdaq/2016/34-79163.pdf SR-NASDAQ-2016-141 2016-10-26 Notice /to Adopt a New Retail Post-Only Order SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-75862 81-FR-75862 34-79164 https://www.sec.gov/rules/proposed/2016/34-79164.pdf IC-32339 S7-24-16 2016-10-26 Proposed Rule Proposed Rule Universal Proxy http://www.federalregister.gov/citation/81-FR-79122 81-FR-79122 34-79165 https://www.sec.gov/rules/sro/dtc/2016/34-79165.pdf SR-DTC-2016-007 SR-FICC-2016-005 SR-NSCC-2016-003 2016-10-26 Notice / Designation of Longer Period for Commission Action/on Proposed Rule Changes Relating to Clearing Agency Investment Policy SRO Filing Depository Trust Company Fixed Income Clearing Corporation National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-75865 81-FR-75865 34-79166 https://www.sec.gov/litigation/admin/2016/34-79166.pdf 3-16852 2016-10-26 Second Extension Order Orders Focus Media Holding Limited Jiang, Jason N/A 34-79167 https://www.sec.gov/rules/sro/ficc/2016/34-79167.pdf SR-FICC-2016-006 SR-NSCC-2016-004 2016-10-26 Order/to Describe the Backtesting Charge and the Holiday Charge that May Be Imposed on Members SRO Filing Fixed Income Clearing Corporation National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-75883 81-FR-75883 34-79168 https://www.sec.gov/litigation/admin/2016/34-79168.pdf 3-17507 2016-10-26 Order Denying Motion to Lift Temporary Suspension and Directing Hearing Orders Pittera, Joseph L. Esq. N/A 34-79169 https://www.sec.gov/litigation/admin/2016/34-79169.pdf IA-4560 3-17645 2016-10-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Snisky, Gary C. N/A 34-79170 https://www.sec.gov/litigation/admin/2016/34-79170.pdf 3-17646 2016-10-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Cain, Michael Sean N/A 34-79171 https://www.sec.gov/rules/sro/nysearca/2016/34-79171.pdf SR-NYSEARCA-2016-101 2016-10-27 Order / Instituting Proceedings to/Relating to the Listing and Trading of Shares of SolidX Bitcoin Trust under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-76400 81-FR-76400 34-79172 https://www.sec.gov/rules/sro/occ/2016/34-79172.pdf SR-OCC-2016-014 2016-10-27 Notice /Related to Compliance with Section 871(m) of the Internal Revenue Code SRO Filing Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-75867 81-FR-75867 34-79173 https://www.sec.gov/rules/sro/nysearca/2016/34-79173.pdf SR-NYSEARCA-2016-62 2016-10-27 Notice / Designation of Longer Period for Commission Action/to Determine Whether to Approve or Disapprove a Proposed Rule Change Relating to a Change to the Underlying Index for the PowerShares Build America Bond Portfolio SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-76400 81-FR-76400 34-79174 https://www.sec.gov/rules/sro/nsx/2016/34-79174.pdf SR-NSX-2016-14 2016-10-27 Notice /to Amend Exchange Rule 11.26 to Correct Defective Numbering in the Interpretations and Policies of the Rule SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-76393 81-FR-76393 34-79175 https://www.sec.gov/litigation/admin/2016/34-79175.pdf 3-17643 2016-10-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Henning-Carey Proprietary Trading, LLC (n/k/a HC Technologies, LLC) N/A 34-79176 https://www.sec.gov/litigation/admin/2016/34-79176.pdf AAER-3819 3-17104 2016-10-27 Order Making Findings, and Imposing Remedial Sanctions AP Settled Bedwell, Robert P. CPA N/A 34-79177 https://www.sec.gov/litigation/opinions/2016/33-10240.pdf 33-10240 IC-32341 3-16229 3-16227 2016-10-27 Order Scheduling Briefs Orders Osborn, Gregory N/A 34-79178 https://www.sec.gov/litigation/suspensions/2016/34-79178.pdf 500-1 2016-10-28 Trading Suspension Trading Suspensions Q Lotus Holdings, Inc. Spare Backup, Inc. N/A 34-79179 https://www.sec.gov/litigation/admin/2016/34-79179.pdf 3-17648 2016-10-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Q Lotus Holdings, Inc. Spare Backup, Inc. N/A 34-79180 https://www.sec.gov/litigation/suspensions/2016/34-79180.pdf 500-1 2016-10-28 Trading Suspension Trading Suspensions InterAmerican Gaming, Inc. Spot Mobile International Ltd. N/A 34-79181 https://www.sec.gov/litigation/admin/2016/34-79181.pdf 3-17649 2016-10-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated BioNovo, Inc. InterAmerican Gaming, Inc. Spot Mobile International Ltd. N/A 34-79182 https://www.sec.gov/rules/sro/miax/2016/34-79182.pdf SR-MIAX-2016-40 2016-10-28 Notice / Immediate Effectiveness/to Adopt Exchange Rule 322, Disruptive Quoting and Trading Activity Prohibited and Exchange Rule 1018, Expedited Suspension Proceeding SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-76639 81-FR-76639 34-79183 https://www.sec.gov/rules/sro/batsbzx/2016/34-79183.pdf SR-BATSBZX-2016-30 2016-10-28 Amendment No. 1 , to BZX Rule 14.11(e)(4), Commodity-Based Trust Shares, to List and Trade Winklevoss Bitcoin Shares Issued by the Winklevoss Bitcoin Trust/Notice SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-76650 81-FR-76650 34-79184 https://www.sec.gov/rules/sro/batsedgx/2016/34-79184.pdf SR-BATSEDGX-2016-58 2016-10-28 Notice / Immediate Effectiveness/to Amend EDGX Rule 21.12, Clearing Member Give Up SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-76645 81-FR-76645 34-79185 https://www.sec.gov/rules/sro/phlx/2016/34-79185.pdf SR-PHLX-2016-104 2016-10-28 Notice /to Amend Phlx Rule 748, Supervision SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-76637 81-FR-76637 34-79186 https://www.sec.gov/litigation/admin/2016/34-79186.pdf 3-17650 2016-10-28 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Lawler, Joe N/A 34-79187 https://www.sec.gov/rules/sro/nyse/2016/34-79187.pdf SR-NYSE-2016-58 2016-10-28 Order/to Adjust the Timing of Entitlements to Complimentary Products and Services for Special Purpose Acquisition Companies SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-76403 81-FR-76403 34-79188 https://www.sec.gov/reportspubs/special-studies/34-79188.pdf NO FILE NUMBER 2016-10-28 Report on Administrative Proceedings Notice Report on AP Proceedings N/A 34-79189 https://www.sec.gov/rules/sro/c2/2016/34-79189.pdf SR-C2-2016-020 2016-10-28 Notice /to Price Protection Mechanisms and Risk Controls SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-76671 81-FR-76671 34-79190 https://www.sec.gov/rules/sro/finra/2016/34-79190.pdf SR-FINRA-2016-040 2016-10-28 Notice / Immediate Effectiveness/to Establish a Fee for the Academic Corporate Bond TRACE Data Product SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-76683 81-FR-76683 34-79191 https://www.sec.gov/alj/aljdec/2016/34-79191.pdf IA-4561 IC-32343 3-16463 2016-10-28 Notice That Initial Decision Has Become Final Notice Aegis Capital, LLC Circle One Wealth Management, LLC N/A 34-79192 https://www.sec.gov/alj/aljdec/2016/34-79192.pdf 3-16949 2016-10-28 Notice That Initial Decision Has Become Final Notice Shah, Sandip N/A 34-79193 https://www.sec.gov/litigation/admin/2016/34-79193.pdf AAER-3820 3-17651 2016-10-31 Order Instituting Public Administrative Proceedings AP Litigated Beamish, Adrian D. CPA N/A 34-79194 https://www.sec.gov/litigation/admin/2016/33-10241.pdf 33-10241 3-17653 2016-10-31 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Reger, Michael L. N/A 34-79195 https://www.sec.gov/litigation/admin/2016/34-79195.pdf IC-32344 3-17652 2016-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Shermeta, Nicholas H. Napa Properties, LLC N/A 34-79196 https://www.sec.gov/litigation/admin/2016/33-10242.pdf 33-10242 AAER-3821 3-17654 2016-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PKF O’Connor Davies, LLP Consolo, Domenick F. CPA N/A 34-79197 https://www.sec.gov/rules/sro/icc/2016/34-79197.pdf SR-ICC-2016-012 2016-10-31 Order/to Provide for the Clearance of Additional Credit Default Swap Contracts SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-76987 81-FR-76987 34-79198 https://www.sec.gov/rules/sro/miax/2016/34-79198.pdf SR-MIAX-2016-37 2016-10-31 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-76988 81-FR-76988 34-79199 https://www.sec.gov/litigation/admin/2016/34-79199.pdf IA-4562 3-17655 2016-10-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lawrence, Wade James N/A 34-79200 https://www.sec.gov/rules/exorders/2016/34-79200.pdf NO FILE NUMBER 2016-10-31 Order/Limited Exemption from Regulation M Orders NASDAQ Stock Market http://www.federalregister.gov/citation/81-FR-76975 81-FR-76975 34-79201 https://www.sec.gov/rules/sro/nysearca/2016/34-79201.pdf SR-NYSEARCA-2016-120 2016-10-31 Notice /Relating to the Listing and Trading of Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund under Commentary .02 to NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-76977 81-FR-76977 34-79202 https://www.sec.gov/litigation/admin/2016/34-79202.pdf 3-17656 2016-10-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Pensley, Joel Esq. N/A 34-79203 https://www.sec.gov/litigation/admin/2016/34-79203.pdf 3-17336 2016-11-01 Notice That Initial Decision Has Become Final Notice Breitling Energy Corporation N/A 34-79204 https://www.sec.gov/litigation/admin/2016/34-79204.pdf 3-17353 2016-11-01 Notice That Initial Decision Has Become Final Notice Scanner Technologies Corp. Seville ventures Corp. Digital Development Group Corp. (The) N/A 34-79205 https://www.sec.gov/litigation/admin/2016/34-79205.pdf 3-17376 2016-11-01 Notice That Initial Decision Has Become Final Notice Eastland Financial Corp. Granite Cliffs, Incorpoorated Greater Asia Realty Holdings, Ltd. N/A 34-79206 https://www.sec.gov/litigation/admin/2016/34-79206.pdf 3-17346 2016-11-01 Notice That Initial Decision Has Become Final Notice Franklin Bank Corporation N/A 34-79207 https://www.sec.gov/litigation/admin/2016/34-79207.pdf IC-32345 3-17657 2016-11-01 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Smith, Gregory J. N/A 34-79208 https://www.sec.gov/litigation/admin/2016/34-79208.pdf IC-32346 3-17658 2016-11-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Morley, Ronald D. The New Wealth, LLC N/A 34-79209 https://www.sec.gov/rules/sro/nysearca/2016/34-79209.pdf SR-NYSEARCA-2016-138 2016-11-01 Notice / Immediate Effectiveness/to Amend the NYSE Arca Options Fee Schedule Effective November 1, 2016 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-78217 81-FR-78217 34-79210 https://www.sec.gov/rules/sro/nyse/2016/34-79210.pdf SR-NYSE-2016-68 2016-11-01 Notice / Immediate Effectiveness/Amending Its Price List SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-78213 81-FR-78213 34-79211 https://www.sec.gov/rules/sro/nysearca/2016/34-79211.pdf SR-NYSEARCA-2016-100 2016-11-01 Order / Instituting Proceedings to/Determine Whether to Approve or Disapprove a Proposed Rule Change, as Modified by Amendment No. 1, to List and Trade Shares of the Direxion Daily Municipal Bond Taxable Bear 1X Fund under NYSE Arca Equities Rule 5.2(j)(3) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-78231 81-FR-78231 34-79212 https://www.sec.gov/rules/sro/occ/2016/34-79212.pdf SR-OCC-2016-013 2016-11-01 Notice /Margin Coverage During Times of Increase Volatility SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-78224 81-FR-78224 34-79213 https://www.sec.gov/rules/sro/nysemkt/2016/34-79213.pdf SR-NYSEMKT-2016-98 2016-11-01 Notice / Immediate Effectiveness/Amending Commentary .05 to Rule 980NY SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-78219 81-FR-78219 34-79214 https://www.sec.gov/rules/sro/nysearca/2016/34-79214.pdf SR-NYSEARCA-2016-139 2016-11-01 Notice / Immediate Effectiveness/Amending Commentary .05 to Rule 6.91 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-78233 81-FR-78233 34-79215 https://www.sec.gov/rules/sro/finra/2016/34-79215.pdf SR-FINRA-2016-039 2016-11-01 Notice /to Amend Rule 4512 (Customer Account Information) and Adopt FINRA Rule 2165 (Financial Exploitation of Specified Adults) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-78238 81-FR-78238 34-79216 https://www.sec.gov/rules/sro/chx/2016/34-79216.pdf SR-CHX-2016-16 2016-11-01 Notice / Designation of Longer Period for Commission Action to/Adopt the CHX Liquidity Taking Access Delay SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-78228 81-FR-78228 34-79217 https://www.sec.gov/litigation/opinions/2016/33-10244.pdf 33-10244 IA-4563 IC-32352 3-15617 2016-11-01 Order Granting Partial Stay Orders Grossman, Larry C. N/A 34-79218 https://www.sec.gov/litigation/suspensions/2016/34-79218.pdf 500-1 2016-11-02 Trading Suspension Trading Suspensions Bill the Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A 34-79219 https://www.sec.gov/litigation/admin/2016/34-79219.pdf 3-17659 2016-11-02 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Bill the Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A 34-79220 https://www.sec.gov/rules/sro/icc/2016/34-79220.pdf SR-ICC-2016-010 2016-11-02 Order/to Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework SRO Filing to Revise the ICC Risk Management Model Description Document and the ICC Risk Management Framework http://www.federalregister.gov/citation/81-FR-78677 81-FR-78677 34-79221 https://www.sec.gov/rules/sro/phlx/2016/34-79221.pdf SR-PHLX-2016-107 2016-11-02 Notice / Immediate Effectiveness/to Amend Exchange Rule 1079 Concerning the Process of Initiating a FLEX Transaction and Determining the Best Bid or Offer SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-78675 81-FR-78675 34-79222 https://www.sec.gov/rules/sro/batsbzx/2016/34-79222.pdf SR-BATSBZX-2016-71 2016-11-02 Notice / Immediate Effectiveness/to Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-78673 81-FR-78673 34-79223 https://www.sec.gov/litigation/admin/2016/34-79223.pdf 3-17543 2016-11-03 Order Making Findings and Revoking Registration AP Settled Jilco Industries, Inc. N/A 34-79224 https://www.sec.gov/rules/sro/dtc-an/2016/34-79224.pdf SR-DTC-2016-802 2016-11-03 Notice / Advance Notice/Extension of Review Period to Processing of Transactions in Money Market Instruments SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/81-FR-78884 81-FR-78884 34-79225 https://www.sec.gov/rules/sro/msrb/2016/34-79225.pdf SR-MSRB-2016-13 2016-11-03 Notice / Immediate Effectiveness/to Amend the Requirements in MSRB Rule A-4, on Meetings of the Board, Regarding the Formation of a Quorum SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-78872 81-FR-78872 34-79226 https://www.sec.gov/litigation/admin/2016/34-79226.pdf 3-17660 2016-11-03 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Beason, Patrick Reagan N/A 34-79227 https://www.sec.gov/litigation/admin/2016/34-79227.pdf 3-16846 2016-11-03 Order Appointing Fund Plan Administrator and Setting Administrator Bond Amount Orders UBS Financial Services Incorporated of Puerto Rico N/A 34-79228 https://www.sec.gov/rules/sro/nasdaq/2016/34-79228.pdf SR-NASDAQ-2016-144 2016-11-03 Notice / Immediate Effectiveness/to Institute a New Fee for the Distribution of Data SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-78890 81-FR-78890 34-79229 https://www.sec.gov/rules/sro/batsbzx/2016/34-79229.pdf SR-BATSBZX-2016-67 2016-11-03 Notice / Immediate Effectiveness/to Amend BZX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-78875 81-FR-78875 34-79230 https://www.sec.gov/litigation/admin/2016/34-79230.pdf 3-17366 2016-11-03 Order Making Findings and Revoking Registration AP Settled John D. Oil and Gas Company Capitol City Bancshares, Inc. Chang-On International, Inc. Computer Graphics International, Inc. Legal Life Forms, Inc. Powder River Coal Corp N/A 34-79231 https://www.sec.gov/rules/sro/nysemkt/2016/34-79231.pdf SR-NYSEMKT-2016-90 2016-11-03 Notice / Immediate Effectiveness/Amending Its Rules Concerning Payment of Compensation and Rebates, and Research Analyst Attestation Requirements in Order to Harmonize with Certain FINRA Rules and Make Other Conforming Changes SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-78880 81-FR-78880 34-79232 https://www.sec.gov/rules/sro/nysemkt/2016/34-79232.pdf SR-NYSEMKT-2016-96 2016-11-03 Notice / Immediate Effectiveness/to Add to the Rules of the Exchange the Eleventh Amended and Restated Operating Agreement of the New York Stock Exchange LLC SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-78873 81-FR-78873 34-79233 https://www.sec.gov/rules/sro/batsbyx/2016/34-79233.pdf SR-BATSBYX-2016-28 2016-11-03 Notice / Immediate Effectiveness/to Amend BYX Rule, 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification SRO Filing Bats BYX Exchange, Inc http://www.federalregister.gov/citation/81-FR-78869 81-FR-78869 34-79234 https://www.sec.gov/rules/sro/batsedga/2016/34-79234.pdf SR-BATSEDGA-2016-23 2016-11-03 Notice / Immediate Effectiveness/to Amend EDGA Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-78867 81-FR-78867 34-79235 https://www.sec.gov/litigation/admin/2016/34-79235.pdf 3-15654 2016-11-03 Order Directing Disbursement of Fair Fund Orders G-Trade Services LLC Convergex Global Markets Limited Convergex Execution Solutions LLC N/A 34-79236 https://www.sec.gov/rules/sro/batsedgx/2016/34-79236.pdf SR-BATSEDGX-2016-59 2016-11-03 Notice / Immediate Effectiveness/to Amend EDGX Rule 2.5, Restrictions, Regarding Members and Associated Persons of Members Who Are or Become Subject to a Statutory Disqualification SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-78878 81-FR-78878 34-79237 https://www.sec.gov/rules/interim/2016/34-79237.pdf NO FILE NUMBER 2016-11-03 Final Rule/Interim Final Temporary Rule 608T Regarding the Consolidated Audit Trail Final Rule 34 Act; Rule 608T http://www.federalregister.gov/citation/81-FR-94251 81-FR-94251 34-79237A https://www.sec.gov/rules/interim/2016/34-79237a.pdf NO FILE NUMBER 2016-12-19 Notice regarding expired temporary rule./Final Rule/Interim Final Temporary Rule 608T Regarding the Consolidated Audit Trail Final Rule 34 Act; Rule 608T http://www.federalregister.gov/citation/81-FR-94251 81-FR-94251 34-79238 https://www.sec.gov/litigation/suspensions/2016/34-79238.pdf 500-1 2016-11-04 Trading Suspension Trading Suspensions Instride, Inc. N/A 34-79239 https://www.sec.gov/rules/sro/msrb/2016/34-79239.pdf SR-MSRB-2016-14 2016-11-04 Notice / Immediate Effectiveness/to Establish Fees Related to the MSRB Academic Historical Transaction Data Product SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-79069 81-FR-79069 34-79240 https://www.sec.gov/rules/sro/nasdaq/2016/34-79240.pdf SR-NASDAQ-2016-146 2016-11-04 Notice / Immediate Effectiveness/to Amend Rule 9400 to Include a Cross-Reference SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-79068 81-FR-79068 34-79241 https://www.sec.gov/rules/sro/bx/2016/34-79241.pdf SR-BX-2016-056 2016-11-04 Notice / Immediate Effectiveness/to Amend Rule 9400 to Include a Cross-Reference SRO Filing NASDAQ BX, Inc http://www.federalregister.gov/citation/81-FR-79534 81-FR-79534 34-79242 https://www.sec.gov/rules/sro/nysemkt/2016/34-79242.pdf SR-NYSEMKT-2016-97 2016-11-04 Notice / Immediate Effectiveness/Adopting New Rules to Reflect the Implementation of Pillar, the Exchange?s New Trading Technology SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-79081 81-FR-79081 34-79243 https://www.sec.gov/litigation/admin/2016/34-79243.pdf 3-17662 2016-11-04 Order of Forthwith Suspension Orders Easter, Kent W. Esq. N/A 34-79244 https://www.sec.gov/rules/sro/cboe/2016/34-79244.pdf SR-CBOE-2016-053 2016-11-04 Notice / Amendment No./Notice / Order Accelerating /Relating to Price Protection Mechanisms and Risk Controls SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-79063 81-FR-79063 34-79245 https://www.sec.gov/rules/sro/nscc/2016/34-79245.pdf SR-NSCC-2016-005 2016-11-04 Notice /to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of ?Off-the-Market Transactions,? and Make Other Changes SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-79071 81-FR-79071 34-79246 https://www.sec.gov/rules/sro/miax/2016/34-79246.pdf SR-MIAX-2016-41 2016-11-04 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-79079 81-FR-79079 34-79247 https://www.sec.gov/litigation/admin/2016/34-79247.pdf 3-14909 2016-11-04 Order Directing Disbursement for Second Distribution, Payment of Fund Administrator Fees, and Approval of Future Fees and Expenses Orders OppenheimerFunds, Inc. OppenheimerFunds Distributor, Inc. N/A 34-79248 https://www.sec.gov/litigation/admin/2016/34-79248.pdf 3-16017 2016-11-04 Order Approving a Plan of Distribution Orders Linkbrokers Derivatives LLC N/A 34-79249 https://www.sec.gov/rules/sro/phlx/2016/34-79249.pdf SR-PHLX-2016-86 2016-11-07 Order/to Delete or Amend Rule Language Relating to Specialists and Registered Options Traders SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-79546 81-FR-79546 34-79250 https://www.sec.gov/litigation/opinions/2016/34-79250.pdf 3-17668 2016-11-07 Order Requesting Additional Written Submissions Orders Helpeo, Inc. N/A 34-79251 https://www.sec.gov/rules/sro/nasdaq/2016/34-79251.pdf SR-NASDAQ-2016-149 2016-11-07 Notice / Immediate Effectiveness/to Amend the Exchange's Market Access and Routing Subsidy Program SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-79536 81-FR-79536 34-79252 https://www.sec.gov/rules/sro/dtc/2016/34-79252.pdf SR-DTC-2016-011 2016-11-07 Notice / Immediate Effectiveness/to Allow DTC to Automate the Process for Participants to Submit Eligibility Requests for the DTC Custody Service SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-79543 81-FR-79543 34-79253 https://www.sec.gov/rules/sro/isegemini/2016/34-79253.pdf SR-ISEGEMINI-2016-13 2016-11-07 Notice / Immediate Effectiveness/to Make a Number of Non-Controversial and Technical Changes SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-79540 81-FR-79540 34-79254 https://www.sec.gov/litigation/admin/2016/34-79254.pdf IA-4565 3-17669 2016-11-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Moriarty, Philip E. II N/A 34-79255 https://www.sec.gov/rules/sro/batsbzx/2016/34-79255.pdf SR-BATSBZX-2016-69 2016-11-07 Notice / Immediate Effectiveness/Related to Fees for Use of the Exchange?s Equity Options Platform SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-79550 81-FR-79550 34-79256 https://www.sec.gov/litigation/admin/2016/34-79256.pdf AAER-3822 3-17670 2016-11-07 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled PowerSecure International, Inc. N/A 34-79257 https://www.sec.gov/rules/other/2016/34-79257.pdf 265-29 2016-11-08 Notice of Meeting Notice Equity Market Structure Advisory Committee http://www.federalregister.gov/citation/81-FR-79546 81-FR-79546 34-79258 https://www.sec.gov/rules/sro/box/2016/34-79258.pdf SR-BOX-2016-50 2016-11-08 Notice /to Amend Rule 5050 Series of Options Contracts Open for Trading to Provide for the Listing and Trading on the Exchange of RealDayTM Options Pursuant to a Pilot Program SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-80125 81-FR-80125 34-79259 https://www.sec.gov/rules/sro/nasdaq/2016/34-79259.pdf SR-NASDAQ-2016-148 2016-11-08 Notice / Immediate Effectiveness/to Adopt Cease and Desist Authority Rules SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-80140 81-FR-80140 34-79260 https://www.sec.gov/rules/sro/bx/2016/34-79260.pdf SR-BX-2016-055 2016-11-08 Notice / Immediate Effectiveness/to Adopt Cease and Desist Authority Rules SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-80109 81-FR-80109 34-79261 https://www.sec.gov/rules/sro/phlx/2016/34-79261.pdf SR-PHLX-2016-110 2016-11-08 Notice / Immediate Effectiveness/to Amend Commentary .14 to Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-80134 81-FR-80134 34-79262 https://www.sec.gov/rules/sro/bx/2016/34-79262.pdf SR-BX-2016-153 2016-11-08 Notice / Immediate Effectiveness/to Amend Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-80123 81-FR-80123 34-79263 https://www.sec.gov/rules/sro/nasdaq/2016/34-79263.pdf SR-NASDAQ-2016-151 2016-11-08 Notice / Immediate Effectiveness/to Amend Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-80154 81-FR-80154 34-79264 https://www.sec.gov/rules/sro/batsedgx/2016/34-79264.pdf SR-BATSEDGX-2016-60 2016-11-08 Notice /in Connection with the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc. SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/81-FR-80114 81-FR-80114 34-79265 https://www.sec.gov/rules/sro/batsedga/2016/34-79265.pdf SR-BATSEDGA-2016-24 2016-11-08 Notice /in Connection with the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc. SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-80146 81-FR-80146 34-79266 https://www.sec.gov/rules/sro/batsbzx/2016/34-79266.pdf SR-BATSBZX-2016-68 2016-11-08 Notice /in Connection with the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-80101 81-FR-80101 34-79267 https://www.sec.gov/rules/sro/c2/2016/34-79267.pdf SR-C2-2016-022 2016-11-08 Notice /in Connection with a Proposed Corporate Transaction Involving CBOE Holdings, Inc. and Bats Global Markets, Inc. SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-80132 81-FR-80132 34-79268 https://www.sec.gov/rules/sro/cboe/2016/34-79268.pdf SR-CBOE-2016-076 2016-11-08 Notice /in Connection with a Proposed Corporate Transaction Involving CBOE Holdings, Inc. and Bats Global Markets, Inc. SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-80157 81-FR-80157 34-79269 https://www.sec.gov/rules/sro/batsbyx/2016/34-79269.pdf SR-BATSBYX-2016-29 2016-11-08 Notice /in Connection with the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc. SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-80093 81-FR-80093 34-79270 https://www.sec.gov/rules/sro/nasdaq/2016/34-79270.pdf SR-NASDAQ-2016-153 2016-11-08 Notice / Immediate Effectiveness/to Amend Rule 7014 and the Nasdaq Growth Program SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-80137 81-FR-80137 34-79271 https://www.sec.gov/litigation/admin/2016/33-10249.pdf 33-10249 3-17671 2016-11-08 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Johnson, Glenn Sinish, William N/A 34-79272 https://www.sec.gov/rules/sro/miax/2016/34-79272.pdf SR-MIAX-2016-39 2016-11-09 Notice / Immediate Effectiveness/to Amend Exchange Rule 519A, Risk Protection Monitor SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-80691 81-FR-80691 34-79273 https://www.sec.gov/rules/sro/batsedgx/2016/34-79273.pdf SR-BATSEDGX-2016-62 2016-11-09 Notice / Immediate Effectiveness/to Fees for Use of the Exchange?s Equity Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-80705 81-FR-80705 34-79274 https://www.sec.gov/rules/sro/phlx/2016/34-79274.pdf SR-PHLX-2016-79 2016-11-09 Notice / Order Accelerating /to Amend PHLX Rule 1017, Openings in Options SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-80694 81-FR-80694 34-79275 https://www.sec.gov/rules/sro/nysearca/2016/34-79275.pdf SR-NYSEARCA-2016-146 2016-11-09 Notice / Immediate Effectiveness/to Temporarily Widen Price Collar Thresholds for the Core Open Auction and Trading Halt Auctions SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-80703 81-FR-80703 34-79276 https://www.sec.gov/rules/sro/cboe/2016/34-79276.pdf SR-CBOE-2016-075 2016-11-09 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-80689 81-FR-80689 34-79277 https://www.sec.gov/rules/sro/nasdaq/2016/34-79277.pdf SR-NASDAQ-2016-150 2016-11-09 Notice / Immediate Effectiveness/to Amend the NBBO Program SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-80701 81-FR-80701 34-79278 https://www.sec.gov/litigation/admin/2016/34-79278.pdf 3-17642 2016-11-10 Order Making Findings and Revoking Registration AP Settled Hangover Joe's Holding Corp. N/A 34-79279 https://www.sec.gov/rules/sro/cboe/2016/34-79279.pdf SR-CBOE-2016-074 2016-11-10 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-81200 81-FR-81200 34-79280 https://www.sec.gov/litigation/admin/2016/33-10250.pdf 33-10250 IA-4567 IC-32356 3-17672 2016-11-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Todd, Derik J. Madison Capital Energy Income Fund II GP LLC Big Horn Minerals LLC Madison Capital Investments LLC Madison Royalty Management LLC N/A 34-79281 https://www.sec.gov/rules/sro/bx/2016/34-79281.pdf SR-BX-2016-059 2016-11-10 Notice / Immediate Effectiveness/to Amend Rule 4702 and Rule 4703 to Add a ?Trade Now? Instruction to Certain Order Types SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-81203 81-FR-81203 34-79282 https://www.sec.gov/rules/sro/nasdaq/2016/34-79282.pdf SR-NASDAQ-2016-156 2016-11-10 Notice / Immediate Effectiveness/to Amend Rule 4702 and Rule 4703 to Add a ?Trade Now? Instruction to Certain Order Types SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-81219 81-FR-81219 34-79283 https://www.sec.gov/rules/sro/nysemkt/2016/34-79283.pdf SR-NYSEMKT-2016-99 2016-11-10 Notice /Amending Rule 104 ? Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-81210 81-FR-81210 34-79284 https://www.sec.gov/rules/sro/nyse/2016/34-79284.pdf SR-NYSE-2016-71 2016-11-10 Notice /Amending Rule 104 to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-81222 81-FR-81222 34-79285 https://www.sec.gov/rules/sro/finra/2016/34-79285.pdf SR-FINRA-2016-030 2016-11-10 Order/to Amend Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes Relating to Motions to Dismiss in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-81213 81-FR-81213 34-79286 https://www.sec.gov/rules/sro/nyse/2016/34-79286.pdf SR-NYSE-2016-73 2016-11-10 Notice / Immediate Effectiveness/Adopting a Decommission Extension Fee for Receipt of the NYSE Order Imbalances Market Data Product SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-81186 81-FR-81186 34-79287 https://www.sec.gov/rules/sro/nysemkt/2016/34-79287.pdf SR-NYSEMKT-2016-100 2016-11-10 Notice / Immediate Effectiveness/Adopting a Decommission Extension Fee for Receipt of the NYSE MKT Order Imbalances Market Data Product SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-81216 81-FR-81216 34-79288 https://www.sec.gov/rules/sro/nasdaq/2016/34-79288.pdf SR-NASDAQ-2016-152 2016-11-10 Notice / Immediate Effectiveness/to Amend the Transaction Fees at Chapter XV, Section 2 Entitled ?NASDAQ Options Market ? Fees and Rebates? SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-81206 81-FR-81206 34-79289 https://www.sec.gov/rules/sro/finra/2016/34-79289.pdf SR-FINRA-2016-041 2016-11-10 Notice / Immediate Effectiveness/Relating to the Implementation Date for Alternative Trading Systems to Report Sequence Numbers Under Rule 4554 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-81202 81-FR-81202 34-79290 https://www.sec.gov/rules/sro/bx/2016/34-79290.pdf SR-BX-2016-046 SR-NASDAQ-2016-111 2016-11-10 Order/Relating to Post-Only Orders and Orders with Midpoint Pegging SRO Filing NASDAQ BX, Inc. Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-81184 81-FR-81184 34-79291 https://www.sec.gov/rules/sro/nysearca/2016/34-79291.pdf SR-NYSEARCA-2016-144 2016-11-10 Notice / Immediate Effectiveness/to Amend the NYSE Arca Options Fee Schedule Effective November 3, 2016 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-81182 81-FR-81182 34-79292 https://www.sec.gov/litigation/admin/2016/33-10251.pdf 33-10251 3-17673 2016-11-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled EZTD Inc. (formerly Win Global Markets, Inc.) N/A 34-79293 https://www.sec.gov/rules/sro/nysearca/2016/34-79293.pdf SR-NYSEARCA-2016-107 2016-11-10 Notice / Order Accelerating /Relating to Listing and Trading of Shares of Cumberland Municipal Bond ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-81189 81-FR-81189 34-79294 https://www.sec.gov/rules/other/2016/34-79294.pdf 2017-1 2016-11-14 Whistleblower Orders Redacted N/A 34-79295 https://www.sec.gov/rules/sro/msrb/2016/34-79295.pdf SR-MSRB-2016-15 2016-11-14 Notice /to Extend the MSRB?s Customer Complaint and Related Recordkeeping Rules to Municipal Advisors and to Modernize Those Rules SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-81837 81-FR-81837 34-79296 https://www.sec.gov/rules/sro/finra/2016/34-79296.pdf SR-FINRA-2016-029 2016-11-14 Order/Amending the Code of Arbitration Procedure for Customer Disputes and the Code of Arbitration Procedure for Industry Disputes to Require All Parties Other Than Pro Se Customers to File and Serve Pleadings and Documents Through the FINRA Office of Dispute Resolution?s Party Portal and to Permit Mediation Parties to Use the Portal SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-81844 81-FR-81844 34-79297 https://www.sec.gov/rules/sro/dtc/2016/34-79297.pdf SR-DTC-2016-012 2016-11-14 Notice / Immediate Effectiveness/to Modify the DTC Settlement Service Guide With Respect to Settlement Instructions Provided to DTC by Matching Utilities SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-81830 81-FR-81830 34-79298 https://www.sec.gov/litigation/admin/2016/33-10252.pdf 33-10252 3-17674 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Kon, Alexander N/A 34-79299 https://www.sec.gov/litigation/admin/2016/33-10253.pdf 33-10253 3-17675 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Cummings, Casey N/A 34-79300 https://www.sec.gov/litigation/admin/2016/33-10254.pdf 33-10254 2016-11-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and Desist Order, and a Notice of Hearing AP Settled Dias, Raimundo OTC Global Partners, LLC N/A 34-79301 https://www.sec.gov/rules/sro/miax/2016/34-79301.pdf SR-MIAX-2016-42 2016-11-14 Notice / Immediate Effectiveness/to Amend Its Fee Schedule SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-81854 81-FR-81854 34-79302 https://www.sec.gov/litigation/admin/2016/34-79302.pdf 3-17560 2016-11-14 Extension Order Orders Springsteen-Abbott, Kimberly N/A 34-79303 https://www.sec.gov/rules/other/2016/33-10255.pdf 33-10255 2016-11-14 Order Approving Public Company Accounting Oversight Board Supplemental Budget for Calendar Year 2016 Orders PCAOB 2016 Budget and Accounting Support Fee; Supplemental Budget Request for Inspection Program Area http://www.federalregister.gov/citation/81-FR-81820 81-FR-81820 34-79304 https://www.sec.gov/rules/sro/dtc/2016/34-79304.pdf SR-DTC-2016-013 2016-11-14 Notice / Immediate Effectiveness/to Modify the DTC Settlement Service Guide and Distributions Guide Relating to the Anticipated U.S. Market Transition to a Shortened Settlement Cycle SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-81825 81-FR-81825 34-79305 https://www.sec.gov/rules/sro/batsedga/2016/34-79305.pdf SR-BATSEDGA-2016-26 2016-11-14 Notice / Immediate Effectiveness/Related to Fees for Use of Bats EDGA Exchange, Inc. SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-81832 81-FR-81832 34-79306 https://www.sec.gov/rules/sro/batsedgx/2016/34-79306.pdf SR-BATSEDGX-2016-63 2016-11-14 Notice / Immediate Effectiveness/to Fees for Use of Bats EDGX Exchange, Inc. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-81828 81-FR-81828 34-79307 https://www.sec.gov/rules/sro/batsbyx/2016/34-79307.pdf SR-BATSBYX-2016-34 2016-11-14 Notice / Immediate Effectiveness/Related to Fees for Use of Bats BYX Exchange, Inc. SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-81842 81-FR-81842 34-79308 https://www.sec.gov/rules/sro/box/2016/34-79308.pdf SR-BOX-2016-52 2016-11-14 Notice / Immediate Effectiveness/to Amend the Fee Schedule on the BOX Market LLC (?BOX?) Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-81834 81-FR-81834 34-79309 https://www.sec.gov/rules/sro/batsbzx/2016/34-79309.pdf SR-BATSBZX-2016-76 2016-11-14 Notice / Immediate Effectiveness/Related to Fees for Use of Bats BZX Exchange, Inc. SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-81835 81-FR-81835 34-79310 https://www.sec.gov/rules/sro/nysearca/2016/34-79310.pdf SR-NYSEARCA-2016-142 2016-11-14 Notice / Immediate Effectiveness/Amending the Fees for NYSE Arca BBO and NYSE Arca Trades to Lower the Enterprise Fee SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-81820 81-FR-81820 34-79311 https://www.sec.gov/rules/sro/box/2016/34-79311.pdf SR-BOX-2016-45 2016-11-15 Order/to Amend the Treatment of Quotes to Provide that All Quotes on BOX are Liquidity Adding Only SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-83322 81-FR-83322 34-79312 https://www.sec.gov/rules/sro/batsbzx/2016/34-79312.pdf SR-BATSBZX-2016-75 2016-11-15 Notice / Immediate Effectiveness/to Extend the Pilot Period for the Supplemental Competitive Liquidity Provider Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-83320 81-FR-83320 34-79313 https://www.sec.gov/rules/sro/nyse/2016/34-79313.pdf SR-NYSE-2016-74 2016-11-15 Notice / Immediate Effectiveness/Amending the Fees for NYSE BBO and NYSE Trades to Lower the Enterprise Fee SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-83297 81-FR-83297 34-79314 https://www.sec.gov/rules/sro/nysemkt/2016/34-79314.pdf SR-NYSEMKT-2016-101 2016-11-15 Notice / Immediate Effectiveness/Amending the Fees for NYSE MKT BBO and NYSE MKT Trades to Lower the Enterprise Fee SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-83308 81-FR-83308 34-79315 https://www.sec.gov/rules/sro/c2/2016/34-79315.pdf SR-C2-2016-021 2016-11-15 Notice /Relating to Opening of Series for Trading on the Exchange SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-83313 81-FR-83313 34-79316 https://www.sec.gov/rules/sro/nyse/2016/34-79316.pdf SR-NYSE-2016-45 2016-11-15 Order / Instituting Proceedings to/Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-83303 81-FR-83303 34-79317 https://www.sec.gov/rules/sro/nasdaq/2016/34-79317.pdf SR-NASDAQ-2016-121 2016-11-15 Order / Instituting Proceedings to/Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-83301 81-FR-83301 34-79318 https://www.sec.gov/rules/sro/nms/2016/34-79318.pdf 4-698 2016-11-15 Order Approving the National Market System Plan Governing the Consolidated Audit Trail Orders BATS Exchange, Inc. n/k/a Bats BZX Exchange, Inc. BATS-Y Exchange, Inc. n/k/a Bats BYX Exchange, Inc. BOX Options Exchange LLC C2 Options Exchange, Incorporated Chicago Board Options Exchange, Incorporated EDGA Exchange, Inc. n/k/a Bats EDGA Exchange, Inc. EDGX Exchange, Inc. n/k/a Bats EDGX Exchange, Inc. Financial Industry Regulatory Authority, Inc. International Securities Exchange, LLC ISE Gemini, LLC Miami International Securities Exchange LLC NASDAQ OMX BX, Inc. n/k/a NASDAQ BX, Inc. NASDAQ OMX PHLX LLC n/k/a NASDAQ PHLX LLC The NASDAQ Stock Market LLC National Stock Exchange, Inc. New York Stock Exchange LLC NYSE MKT LLC NYSE Arca, Inc. Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84696 81-FR-84696 34-79319 https://www.sec.gov/litigation/admin/2016/34-79319.pdf 3-17679 2016-11-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Questrust Ventures, Inc. Zaring Homes, Inc. N/A 34-79320 https://www.sec.gov/litigation/suspensions/2016/34-79320.pdf 500-1 2016-11-16 Trading Suspension Trading Suspensions Kogeto, Inc. Lustros, Inc. Med-X Systems, Inc. N/A 34-79321 https://www.sec.gov/litigation/admin/2016/34-79321.pdf 3-17680 2016-11-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Kogeto, Inc. Lustros, Inc. Med-X Systems, Inc. N/A 34-79322 https://www.sec.gov/rules/sro/phlx/2016/34-79322.pdf SR-PHLX-2016-97 2016-11-16 Order/to Delete Outdated or Unnecessary Rule Language in Phlx Rule 1020 SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-83886 81-FR-83886 34-79323 https://www.sec.gov/rules/sro/isemercury/2016/34-79323.pdf SR-ISEMERCURY-2016-20 2016-11-16 Notice / Immediate Effectiveness/to Make Non-Controversial and Technical Changes to Exchange Rules SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-83884 81-FR-83884 34-79324 https://www.sec.gov/rules/sro/icc/2016/34-79324.pdf SR-ICC-2016-013 2016-11-16 Notice /to Amend the ICE Clear Credit Clearing Rules SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-83906 81-FR-83906 34-79325 https://www.sec.gov/litigation/admin/2016/34-79325.pdf IA-4568 3-17681 2016-11-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Anderson, Bryan W. N/A 34-79326 https://www.sec.gov/rules/sro/phlx/2016/34-79326.pdf SR-PHLX-2016-113 2016-11-16 Notice / Immediate Effectiveness/to Amend the Limit Order Protection SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-83917 81-FR-83917 34-79327 https://www.sec.gov/rules/sro/nysearca/2016/34-79327.pdf SR-NYSEARCA-2016-143 2016-11-16 Notice / Amendment No./1, Introducing NYSE OptX SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-83890 81-FR-83890 34-79328 https://www.sec.gov/rules/sro/nysemkt/2016/34-79328.pdf SR-NYSEMKT-2016-102 2016-11-16 Notice / Amendment No./1, Introducing NYSE OptX SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-83888 81-FR-83888 34-79329 https://www.sec.gov/rules/sro/bx/2016/34-79329.pdf SR-BX-2016-058 2016-11-16 Notice / Immediate Effectiveness/to Amend the Limit Order Protection SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-83902 81-FR-83902 34-79330 https://www.sec.gov/rules/sro/nasdaq/2016/34-79330.pdf SR-NASDAQ-2016-155 2016-11-16 Notice / Immediate Effectiveness/to Amend the Limit Order Protection for members accessing the Nasdaq Market Center SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-83892 81-FR-83892 34-79331 https://www.sec.gov/rules/sro/miax/2016/34-79331.pdf SR-MIAX-2016-43 2016-11-16 Notice / Immediate Effectiveness/to Amend Exchange Rule 605 Market Maker Orders SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-83896 81-FR-83896 34-79332 https://www.sec.gov/litigation/admin/2016/34-79332.pdf 3-17600 2016-11-17 Order Making Findings and Revoking Registration AP Settled Altair Nanotechnologies, Inc. N/A 34-79333 https://www.sec.gov/litigation/suspensions/2016/34-79333.pdf 500-1 2016-11-17 Trading Suspension Trading Suspensions Harvey Westbury Corp. InterCore, Inc. Kalex Corp. N/A 34-79334 https://www.sec.gov/litigation/admin/2016/34-79334.pdf 2016-11-17 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Harvey Westbury Corp. InterCore, Inc. Kalex Corp. N/A 34-79335 https://www.sec.gov/litigation/admin/2016/34-79335.pdf AAER-3824 3-17684 2016-11-17 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled JPMorgan Chase & Co. N/A 34-79336 https://www.sec.gov/rules/other/2016/33-10257.pdf 33-10257 265-28 2016-11-17 Investor Advisory Committee Meeting Notice Investor Advisory Committee http://www.federalregister.gov/citation/81-FR-83888 81-FR-83888 34-79337 https://www.sec.gov/rules/sro/nysearca/2016/34-79337.pdf SR-NYSEARCA-2016-145 2016-11-17 Notice /to Conform to Proposed Amendments to Securities Exchange Act Rule 15c6-1(A) to Shorten the Standard Settlement Cycle from Three Business Days after the Trade Date (?T+3?) to Two Business Days after the Trade Date (?T+2?) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-84635 81-FR-84635 34-79338 https://www.sec.gov/litigation/admin/2016/34-79338.pdf IA-4569 3-17685 2016-11-17 Order Instituting Administrative Proceedings and Notice of Hearing / Order of Suspension AP Litigated Holt (aka Holthusen), Mark D. N/A 34-79339 https://www.sec.gov/rules/sro/batsedgx/2016/34-79339.pdf SR-BATSEDGX-2016-41 2016-11-17 Notice / Designation of Longer Period for Commission Action/Related to the Exchange?s Equity Options Platform to Adopt a Price Improvement Auction, the Bats Auction Mechanism SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84625 81-FR-84625 34-79340 https://www.sec.gov/rules/other/2016/34-79340.pdf 2016-11-17 Order/Application for Relief from a Statutory Disqualification Orders Ruhl, Randy N/A 34-79341 https://www.sec.gov/rules/sro/batsbyx/2016/34-79341.pdf SR-BATSBYX-2016-32 2016-11-17 Notice / Immediate Effectiveness/to Rule 8.11, Effective Date of Judgement and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84655 81-FR-84655 34-79342 https://www.sec.gov/rules/sro/batsbzx/2016/34-79342.pdf SR-BATSBZX-2016-73 2016-11-17 Notice / Immediate Effectiveness/to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84625 81-FR-84625 34-79343 https://www.sec.gov/rules/sro/batsedga/2016/34-79343.pdf SR-BATSEDGA-2016-27 2016-11-17 Notice / Immediate Effectiveness/to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84631 81-FR-84631 34-79344 https://www.sec.gov/rules/sro/batsedgx/2016/34-79344.pdf SR-BATSEDGX-2016-64 2016-11-17 Notice / Immediate Effectiveness/to Rule 8.11, Effective Date of Judgment and the Adoption of Rule 8.18, Release of Disciplinary Complaints, Decisions and Other Information SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-84652 81-FR-84652 34-79345 https://www.sec.gov/rules/sro/phlx/2016/34-79345.pdf SR-PHLX-2016-82 2016-11-17 Order / Instituting Proceedings to/to Adopt a New Exception in Exchange Rule 1000(f) for Sub-MPV Split-Price Orders SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-84629 81-FR-84629 34-79346 https://www.sec.gov/rules/sro/finra/2016/34-79346.pdf SR-FINRA-2016-032 2016-11-17 Notice / Order Accelerating /to Require Members to Disclose Additional Pricing Information on Retail Customer Confirmations Relating to Transactions in Certain Fixed Income Securities SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-84659 81-FR-84659 34-79347 https://www.sec.gov/rules/sro/msrb/2016/34-79347.pdf SR-MSRB-2016-12 2016-11-17 Notice / Order Accelerating / to Require Disclosure of Mark-ups and Mark-Downs to Retail Customers on Certain Principal Transactions and to Provide Guidance on Prevailing Market Price SRO Filing Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/81-FR-84637 81-FR-84637 34-79348 https://www.sec.gov/litigation/admin/2016/34-79348.pdf 3-17688 2016-11-18 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Winters, Cody M. N/A 34-79349 https://www.sec.gov/litigation/admin/2016/34-79349.pdf 3-17689 2016-11-18 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hamilton, Nicholas R. N/A 34-79350 https://www.sec.gov/rules/other/2016/33-10258.pdf 33-10258 265-27 2016-11-18 Notice of meeting. Notice Advisory Committee on Small and Emerging Companies http://www.federalregister.gov/citation/81-FR-84628 81-FR-84628 34-79351 https://www.sec.gov/rules/sro/dtc/2016/34-79351.pdf SR-DTC-2016-008 2016-11-18 Notice / Designation of Longer Period for Commission Action/to Processing of Transactions in Money Market Instruments SRO Filing The Depository Trust Company http://www.federalregister.gov/citation/81-FR-85295 81-FR-85295 34-79352 https://www.sec.gov/rules/sro/ise/2016/34-79352.pdf SR-ISE-2016-26 2016-11-18 Notice /to Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-85277 81-FR-85277 34-79353 https://www.sec.gov/rules/sro/isegemini/2016/34-79353.pdf SR-ISEGEMINI-2016-14 2016-11-18 Notice /to Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-85280 81-FR-85280 34-79354 https://www.sec.gov/rules/sro/isemercury/2016/34-79354.pdf SR-ISEMERCURY-2016-21 2016-11-18 Notice /to Reduce the Response Times in the Block Mechanism, Facilitation Mechanism, Solicited Order Mechanism and Price Improvement Mechanism SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-85295 81-FR-85295 34-79355 https://www.sec.gov/rules/sro/nyse/2016/34-79355.pdf SR-NYSE-2016-55 2016-11-18 Order/Adopting Maximum Fees Member Organizations May Charge in Connection with the Distribution of Investment Company Shareholder Reports Pursuant to Any Electronic Delivery Rules Adopted by the Securities and Exchange Commission SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-85291 81-FR-85291 34-79356 https://www.sec.gov/rules/sro/nscc/2016/34-79356.pdf SR-NSCC-2016-007 2016-11-18 Notice /to Accommodate Shorter Standard Settlement Cycle and Make Other Changes SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-85299 81-FR-85299 34-79357 https://www.sec.gov/rules/sro/nasdaq/2016/34-79357.pdf SR-NASDAQ-2016-127 SR-BX-2016-051 SR-ISE-2016-22 SR-ISEGEMINI-2016-10 SR-ISEMERCURY-2016-16 SR-PHLX-2016-93 SR-BSECC-2016-001 SR-SCCP-2016-01 2016-11-18 Notice / Order Accelerating /to Implement Proxy Access SRO Filing The NASDAQ Stock Market LLC NASDAQ BX, Inc. International Securities Exchange, LLC ISE Gemini, LLC ISE Mercury, LLC NASDAQ PHLX LLC Boston Stock Exchange Clearing Corporation Stock Clearing Corporation of Philadelphia http://www.federalregister.gov/citation/81-FR-85283 81-FR-85283 34-79358 https://www.sec.gov/litigation/suspensions/2016/34-79358.pdf 500-1 2016-11-21 Trading Suspension Trading Suspensions MGN Technologies, Inc. N/A 34-79359 https://www.sec.gov/litigation/admin/2016/34-79359.pdf 3-17690 2016-11-21 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated MGN Technologies, Inc. N/A 34-79360 https://www.sec.gov/rules/exorders/2016/34-79360.pdf TP 16-16 2016-11-21 Order/Granting Limited Exemption from Exchange Act Rule 15c2-11 to Certain Interdealer Quotation Systems Pursuant to Exchange Act Rule 15c2-11(h) Orders Global OTC http://www.federalregister.gov/citation/81-FR-85657 81-FR-85657 34-79361 https://www.sec.gov/rules/sro/finra/2016/34-79361.pdf SR-FINRA-2016-043 2016-11-21 Notice / Immediate Effectiveness/to Provide a Process for an Expedited Proceeding and Adopt a Rule to Prohibit Disruptive Quoting and Trading Activity SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-85650 81-FR-85650 34-79362 https://www.sec.gov/rules/sro/box/2016/34-79362.pdf SR-BOX-2016-53 2016-11-21 Notice / Immediate Effectiveness/to Amend the Fee Schedule on the BOX Market LLC (?BOX?) Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-85656 81-FR-85656 34-79363 https://www.sec.gov/rules/sro/nysearca/2016/34-79363.pdf SR-NYSEARCA-2016-148 2016-11-21 Notice / Immediate Effectiveness/Amending NYSE Arca Rules 7.1 and 7.2, and NYSE Arca Equities Rules 7.1 and 7.2 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-85659 81-FR-85659 34-79364 https://www.sec.gov/litigation/admin/2016/34-79364.pdf AAER-3825 3-17691 2016-11-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled PMB Helin Donovan, LLP Bauer, Christopher CPA Jamieson, Jeffrey CPA N/A 34-79365 https://www.sec.gov/litigation/admin/2016/34-79365.pdf 3-17692 2016-11-21 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated All-Pro Products, Inc. Cashtek Corp. Gotham Apparel Corp. Lafayette Industries, Inc. N/A 34-79366 https://www.sec.gov/rules/sro/nasdaq/2016/34-79366.pdf SR-NASDAQ-2016-106 2016-11-21 Order/to Modify Rule IM-5900-7 to Adjust the Entitlement to Services of Acquisition Companies SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-85663 81-FR-85663 34-79367 https://www.sec.gov/litigation/admin/2016/34-79367.pdf 3-17693 2016-11-21 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated M. Dwyer LLC Finn, Sean P. N/A 34-79368 https://www.sec.gov/litigation/admin/2016/34-79368.pdf AAER-3826 IA-4572 3-17694 2016-11-21 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Grassi & Co., CPAs, P.C. N/A 34-79369 https://www.sec.gov/litigation/admin/2016/34-79369.pdf AAER-3827 IA-4573 3-17695 2016-11-21 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Purwin, Gary R. CPA N/A 34-79370 https://www.sec.gov/rules/sro/nyse/2016/34-79370.pdf SR-NYSE-2016-55 2016-11-21 Order/Scheduling Filing of Statements on Review SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-85655 81-FR-85655 34-79371 https://www.sec.gov/litigation/admin/2016/34-79371.pdf 3-17659 2016-11-22 Order Making Findings and Revoking Registration AP Settled Xun Energy, Inc. N/A 34-79372 https://www.sec.gov/litigation/admin/2016/34-79372.pdf 3-17696 2016-11-22 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled American Mortgage and Investment Co. N/A 34-79373 https://www.sec.gov/rules/sro/phlx/2016/34-79373.pdf SR-PHLX-2016-116 2016-11-22 Notice / Immediate Effectiveness/to Amend the Allocation of Directed Complex Orders SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-86031 81-FR-86031 34-79374 https://www.sec.gov/rules/sro/nysemkt/2016/34-79374.pdf SR-NYSEMKT-2016-106 2016-11-22 Notice / Immediate Effectiveness/Amending NYSE MKT Rule 901NY SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-86041 81-FR-86041 34-79375 https://www.sec.gov/rules/sro/iceeu/2016/34-79375.pdf SR-ICEEU-2016-013 2016-11-22 Notice / Immediate Effectiveness/to the Finance Procedures SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-86048 81-FR-86048 34-79376 https://www.sec.gov/rules/sro/nysearca/2016/34-79376.pdf SR-NYSEARCA-2016-147 2016-11-22 Notice / Immediate Effectiveness/Amending NYSE Arca Equities Rule 5.1(c) Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-86033 81-FR-86033 34-79377 https://www.sec.gov/rules/sro/nasdaq/2016/34-79377.pdf SR-NASDAQ-2016-134 2016-11-22 Order/to List and Trade Certain Exchange-Traded Managed Funds SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-86056 81-FR-86056 34-79378 https://www.sec.gov/rules/sro/nysemkt/2016/34-79378.pdf SR-NYSEMKT-2016-63 2016-11-22 Order / Instituting Proceedings to/Add Certain Access and Connectivity Fees SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-86050 81-FR-86050 34-79379 https://www.sec.gov/rules/sro/nysearca/2016/34-79379.pdf SR-NYSEARCA-2016-89 2016-11-22 Order / Instituting Proceedings to/Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-86036 81-FR-86036 34-79380 https://www.sec.gov/litigation/opinions/2016/34-79380.pdf 3-17293 2016-11-22 Order Granting Petition for Review and Scheduling Briefs Orders Advanced Life Sciences Holdings, Inc. N/A 34-79381 https://www.sec.gov/rules/sro/batsbzx/2016/34-79381.pdf SR-BATSBZX-2016-48 2016-11-22 Order Accelerating to List and Trade Shares of the iShares iBonds Dec 2023 Term Muni Bond ETF and iShares iBonds Dec 2024 Term Muni Bond ETF of the iShares U.S. ETF Trust Pursuant to BZX Rule 14.11(c)(4) SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-86044 81-FR-86044 34-79382 https://www.sec.gov/rules/other/2016/34-79382.pdf 2016-11-23 Granting Registration of HR Ratings de Mexico, S.A. de C.V. for Two Additional Classes of Credit Ratings./Order Orders HR Ratings de Mexico, S.A. de C.V. N/A 34-79383 https://www.sec.gov/rules/sro/nyse/2016/34-79383.pdf SR-NYSE-2016-77 2016-11-23 Notice / Immediate Effectiveness/Amending Section 907.00 of the Listed Company Manual SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-86369 81-FR-86369 34-79384 https://www.sec.gov/rules/sro/nysearca/2016/34-79384.pdf SR-NYSEARCA-2016-70 2016-11-23 Order/Regarding Use of Rule 144A Securities By the Fidelity Corporate Bond ETF, Fidelity Investment Grade Bond ETF, Fidelity Limited Term Bond ETF, and Fidelity Total Bond ETF SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-86360 81-FR-86360 34-79385 https://www.sec.gov/rules/sro/batsbzx/2016/34-79385.pdf SR-BATSBZX-2016-77 2016-11-23 Notice / Immediate Effectiveness/to Make Ministerial and Corrective Changes to Exchange Rules 11.13, 11.16, 11.22, and 11.27 SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-86358 81-FR-86358 34-79386 https://www.sec.gov/rules/sro/batsbyx/2016/34-79386.pdf SR-BATSBYX-2016-35 2016-11-23 Notice / Immediate Effectiveness/to Make Ministerial and Corrective Changes to Rules 11.9, 11.13, 11.16, 11.22, and 11.27 SRO Filing Bats BYX Exchange, Inc http://www.federalregister.gov/citation/81-FR-86346 81-FR-86346 34-79387 https://www.sec.gov/rules/sro/nysearca/2016/34-79387.pdf SR-NYSEARCA-2016-150 2016-11-23 Notice / Immediate Effectiveness/Amending NYSE Arca Equities Rule 7.16 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-86355 81-FR-86355 34-79388 https://www.sec.gov/rules/sro/nysearca/2016/34-79388.pdf SR-NYSEARCA-2016-136 2016-11-23 Notice / Designation of Longer Period for Commission Action/Amending NYSE Arca Equities Rule 7.35P to Provide for Widened Price Collar Thresholds for the Core Open Auction on Volatile Trading Days SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-86368 81-FR-86368 34-79389 https://www.sec.gov/rules/sro/nysemkt/2016/34-79389.pdf SR-NYSEMKT-2016-107 2016-11-23 Notice / Immediate Effectiveness/Amending Rule 15 ? Equities Relating to Pre-Opening Indications SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-86365 81-FR-86365 34-79390 https://www.sec.gov/rules/sro/nyse/2016/34-79390.pdf SR-NYSE-2016-78 2016-11-23 Notice / Immediate Effectiveness/Amending Rule 15 Relating to Pre-Opening Indications SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-86371 81-FR-86371 34-79391 https://www.sec.gov/rules/sro/nscc-an/2016/34-79391.pdf SR-NSCC-2016-803 2016-11-23 Notice / Advance Notice/to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of "Off-the-Market Transactions," and Make Other Changes SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-86348 81-FR-86348 34-79392 https://www.sec.gov/rules/sro/nysearca/2016/34-79392.pdf SR-NYSEARCA-2016-151 2016-11-23 Notice / Immediate Effectiveness/Amending Rule 7.31 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-86357 81-FR-86357 34-79393 https://www.sec.gov/litigation/admin/2016/34-79393.pdf AAER-3828 3-14044 2016-11-23 Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Orders Merkley, Kendall G. CPA N/A 34-79394 https://www.sec.gov/litigation/admin/2016/34-79394.pdf AAER-3829 3-15033 2016-11-23 Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation of Review of Financial Statement Required to be Filed with the Commission Orders Krohn, Michael K. CPA N/A 34-79395 https://www.sec.gov/litigation/admin/2016/34-79395.pdf AAER-3830 3-13190 2016-11-23 Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed with the Commission Orders Shapiro, Mark David CPA N/A 34-79396 https://www.sec.gov/litigation/admin/2016/34-79396.pdf AAER-3831 3-15358 2016-11-23 Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Orders Zucker, Brian CPA N/A 34-79397 https://www.sec.gov/litigation/admin/2016/34-79397.pdf AAER-3832 3-13952 2016-11-23 Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed with the Commission Orders Hozie, Stephen A. N/A 34-79398 https://www.sec.gov/rules/sro/nysearca/2016/34-79398.pdf SR-NYSEARCA-2016-63 2016-11-25 Notice / Designation of Longer Period for Commission Action/Relating to the Listing and Trading of Shares of BlackRock Government Collateral Pledge Unit Under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-86749 81-FR-86749 34-79399 https://www.sec.gov/rules/sro/nasdaq/2016/34-79399.pdf SR-NASDAQ-2016-135 2016-11-25 Notice / Designation of Longer Period for Commission Action/to Amend the Continued Listing Requirements for Exchange-Traded Products SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-86759 81-FR-86759 34-79400 https://www.sec.gov/rules/sro/nysemkt/2016/34-79400.pdf SR-NYSEMKT-2016-103 2016-11-25 Notice /Allowing the Exchange to Trade Pursuant to Unlisted Trading Privileges for Any NMS Stock Listed On Another National Securities Exchange; Establishing Rules for the Trading Pursuant to UTP of Exchange Traded Products and Adopting New Equity Trading Rules Relating to Trading Halts of Securities Traded Pursuant to UTP on the Pillar Platform SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-86750 81-FR-86750 34-79401 https://www.sec.gov/rules/sro/finra/2016/34-79401.pdf SR-FINRA-2016-044 2016-11-25 Notice / Immediate Effectiveness/to Extend the Tier Size Pilot of FINRA Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities) SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-86762 81-FR-86762 34-79402 https://www.sec.gov/rules/sro/nysearca/2016/34-79402.pdf SR-NYSEARCA-2016-131 2016-11-25 Order/Relating to Listing and Trading of Shares of the Virtus Enhanced U.S. Equity ETF under Commentary .01 to NYSE Arca Equities Rule 5.2(j)(3) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-86760 81-FR-86760 34-79403 https://www.sec.gov/rules/sro/batsedgx/2016/34-79403.pdf SR-BATSEDGX-2016-65 2016-11-28 Notice / Immediate Effectiveness/to Make a Ministerial Change to Exchange Rules 11.8, 11.14, and 11.22. SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-87109 81-FR-87109 34-79404 https://www.sec.gov/rules/sro/nysearca/2016/34-79404.pdf SR-NYSEARCA-2016-149 2016-11-28 Notice /Amending Rule 6.91NY SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-87094 81-FR-87094 34-79405 https://www.sec.gov/rules/sro/miax/2016/34-79405.pdf SR-MIAX-2016-44 2016-11-28 Notice / Immediate Effectiveness/to Amend Exchange Rule 518, Complex Orders SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-87086 81-FR-87086 34-79406 https://www.sec.gov/rules/sro/cboe/2016/34-79406.pdf SR-CBOE-2016-080 2016-11-28 Notice /to Amend Rule 6.53C SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-87102 81-FR-87102 34-79407 https://www.sec.gov/rules/sro/phlx/2016/34-79407.pdf SR-PHLX-2016-114 2016-11-28 Notice / Immediate Effectiveness/to Amend Commentary .14 to Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-87089 81-FR-87089 34-79408 https://www.sec.gov/rules/sro/nasdaq/2016/34-79408.pdf SR-NASDAQ-2016-159 2016-11-28 Notice / Immediate Effectiveness/to Amend Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-87106 81-FR-87106 34-79409 https://www.sec.gov/rules/sro/bx/2016/34-79409.pdf SR-BX-2016-061 2016-11-28 Notice / Immediate Effectiveness/to Amend Commentary .14 to Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ BX, Inc http://www.federalregister.gov/citation/81-FR-87091 81-FR-87091 34-79410 https://www.sec.gov/rules/sro/nms/2016/34-79410.pdf 4-631 2016-11-28 Joint Industry Plan/Notice /Twelfth Amendment to the NMS Plan to Address Extraordinary Market Volatility SRO Filing Bats EDGA Exchange, Inc. Bats BZX Exchange, Inc. Bats BYX 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 National Stock Exchange, Inc. New York Stock Exchange, LLC NYSE MKT LLC NYSE Arca, Inc. Joint Industry Plan http://www.federalregister.gov/citation/81-FR-87114 81-FR-87114 34-79411 https://www.sec.gov/rules/sro/batsedgx/2016/34-79411.pdf SR-BATSEDGX-2016-66 2016-11-28 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Fee Schedule SRO Filing Bats EDGX Exchange, Inc http://www.federalregister.gov/citation/81-FR-87111 81-FR-87111 34-79412 https://www.sec.gov/rules/sro/batsedga/2016/34-79412.pdf SR-BATSEDGA-2016-28 2016-11-28 Notice / Immediate Effectiveness/to Make a Ministerial Change to Exchange Rules 11.10, 11.14, and 11.21. SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-87112 81-FR-87112 34-79413 https://www.sec.gov/litigation/opinions/2016/33-10260.pdf 33-10260 3-16509 2016-11-28 Order Granting Petition for Review and Scheduling Briefs AP Litigated Edward M. Daspin, a/k/a "Edward (Ed) Michael" N/A 34-79414 https://www.sec.gov/litigation/admin/2016/34-79414.pdf 3-17350 2016-11-29 Notice That Initial Decision Has Become Final Notice Algorex Corporation Canadian Piper Air Corp. Capital and Services, Inc. NP Energy Corporation N/A 34-79415 https://www.sec.gov/litigation/admin/2016/34-79415.pdf 3-17366 2016-11-29 Notice That Initial Decision Has Become Final Notice Capitol City Bancshares, Inc. Powder River Coal Corp. N/A 34-79416 https://www.sec.gov/litigation/suspensions/2016/34-79416.pdf 500-1 2016-11-29 Trading Suspension Trading Suspensions Odyssey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A 34-79417 https://www.sec.gov/litigation/admin/2016/34-79417.pdf 3-17698 2016-11-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Odyssey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A 34-79418 https://www.sec.gov/litigation/admin/2016/34-79418.pdf 3-17375 2016-11-29 Notice That Initial Decision Has Become Final Notice Ameralink, Inc. Basin Industries, Inc. Clinicorp, Inc. (n/k/a Trident Medical Concepts, Inc.) Claire Coast Corporation N/A 34-79419 https://www.sec.gov/litigation/admin/2016/34-79419.pdf 3-17381 2016-11-29 Notice That Initial Decision Has Become Final Notice Safecode Drug Technologies Corp. N/A 34-79420 https://www.sec.gov/rules/sro/bx/2016/34-79420.pdf SR-BX-2016-062 2016-11-29 Notice / Immediate Effectiveness/to Amend Chapter VI, Section 5 to Extend the Penny Pilot Program SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-87639 81-FR-87639 34-79421 https://www.sec.gov/rules/sro/box/2016/34-79421.pdf SR-BOX-2016-48 2016-11-29 Notice /to Adopt Rules for an Open-Outcry Trading Floor SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-87607 81-FR-87607 34-79422 https://www.sec.gov/rules/sro/nms/2016/34-79422.pdf 4-533 2016-11-29 Notice / Immediate Effectiveness/Joint Industry Plan Amendment to the NMS Plan for the Selection and Reservation of Securities Symbols to Add as a Party Thereto SRO Filing Investors Exchange, LLC http://www.federalregister.gov/citation/81-FR-87645 81-FR-87645 34-79423 https://www.sec.gov/rules/sro/cboe/2016/34-79423.pdf SR-CBOE-2016-078 2016-11-29 Notice / Amendment No./Relating to Disaster Recovery SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-87641 81-FR-87641 34-79424 https://www.sec.gov/rules/sro/finra/2016/34-79424.pdf SR-FINRA-2016-042 2016-11-29 Notice / Immediate Effectiveness/to Amend FINRA Rule 6191 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/81-FR-87603 81-FR-87603 34-79425 https://www.sec.gov/rules/sro/phlx/2016/34-79425.pdf SR-PHLX-2016-115 2016-11-29 Notice / Immediate Effectiveness/to Extend the Penny Pilot Program SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-87633 81-FR-87633 34-79426 https://www.sec.gov/alj/aljdec/2016/34-79426.pdf 3-17252 2016-11-29 Notice That Initial Decision Has Become Final Notice Von Hase, Stephan N/A 34-79427 https://www.sec.gov/litigation/admin/2016/34-79427.pdf 3-16652 3-16892 2016-11-29 Order Approving a Plan of Distribution Orders Wilson, Michael S. CPA Budden, James T. Budden, Alexander W. Cotterman-Wilson CPA's Inc N/A 34-79428 https://www.sec.gov/rules/sro/nasdaq/2016/34-79428.pdf SR-NASDAQ-2016-161 2016-11-30 Notice /to Adopt a New Extended Life Priority Order Attribute under Rule 4703, and to Make Related Changes to Rules 4702, 4752, 4753, 4754, and 4757 SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-87628 81-FR-87628 34-79429 https://www.sec.gov/rules/sro/box/2016/34-79429.pdf SR-BOX-2016-55 2016-11-30 Notice / Immediate Effectiveness/to Amend Rule 7260 by Extending the Penny Pilot Program through June 30, 2017 SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-87991 81-FR-87991 34-79430 https://www.sec.gov/rules/sro/batsbyx/2016/34-79430.pdf SR-BATSBYX-2016-36 2016-11-30 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Fee Schedule SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-87993 81-FR-87993 34-79431 https://www.sec.gov/rules/sro/nasdaq/2016/34-79431.pdf SR-NASDAQ-2016-120 2016-11-30 Order / Instituting Proceedings to/to Amend Rules 7034 and 7051 to Establish the Third Party Connectivity Service SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-87981 81-FR-87981 34-79432 https://www.sec.gov/rules/sro/miax/2016/34-79432.pdf SR-MIAX-2016-45 2016-11-30 Notice / Immediate Effectiveness/to Amend Exchange Rule 510 to Extend the Penny Pilot Program SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-87990 81-FR-87990 34-79433 https://www.sec.gov/rules/sro/nasdaq/2016/34-79433.pdf SR-NASDAQ-2016-160 2016-11-30 Notice / Immediate Effectiveness/to Amend Chapter VI, Section 5 to Extend the Penny Pilot Program SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-87995 81-FR-87995 34-79434 https://www.sec.gov/litigation/admin/2016/34-79434.pdf 3-17700 2016-11-30 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Mars Acquisitions, Inc. SoftNet Technology Corp. N/A 34-79435 https://www.sec.gov/rules/sro/occ/2016/34-79435.pdf SR-OCC-2016-014 2016-11-30 Notice / Order Accelerating /Related to Compliance with Section 871(m) of the Internal Revenue Code SRO Filing The Options Clearing Corporation http://www.federalregister.gov/citation/81-FR-87984 81-FR-87984 34-79436 https://www.sec.gov/rules/sro/batsedga/2016/34-79436.pdf SR-BATSEDGA-2016-29 2016-12-01 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Fee Schedule SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-88289 81-FR-88289 34-79437 https://www.sec.gov/rules/sro/batsbzx/2016/34-79437.pdf SR-BATSBZX-2016-78 2016-12-01 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Fee Schedule SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-88277 81-FR-88277 34-79438 https://www.sec.gov/rules/sro/batsedgx/2016/34-79438.pdf SR-BATSEDGX-2016-67 2016-12-01 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Equity Options Fee Schedule SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-88281 81-FR-88281 34-79439 https://www.sec.gov/rules/sro/icc/2016/34-79439.pdf SR-ICC-2016-014 2016-12-01 Notice /to Provide for the Clearance of Additional Credit Default Swap Contracts SRO Filing ICE Clear Credit LLC http://www.federalregister.gov/citation/81-FR-88291 81-FR-88291 34-79440 https://www.sec.gov/litigation/admin/2016/34-79440.pdf 3-14854 2016-12-01 Order Approving Plan of Distribution and Authorizing Transfer of Fair Fund Orders GMB Capital Management LLC (Currently known as) Clear Stream Investments Bitran, Gabriel Bitran, Marco GMB Capital Partners LLC N/A 34-79441 https://www.sec.gov/rules/sro/c2/2016/34-79441.pdf SR-C2-2016-023 2016-12-01 Notice / Immediate Effectiveness/Relating to the Penny Pilot Program SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-88282 81-FR-88282 34-79442 https://www.sec.gov/rules/sro/cboe/2016/34-79442.pdf SR-CBOE-2016-083 2016-12-01 Notice / Immediate Effectiveness/Relating to the Penny Pilot Program SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-88293 81-FR-88293 34-79443 https://www.sec.gov/rules/sro/nysemkt/2016/34-79443.pdf SR-NYSEMKT-2016-109 2016-12-01 Notice / Immediate Effectiveness/Amending Its Rules Governing Business Continuity and Disaster Recovery Planning SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-88304 81-FR-88304 34-79444 https://www.sec.gov/rules/sro/nyse/2016/34-79444.pdf SR-NYSE-2016-81 2016-12-01 Notice / Immediate Effectiveness/Amending Its Rules Governing Business Continuity and Disaster Recovery SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-88306 81-FR-88306 34-79445 https://www.sec.gov/rules/sro/nysearca/2016/34-79445.pdf SR-NYSEARCA-2016-152 2016-12-01 Notice / Immediate Effectiveness/Representation Regarding Investments by PowerShares DB Trust Issued Receipts Listed under Commentary .02 to NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-88302 81-FR-88302 34-79446 https://www.sec.gov/rules/sro/bx/2016/34-79446.pdf SR-BX-2016-065 2016-12-01 Notice / Immediate Effectiveness/to Extend the Pilot Period for the Retail Price Improvement Program Until December 1, 2017 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-88279 81-FR-88279 34-79447 https://www.sec.gov/rules/sro/nasdaq/2016/34-79447.pdf SR-NASDAQ-2016-163 2016-12-01 Notice / Immediate Effectiveness/to Change the Titles of Equities Rule 7015 and Options Chapter XV, Section 3, and to Make Related Changes SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-88311 81-FR-88311 34-79448 https://www.sec.gov/rules/sro/bx/2016/34-79448.pdf SR-BX-2014-048 2016-12-01 Order/Extension to Limited Exemption from Rule 612(c) of Regulation NMS in Connection with the Exchange's Retail Price Improvement Program Until December 1, 2017 SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-88290 81-FR-88290 34-79449 https://www.sec.gov/litigation/admin/2016/34-79449.pdf 3-16877 3-16878 2016-12-01 Extension Order Orders Richards, Howard Goodland, James Securus Wealth Management, LLC N/A 34-79450 https://www.sec.gov/rules/sro/batsbzx/2016/34-79450.pdf SR-BATSBZX-2016-80 2016-12-01 Notice /to BZX Rule 14.11, Other Securities, and BZX Rule 14.12, Failure to Meet Listing Standards SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-88284 81-FR-88284 34-79451 https://www.sec.gov/litigation/admin/2016/34-79451.pdf 3-17703 2016-12-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Flowers, Thomas A. N/A 34-79452 https://www.sec.gov/litigation/admin/2016/34-79452.pdf 3-17683 2016-12-02 Order Making Findings and Revoking Registration Orders Harvey Westbury Corp. N/A 34-79453 https://www.sec.gov/litigation/admin/2016/34-79453.pdf IA-4582 3-17704 2016-12-02 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled McKelvey, Daniel P. N/A 34-79454 https://www.sec.gov/litigation/admin/2016/34-79454.pdf AAER-3833 3-17705 2016-12-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled United Continental Holdings, Inc. N/A 34-79455 https://www.sec.gov/rules/sro/finra/2016/34-79455.pdf SR-FINRA-2016-033 2016-12-02 Order/to Amend Rule 12400 of the Code of Arbitration Procedure for Customer Disputes and Rule 13400 of the Code of Arbitration Procedure for Industry Disputes Relating to Broadening Chairperson Eligibility in Arbitration SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-88720 81-FR-88720 34-79456 https://www.sec.gov/rules/sro/nasdaq/2016/34-79456.pdf SR-NASDAQ-2016-162 2016-12-02 Notice / Immediate Effectiveness/to Amend the Exchange?s Transaction Fees at Rule 7047 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-88716 81-FR-88716 34-79457 https://www.sec.gov/rules/sro/batsbzx/2016/34-79457.pdf SR-BATSBZX-2016-79 2016-12-02 Notice / Immediate Effectiveness/to Make Non-Substantive Changes to the Equity Options Fee Schedule SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-88713 81-FR-88713 34-79458 https://www.sec.gov/rules/sro/nyse/2016/34-79458.pdf SR-NYSE-2016-69 2016-12-02 Notice / Immediate Effectiveness/Amending Chapter Nine of the NYSE Listed Company Manual SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-88714 81-FR-88714 34-79459 https://www.sec.gov/litigation/opinions/2016/34-79459.pdf 3-16383 2016-12-02 Order Denying Motion to De-Institute Administrative Proceeding Orders Hill, Charles L. Jr. N/A 34-79460 https://www.sec.gov/litigation/admin/2016/34-79460.pdf 3-17706 2016-12-02 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing a Cease-and-Desist Order AP Settled Winters, Marc N/A 34-79461 https://www.sec.gov/litigation/admin/2016/34-79461.pdf 3-17707 2016-12-02 Order of Forthwith Suspension AP Litigated Cole, Bruce A. Esq. N/A 34-79462 https://www.sec.gov/litigation/suspensions/2016/34-79462.pdf 500-1 2016-12-05 Trading Suspension Trading Suspensions WGE Holdings Corp. N/A 34-79463 https://www.sec.gov/litigation/admin/2016/34-79463.pdf 3-17615 2016-12-05 Order Making Findings and Revoking Registration AP Settled Boreal Water Collection, Inc. N/A 34-79464 https://www.sec.gov/rules/other/2016/34-79464.pdf 2017-2 2016-12-05 Order Determining Whistleblower Award Claims Orders Redacted N/A 34-79465 https://www.sec.gov/rules/sro/bx/2016/34-79465.pdf SR-BX-2016-063 2016-12-05 Notice /to Amend the PRISM Price Improvement Auction in BX Chapter VI, Section 9 and to Make Pilot Program Permanent SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-89167 81-FR-89167 34-79466 https://www.sec.gov/rules/sro/nysearca/2016/34-79466.pdf SR-NYSEARCA-2016-154 2016-12-05 Notice / Immediate Effectiveness/Amending Its Rules Governing Business Continuity and Disaster Recovery Planning SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-89166 81-FR-89166 34-79467 https://www.sec.gov/rules/sro/batsbzx/2016/34-79467.pdf SR-BATSBZX-2016-81 2016-12-05 Notice / Immediate Effectiveness/to BZX Rule 11.23, Auctions, to Amend How the Official Auction Prices are Calculated and Add Additional Specificity Regarding the Handling of RHO Orders During an Opening Auction for a BZX Listed Security SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-89176 81-FR-89176 34-79468 https://www.sec.gov/rules/sro/nysemkt/2016/34-79468.pdf SR-NYSEMKT-2016-110 2016-12-05 Notice / Immediate Effectiveness/Amending Rule to Expand the Risk Limitation Mechanism to All Orders, Including Complex Orders SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-89160 81-FR-89160 34-79469 https://www.sec.gov/rules/sro/nysearca/2016/34-79469.pdf SR-NYSEARCA-2016-155 2016-12-05 Notice / Immediate Effectiveness/Amending Rule 6.40 to Expand the Risk Limitation Mechanism to All Orders, Including Complex Orders SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-89171 81-FR-89171 34-79470 https://www.sec.gov/litigation/admin/2016/34-79470.pdf 3-17383 2016-12-06 Notice That Initial Decision Has Become Final Initial Decision Dynamic Ventures Corp. N/A 34-79471 https://www.sec.gov/litigation/admin/2016/34-79471.pdf 3-17374 2016-12-06 Notice That Initial Decision Has Become Final Notice Foxwedge, Inc. Harrington Resources, Inc. Juniper Acquisition Corporation Nexus Data Security Corp. N/A 34-79472 https://www.sec.gov/litigation/admin/2016/34-79472.pdf 3-17514 2016-12-06 Notice That Initial Decision Has Become Final Notice Ilio, Inc. Jackray Corporation Industrial Imaging Corporation N/A 34-79473 https://www.sec.gov/rules/sro/iex/2016/34-79473.pdf SR-IEX-2016-17 2016-12-06 Notice / Immediate Effectiveness/to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-89562 81-FR-89562 34-79474 https://www.sec.gov/rules/sro/chx/2016/34-79474.pdf SR-CHX-2016-20 2016-12-06 Notice /in Connection with the Proposed Transaction involving CHX Holdings, Inc. and North America Casin Holdings, Inc. SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-89543 81-FR-89543 34-79475 https://www.sec.gov/rules/sro/nysemkt/2016/34-79475.pdf SR-NYSEMKT-2016-113 2016-12-06 Notice / Immediate Effectiveness/Amending Rule 67-Equities to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-89527 81-FR-89527 34-79476 https://www.sec.gov/rules/sro/nysearca/2016/34-79476.pdf SR-NYSEARCA-2016-159 2016-12-06 Notice / Immediate Effectiveness/Amending Rule 7.46 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-89529 81-FR-89529 34-79477 https://www.sec.gov/rules/sro/nyse/2016/34-79477.pdf SR-NYSE-2016-83 2016-12-06 Notice / Immediate Effectiveness/Amending Rule 67 to Modify the Website Data Publication Requirements Relating to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-89559 81-FR-89559 34-79478 https://www.sec.gov/rules/sro/nyse/2016/34-79478.pdf SR-NYSE-2016-75 2016-12-06 Notice / Immediate Effectiveness/to Provide that he Exchange Would Not Be Required to Report to The Securities Information Processor an Official Closing Price, as Defined under Rule 123C(1)(e)(i), as an ?M? Sale Condition SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-89523 81-FR-89523 34-79479 https://www.sec.gov/rules/sro/nysemkt/2016/34-79479.pdf SR-NYSEMKT-2016-104 2016-12-06 Notice / Immediate Effectiveness/to Provide that the Exchange Would Not Be Required to Report to The Securities Information Processor an Official Closing Price, as Defined under Rule 123C(1)(e)(i) - Equities, as an ?M? Sale Condition SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-89564 81-FR-89564 34-79480 https://www.sec.gov/rules/sro/nysearca/2016/34-79480.pdf SR-NYSEARCA-2016-130 2016-12-06 Notice / Designation of Longer Period for Commission Action/Amending NYSE Arca Equities Rules 7.35 (Auctions), 7.10 (Clearly Erroneous Executions), 7.31 (Orders and Modifiers), and 7.11 (Limit Up ? Limit Down Plan and Trading Pauses in Individual Securities Due to Extraordinary Market Volatility) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-89525 81-FR-89525 34-79481 https://www.sec.gov/litigation/admin/2016/33-10262.pdf 33-10262 3-17708 2016-12-06 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Equidate, Inc. Equidate Holdings LLC N/A 34-79482 https://www.sec.gov/litigation/opinions/2016/34-79482.pdf IA-4583 3-17210 2016-12-06 Order Granting Motion to Extend Time Orders White, Paul Leon II N/A 34-79483 https://www.sec.gov/litigation/admin/2016/34-79483.pdf AAER-3834 2016-12-06 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled KPMG LLP N/A 34-79484 https://www.sec.gov/litigation/admin/2016/34-79484.pdf 3-17710 2016-12-06 Order of Forthwith Suspension Orders Kessel, Roy D. Esq. N/A 34-79485 https://www.sec.gov/rules/sro/bx/2016/34-79485.pdf SR-BX-2016-066 2016-12-06 Notice / Immediate Effectiveness/to amend the Titles of Equities Rule 7015 and Options Chapter XV, Section 3, and to Make Related Changes SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-89532 81-FR-89532 34-79486 https://www.sec.gov/rules/sro/box/2016/34-79486.pdf SR-BOX-2016-54 2016-12-06 Notice / Immediate Effectiveness/to Amend the Fee Schedule on the BOX Market LLC (?BOX?) Options Facility SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-89525 81-FR-89525 34-79487 https://www.sec.gov/litigation/admin/2016/34-79487.pdf 3-17711 2016-12-06 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Aquanatural Co. Bullet Sports International, Inc. Pearce Systems International, Inc. N/A 34-79488 https://www.sec.gov/rules/sro/dtc/2016/34-79488.pdf SR-DTC-2016-003 2016-12-06 Order/to Impose Deposit Chills and Global Locks and Provide Fair Procedures to Issuers SRO Filing Depository Trust Company http://www.federalregister.gov/citation/81-FR-89533 81-FR-89533 34-79489 https://www.sec.gov/litigation/admin/2016/34-79489.pdf 3-17712 2016-12-07 Order Instituting Proceedings, Making Findings, and Revoking Registration AP Settled Curlew Lake Resources, Inc. N/A 34-79490 https://www.sec.gov/litigation/admin/2016/34-79490.pdf 3-17519 2016-12-07 Order Making Findings and Revoking Registration AP Settled SuperDirectories, Inc. N/A 34-79491 https://www.sec.gov/rules/sro/ficc/2016/34-79491.pdf SR-FICC-2016-007 2016-12-07 Notice /to Implement a Change to the Methodology Used in the MBSD VaR Model SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-90001 81-FR-90001 34-79492 https://www.sec.gov/rules/sro/nasdaq/2016/34-79492.pdf SR-NASDAQ-2016-121 2016-12-07 Notice / Withdrawal /Related to the Payment of a Credit by Execution Access, LLC Based on Volume Thresholds Met on the NASDAQ Options Market SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-90021 81-FR-90021 34-79493 https://www.sec.gov/rules/sro/nyse/2016/34-79493.pdf SR-NYSE-2016-82 2016-12-07 Notice / Immediate Effectiveness/to Extend the Pilot Period for the Exchange?s Retail Liquidity Program SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-90019 81-FR-90019 34-79494 2016-12-07 INTENTIONALLY OMITTED 34-79495 https://www.sec.gov/rules/sro/nysearca/2016/34-79495.pdf SR-NYSEARCA-2016-157 2016-12-07 Notice / Immediate Effectiveness/to Extend the Pilot Period for the Exchange?s Retail Liquidity Program SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-90033 81-FR-90033 34-79496 https://www.sec.gov/rules/sro/batsbzx/2016/34-79496.pdf SR-BATSBZX-2016-83 2016-12-07 Notice / Immediate Effectiveness/Related to Fees for Use of the Exchange?s Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-90015 81-FR-90015 34-79497 https://www.sec.gov/rules/sro/batsedgx/2016/34-79497.pdf SR-BATSEDGX-2016-69 2016-12-07 Notice / Immediate Effectiveness/Related to Fees for Use of the Exchange?s Equities Options Platform SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-90011 81-FR-90011 34-79498 https://www.sec.gov/rules/sro/nysearca/2016/34-79498.pdf SR-NYSEARCA-2016-63 2016-12-07 Notice / Withdrawal /Relating to Listing and Trading of Shares of the BlackRock Government Collateral Pledge Unit under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-90026 81-FR-90026 34-79499 https://www.sec.gov/rules/sro/cboe/2016/34-79499.pdf SR-CBOE-2016-084 2016-12-07 Notice /to Amend Exchange Rules Related to the Automated Improvement Mechanism SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-90012 81-FR-90012 34-79500 https://www.sec.gov/rules/sro/miax/2016/34-79500.pdf SR-MIAX-2016-46 2016-12-07 Notice /to Amend Rule 515A, MIAX Price Improvement Mechanism (?PRIME?) and PRIME Solicitation Mechanism SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-90030 81-FR-90030 34-79501 https://www.sec.gov/rules/sro/batsedgx/2016/34-79501.pdf SR-BATSEDGX-2016-68 2016-12-07 Notice / Immediate Effectiveness/to Fees for Use of the Exchange?s Equities Platform SRO Filing Bats EDGX Exchange, Inc.; http://www.federalregister.gov/citation/81-FR-90009 81-FR-90009 34-79502 https://www.sec.gov/rules/sro/iex/2016/34-79502.pdf SR-IEX-2016-18 2016-12-07 Notice /to: (i) Amend Rules 11.190(a)(3) and 11.190(b)(8) to Modify the operation of the Primary Peg Order Type; (ii) Amend Rule 11.190(h)(C)(ii) and (D)(ii) Regarding Price Sliding in Locked and Crossed Markets to Simplify the Price Sliding Process for Both Primary Peg Orders and Discretionary Peg Orders Resting on or Posting to the Order Book; and (iii) Make Minor Housekeeping Changes to Conform Certain Terminology SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-90035 81-FR-90035 34-79503 https://www.sec.gov/litigation/admin/2016/34-79503.pdf IA-4585 3-17714 2016-12-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Noack , David W. N/A 34-79504 https://www.sec.gov/litigation/suspensions/2016/34-79504.pdf 500-1 2016-12-08 Trading Suspension Trading Suspensions Sen Yu International Holdings, Inc. N/A 34-79505 https://www.sec.gov/litigation/admin/2016/34-79505.pdf 3-17715 2016-12-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Sen Yu International Holdings, Inc. N/A 34-79506 https://www.sec.gov/rules/sro/nysearca/2016/34-79506.pdf SR-NYSEARCA-2016-158 2016-12-08 Notice / Immediate Effectiveness/Amending the Exchange?s Schedule of Fees and Charges Relating to the Listing and Annual Fees Applicable to Certain Structured Products SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-90391 81-FR-90391 34-79507 https://www.sec.gov/litigation/admin/2016/33-10264.pdf 33-10264 IC-32383 3-17716 2016-12-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrance A. N/A 34-79508 https://www.sec.gov/litigation/admin/2016/34-79508.pdf 3-17682 2016-12-08 Extension Order Orders Interactive Brokers LLC Interactive Brokers Corp. N/A 34-79509 https://www.sec.gov/rules/sro/nysemkt/2016/34-79509.pdf SR-NYSEMKT-2016-112 2016-12-08 Notice / Immediate Effectiveness/to Extend the Pilot Period for the Exchange?s Retail Liquidity Program SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-90389 81-FR-90389 34-79510 https://www.sec.gov/rules/sro/nysemkt/2016/34-79510.pdf SR-NYSEMKT-2016-58 2016-12-08 Notice / Designation of Longer Period for Commission Action/Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-90402 81-FR-90402 34-79511 https://www.sec.gov/litigation/admin/2016/34-79511.pdf 3-16829 2016-12-08 Order Appointing Tax Administrator Orders Fretz, William B. Jr. Freeman, John P. Covenant Capital Management Partners, L.P. Covenant Partners, L.P. N/A 34-79512 https://www.sec.gov/litigation/admin/2016/34-79512.pdf 3-17717 2016-12-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Baggs, James A. N/A 34-79513 https://www.sec.gov/litigation/admin/2016/34-79513.pdf 3-16846 2016-12-08 Third Extension Order Orders UBS Financial Services Incorporated of Puerto Rico N/A 34-79514 https://www.sec.gov/rules/sro/cfe/2016/34-79514.pdf SR-CFE-2016-004 2016-12-09 Notice /Regarding Attempted Fraudulent Acts SRO Filing CBOE Futures Exchange, LLC http://www.federalregister.gov/citation/81-FR-90889 81-FR-90889 34-79515 https://www.sec.gov/rules/sro/nyse/2016/34-79515.pdf SR-NYSE-2016-80 2016-12-09 Notice / Immediate Effectiveness/Amending Section 902.04 of the NYSE Listed Company Manual SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-90893 81-FR-90893 34-79516 https://www.sec.gov/rules/sro/iceeu/2016/34-79516.pdf SR-ICEEU-2016-014 2016-12-09 Notice / Immediate Effectiveness/Relating to the Clearing Rules Regarding German CDS Clearing Members SRO Filing ICE Clear Europe Limited http://www.federalregister.gov/citation/81-FR-90891 81-FR-90891 34-79517 https://www.sec.gov/rules/other/2016/34-79517.pdf 2017-3 2016-12-09 Whistleblower Other Redacted N/A 34-79518 https://www.sec.gov/rules/sro/nysearca/2016/34-79518.pdf SR-NYSEARCA-2016-84 2016-12-09 Notice / Order Accelerating /Relating to the Listing and Trading of Shares of the Long Dollar Gold Trust under NYSE Arca Equities Rule 8.201 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-90876 81-FR-90876 34-79519 https://www.sec.gov/rules/final/2016/33-10265.pdf 33-10265 39-2513 IC-32387 2016-12-09 Final Rule Final Rule Revisions to the EDGAR Filer Manual, Volume I and Volume II http://www.federalregister.gov/citation/82-FR-7645 82-FR-7645 34-79520 https://www.sec.gov/rules/sro/cboe/2016/34-79520.pdf SR-CBOE-2016-071 2016-12-09 Notice / Order Accelerating /Relating to Opening and Closing Rotations Under the HOSS System SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-90896 81-FR-90896 34-79521 https://www.sec.gov/litigation/admin/2016/34-79521.pdf IA-4586 IC-32388 3-17718 2016-12-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Stuthers, Donald M. N/A 34-79522 https://www.sec.gov/litigation/admin/2016/34-79522.pdf 3-16175 2016-12-09 Order Appointing Tax Administrator Orders Meissner, Kenneth C. Scott, James Doug Tomich ("Mike"), Mark S. N/A 34-79523 https://www.sec.gov/rules/sro/batsbzx/2016/34-79523.pdf SR-BATSBZX-2016-84 2016-12-09 Notice / Immediate Effectiveness/to Rule 21.5 of Bats BZX Exchange, Inc. to Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues SRO Filing Bats BZX Exchange, Inc http://www.federalregister.gov/citation/81-FR-90895 81-FR-90895 34-79524 https://www.sec.gov/rules/sro/nysearca/2016/34-79524.pdf SR-NYSEARCA-2016-156 2016-12-12 Notice / Immediate Effectiveness/to Amend Commentary .02 to Rule 6.72 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-91220 81-FR-91220 34-79525 https://www.sec.gov/rules/sro/nysemkt/2016/34-79525.pdf SR-NYSEMKT-2016-111 2016-12-12 Notice / Immediate Effectiveness/to Amend Commentary .02 to Rule 960NY in Order to Extend the Penny Pilot in Options Classes in Certain Issues SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-91230 81-FR-91230 34-79526 https://www.sec.gov/rules/sro/batsedgx/2016/34-79526.pdf SR-BATSEDGX-2016-71 2016-12-12 Notice / Immediate Effectiveness/to Rule 21.5 of Bats EDGX Exchange, Inc. to Extend Through June 30, 2017, the Penny Pilot Program in Options Classes in Certain Issues SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91235 81-FR-91235 34-79527 https://www.sec.gov/rules/sro/iex/2016/34-79527.pdf SR-IEX-2016-19 2016-12-12 Notice / Immediate Effectiveness/to Require Listed Companies to Publicly Disclose Compensation or Other Payments by Third Parties to Any Nominee for Director or Sitting Director in Connection with Their Candidacy for or Service On the Companies? Board of Directors. SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-91211 81-FR-91211 34-79528 https://www.sec.gov/rules/sro/dtc/2016/34-79528.pdf SR-DTC-2016-007 SR-FICC-2016-005 SR-NSCC-2016-003 2016-12-12 Notice / Order Accelerating /Relating to Clearing Agency Investment Policy SRO Filing Depository Trust Company Fixed Income Clearing Corporation National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-91232 81-FR-91232 34-79529 https://www.sec.gov/litigation/admin/2016/34-79529.pdf 2016-12-12 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hass, Pamela M. N/A 34-79530 https://www.sec.gov/rules/sro/ise/2016/34-79530.pdf SR-ISE-2016-29 2016-12-12 Notice /to Amend ISE Rule 723 and to Make Pilot Program Permanent SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-91221 81-FR-91221 34-79531 https://www.sec.gov/rules/sro/box/2016/34-79531.pdf SR-BOX-2016-58 2016-12-12 Notice /to Amend Interpretive Material to Rule 7150 (Price Improvement Period ?PIP?) and Interpretive Material to Rule 7245 (Complex Order Price Improvement Period ?COPIP?) to Make Permanent the Pilot Programs that Permit the Exchange to Have No Minimum Size Requirement for Orders Entered into the PIP (?PIP Pilot Program?) and COPIP (?COPIP Pilot Program?) SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-91227 81-FR-91227 34-79532 https://www.sec.gov/rules/sro/nasdaq/2016/34-79532.pdf SR-NASDAQ-2016-166 2016-12-12 Notice / Immediate Effectiveness/to Amend the Exchange?s Transaction Fees at Chapter XV, Section 2 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-91216 81-FR-91216 34-79533 https://www.sec.gov/rules/sro/batsbzx/2016/34-79533.pdf SR-BATSBZX-2016-82 2016-12-13 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91990 81-FR-91990 34-79534 https://www.sec.gov/rules/sro/batsbyx/2016/34-79534.pdf SR-BATSBYX-2016-37 2016-12-13 Notice / Immediate Effectiveness/to amend Exchange Rule 11.27(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91965 81-FR-91965 34-79535 https://www.sec.gov/rules/sro/ficc/2016/34-79535.pdf SR-FICC-2016-008 2016-12-13 Notice / Immediate Effectiveness/to Modify the MBSD Schedule of Charges Dealer Account Group SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-91964 81-FR-91964 34-79536 https://www.sec.gov/rules/sro/batsedga/2016/34-79536.pdf SR-BATSEDGA-2016-30 2016-12-13 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.21(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91993 81-FR-91993 34-79537 https://www.sec.gov/rules/sro/batsedgx/2016/34-79537.pdf SR-BATSEDGX-2016-70 2016-12-13 Notice / Immediate Effectiveness/to Amend Exchange Rule 11.22(b) Regarding the Data Collection Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91971 81-FR-91971 34-79538 https://www.sec.gov/rules/sro/chx/2016/34-79538.pdf SR-CHX-2016-21 2016-12-13 Notice / Immediate Effectiveness/to Modify the Website Data Publication Requirements and Clarify Certain Data Reporting Obligations Related to the Regulation NMS Plan to Implement a Tick Size Pilot Program SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-91979 81-FR-91979 34-79539 https://www.sec.gov/rules/sro/isemercury/2016/34-79539.pdf SR-ISEMERCURY-2016-25 2016-12-13 Notice /Amend ISE Mercury Rule 723 and to Make Pilot Program Permanent SRO Filing ISE Mercury LLC http://www.federalregister.gov/citation/81-FR-91982 81-FR-91982 34-79540 https://www.sec.gov/rules/sro/cboe/2016/34-79540.pdf SR-CBOE-2016-082 2016-12-13 Notice /to Rules Regarding the Responsibility for Ensuring Compliance with Open Outcry Priority and Allocation Requirements and Trade-Through Prohibitions SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-91967 81-FR-91967 34-79541 https://www.sec.gov/rules/sro/isegemini/2016/34-79541.pdf SR-ISEGEMINI-2016-23 2016-12-13 Notice /Amend ISE Gemini Rule 723 and to Make Pilot Program Permanent SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-91974 81-FR-91974 34-79542 https://www.sec.gov/litigation/admin/2016/34-79542.pdf 3-17721 2016-12-13 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Ben Franklin Retail Stores, Inc. Enrotek Corp. Spectre Gaming, Inc. N/A 34-79543 https://www.sec.gov/rules/other/2016/34-79543.pdf 10-227 2016-12-13 Findings, Opinion, and Order of the Commission Orders MIAX PEARL, LLC http://www.federalregister.gov/citation/81-FR-92901 81-FR-92901 34-79544 https://www.sec.gov/rules/other/2016/33-10266.pdf 33-10266 2016-12-14 Order Approving Budget and Annual Accounting Support Fee for Calendar Year 2017 Orders PCAOB's 2017 Budget and Accounting Support Fee http://www.federalregister.gov/citation/81-FR-92885 81-FR-92885 34-79545 https://www.sec.gov/rules/sro/phlx/2016/34-79545.pdf SR-PHLX-2016-118 2016-12-14 Notice / Immediate Effectiveness/to Amend Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-92916 81-FR-92916 34-79546 https://www.sec.gov/rules/sro/nasdaq/2016/34-79546.pdf SR-NASDAQ-2016-165 2016-12-14 Notice / Immediate Effectiveness/to Amend Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-92932 81-FR-92932 34-79547 https://www.sec.gov/rules/sro/nysearca/2016/34-79547.pdf SR-NYSEARCA-2016-161 2016-12-14 Notice / Immediate Effectiveness/Amending NYSE Arca Rule 10.17 and NYSE Arca Equities Rule 10.15 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-92892 81-FR-92892 34-79548 https://www.sec.gov/rules/sro/cboe/2016/34-79548.pdf SR-CBOE-2016-085 2016-12-14 Notice / Immediate Effectiveness/to Amend the Fees Schedule SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-92883 81-FR-92883 34-79549 https://www.sec.gov/rules/sro/bx/2016/34-79549.pdf SR-BX-2016-067 2016-12-14 Notice / Immediate Effectiveness/to Amend Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-92886 81-FR-92886 34-79550 https://www.sec.gov/rules/sro/nysearca/2016/34-79550.pdf SR-NYSEARCA-2016-120 2016-12-14 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of the ForceShares Daily 4X US Market Futures Long Fund and ForceShares Daily 4X US Market Futures Short Fund under Commentary .02 to NYSE Arca Equities Rule 8.200 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-92892 81-FR-92892 34-79551 https://www.sec.gov/rules/sro/nasdaq/2016/34-79551.pdf SR-NASDAQ-2016-131 2016-12-14 Notice / Designation of Longer Period for Commission Action/to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-92885 81-FR-92885 34-79552 https://www.sec.gov/rules/sro/batsbzx/2016/34-79552.pdf SR-BATSBZX-2016-61 2016-12-14 Notice / Designation of Longer Period for Commission Action/to Amend Exchange Rule 11.23, Auctions, to Enhance the Reopening Auction Process Following a Trading Halt Declared Pursuant to the Plan to Address Extraordinary Market Volatility Pursuant to Rule 608 of Regulation NMS SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-92928 81-FR-92928 34-79553 https://www.sec.gov/litigation/admin/2016/34-79553.pdf 3-13675 2016-12-14 Order Directing Disbursement of Fair Fund and Vacating Prior Order of Disbursement Orders Value Line, Inc. Value Line Securities, Inc. Buttner, Jean Bernhard Buttner Henigson, David N/A 34-79554 https://www.sec.gov/rules/sro/nasdaq/2016/34-79554.pdf SR-NASDAQ-2016-141 2016-12-14 Notice / Designation of Longer Period for Commission Action/to Amend Rule 4702 to Adopt a New Retail Post-Only Order SRO Filing The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-92927 81-FR-92927 34-79555 https://www.sec.gov/rules/sro/c2/2016/34-79555.pdf SR-C2-2016-020 2016-12-14 Order/Approving a Proposed Rule Change Relating to Price Protection Mechanisms and Risk Controls SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-92928 81-FR-92928 34-79556 https://www.sec.gov/rules/sro/nasdaq/2016/34-79556.pdf SR-NASDAQ-2016-167 2016-12-14 Notice / Immediate Effectiveness/to Modify Distributor Fees for ITTO and BONO Data Feeds SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-92935 81-FR-92935 34-79557 https://www.sec.gov/rules/sro/box/2016/34-79557.pdf SR-BOX-2016-57 2016-12-14 Notice / Immediate Effectiveness/to Detail How Complex Orders Will Execute Through the Solicitation Auction Mechanism SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-92919 81-FR-92919 34-79558 https://www.sec.gov/rules/sro/nysemkt/2016/34-79558.pdf SR-NYSEMKT-2016-114 2016-12-14 Notice / Immediate Effectiveness/Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-92889 81-FR-92889 34-79559 https://www.sec.gov/rules/sro/nysemkt/2016/34-79559.pdf SR-NYSEMKT-2016-115 2016-12-14 Notice / Immediate Effectiveness/Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-92923 81-FR-92923 34-79560 https://www.sec.gov/rules/sro/cboe/2016/34-79560.pdf SR-CBOE-2016-081 2016-12-14 Notice / Immediate Effectiveness/to Move the Website and Vendor Through Which It Sells and Disseminates Open and Close Volume Data on the CBOE SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-92925 81-FR-92925 34-79561 https://www.sec.gov/rules/sro/nysemkt/2016/34-79561.pdf SR-NYSEMKT-2016-58 2016-12-15 Notice / Withdrawal /Relating to Amendments to NYSE MKT Rules 1600 et seq. and the Listing Rules Applicable to the Shares of the Nuveen Diversified Commodity Fund and the Nuveen Long/Short Commodity Total Return Fund SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-93715 81-FR-93715 34-79562 https://www.sec.gov/rules/sro/isegemini/2016/34-79562.pdf SR-ISEGEMINI-2016-20 2016-12-15 Notice / Immediate Effectiveness/to Remove Direct Debit for Market Data Products SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-93722 81-FR-93722 34-79563 https://www.sec.gov/rules/sro/ise/2016/34-79563.pdf SR-ISE-2016-28 2016-12-15 Notice / Immediate Effectiveness/to Remove Direct Debit for Market Data Products SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-93718 81-FR-93718 34-79564 https://www.sec.gov/rules/sro/nysemkt/2016/34-79564.pdf SR-NYSEMKT-2016-116 2016-12-15 Notice / Immediate Effectiveness/Extending Its Program that Allows Transactions to Take Place at a Price that is Below $1 Per Option Contract until July 5, 2017 SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-93716 81-FR-93716 34-79565 https://www.sec.gov/rules/sro/nysearca/2016/34-79565.pdf SR-NYSEARCA-2016-163 2016-12-15 Notice / Immediate Effectiveness/Extending Its Program that Allows Transactions to Take Place at a Price that is Below $1 Per Option Contract until July 5, 2017 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-93723 81-FR-93723 34-79566 https://www.sec.gov/litigation/admin/2016/34-79566.pdf 3-17723 2016-12-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Deucher, Chad N/A 34-79567 https://www.sec.gov/litigation/admin/2016/34-79567.pdf 3-17724 2016-12-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Clatfelter, Richard N/A 34-79568 https://www.sec.gov/litigation/admin/2016/34-79568.pdf IA-4588 IC-32394 3-17217 2016-12-15 Order Making Findings, and Imposing Remedial Sanctions AP Settled TPG Advisors, LLC (d/b/a The Phillips Group Advisors) Phillips, Larry M. N/A 34-79569 https://www.sec.gov/litigation/admin/2016/34-79569.pdf 3-17632 2016-12-15 Order Making Findings, and Imposing Remedial Sanctions AP Settled Leonard, John M. N/A 34-79570 https://www.sec.gov/rules/sro/finra/2016/34-79570.pdf SR-FINRA-2016-045 2016-12-15 Notice / Immediate Effectiveness/to Rule 4554 Reporting Requirements for Alternative Trading Systems SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-93720 81-FR-93720 34-79571 https://www.sec.gov/litigation/admin/2016/33-10267.pdf 33-10267 3-17726 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Nguyen, Lan Phuong Esq. N/A 34-79572 https://www.sec.gov/litigation/suspensions/2016/34-79572.pdf 500-1 2016-12-16 Trading Suspension Trading Suspensions American Energy Development Corp. N/A 34-79573 https://www.sec.gov/litigation/admin/2016/33-10268.pdf 33-10268 3-17727 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Muellerleile, Michael J. Esq. M2 Law Professional Corp. N/A 34-79574 https://www.sec.gov/litigation/admin/2016/33-10269.pdf 33-10269 3-17728 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Felix, Joel N/A 34-79575 https://www.sec.gov/litigation/admin/2016/33-10270.pdf 33-10270 3-17729 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Empire Stock Transfer Inc. Blevins, Matthew J. N/A 34-79576 https://www.sec.gov/litigation/admin/2016/33-10272.pdf 33-10272 IA-4590 3-17730 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Deutsche Bank Securities Inc. N/A 34-79577 https://www.sec.gov/rules/other/2016/34-79577.pdf 601-01 2016-12-16 to Modify an Existing Exemption from Clearing Agency Registration Orders Euroclear Bank SA/NV http://www.federalregister.gov/citation/81-FR-93994 81-FR-93994 34-79578 https://www.sec.gov/litigation/admin/2016/34-79578.pdf 3-17731 2016-12-16 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Barkley, Byron B. Davis, Paul N. N/A 34-79579 https://www.sec.gov/litigation/admin/2016/34-79579.pdf 3-17732 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Kerrigone, Anthony B. N/A 34-79580 https://www.sec.gov/litigation/admin/2016/34-79580.pdf 3-17733 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Wilson-Davis & Company, Inc. N/A 34-79581 https://www.sec.gov/litigation/admin/2016/34-79581.pdf 3-17735 2016-12-16 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Myers, Jo Ann Pickett, Hollis W. Jr. N/A 34-79582 https://www.sec.gov/rules/sro/nyse/2016/34-79582.pdf SR-NYSE-2016-70 2016-12-16 Notice / Immediate Effectiveness/to Adopt a Fee Cap Specific to Investment Management Entities and Their Eligible Portfolio Companies SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-93976 81-FR-93976 34-79583 https://www.sec.gov/rules/sro/phlx/2016/34-79583.pdf SR-PHLX-2016-104 2016-12-16 Order/to Amend Phlx Rule 748, Supervision SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-93986 81-FR-93986 34-79584 https://www.sec.gov/rules/sro/phlx/2016/34-79584.pdf SR-PHLX-2016-119 2016-12-16 Notice / Filing of Amendment No. /Amendment No. 1 Thereto, to Amend the PIXL Price Improvement Auction in Phlx Rule 1080(n) and to Make Pilot Program Permanent SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-93979 81-FR-93979 34-79585 https://www.sec.gov/rules/sro/batsbzx/2016/34-79585.pdf SR-BATSBZX-2016-68 SR-BATSBYX-2016-29 SR-BATSEDGA-2016-24 SR-BATSEDGX-2016-60 2016-12-16 Order/in Connection With the Proposed Corporate Transaction Involving Bats Global Markets, Inc. and CBOE Holdings, Inc. SRO Filing Bats BZX Exchange, Inc. Bats BYX Exchange, Inc. Bats EDGA Exchange, Inc. Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-93988 81-FR-93988 34-79586 https://www.sec.gov/rules/sro/nysearca/2016/34-79586.pdf SR-NYSEARCA-2013-107 2016-12-16 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, 2017 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-93719 81-FR-93719 34-79587 https://www.sec.gov/rules/sro/nyse/2016/34-79587.pdf SR-NYSE-2011-55 2016-12-16 Order/Granting an Extension to Limited Exemptions From Rule 612(c) of Regulation NMS In Connection With the Exchanges' Retail Liquidity Programs Until June 30, 2017 SRO Filing New Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-93975 81-FR-93975 34-79588 https://www.sec.gov/litigation/admin/2016/34-79588.pdf 3-17680 2016-12-19 Order Making Findings and Revoking Registration AP Settled Kogeto, Inc. N/A 34-79589 https://www.sec.gov/rules/sro/cboe/2016/34-79589.pdf SR-CBOE-2016-086 2016-12-19 Notice / Immediate Effectiveness/Relating to the Debit/Credit Price Reasonability Checks for Complex Orders SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-94469 81-FR-94469 34-79590 https://www.sec.gov/rules/sro/c2/2016/34-79590.pdf SR-C2-2016-024 2016-12-19 Notice / Immediate Effectiveness/Relating to the Debit/Credit Price Reasonability Check for Complex Orders SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-94434 81-FR-94434 34-79591 https://www.sec.gov/rules/sro/cboe/2016/34-79591.pdf SR-CBOE-2016-076 SR-C2-2016-022 2016-12-19 Notice / Immediate Effectiveness/in Connection with a Proposed Corporate Transaction Involving CBOE Holdings, Inc. and Bats Global Markets, Inc. SRO Filing Chicago Board Options Exchange, Incorporated C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-94458 81-FR-94458 34-79592 https://www.sec.gov/rules/sro/nscc-an/2016/34-79592.pdf SR-NSCC-2016-803 2016-12-19 Notice / Advance Notice/to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of ?Off-the-Market Transactions,? and Make Other Changes SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-94448 81-FR-94448 34-79593 https://www.sec.gov/litigation/admin/2016/34-79593.pdf 3-17736 2016-12-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled NeuStar, Inc. N/A 34-79594 https://www.sec.gov/rules/sro/nysearca/2016/34-79594.pdf SR-NYSEARCA-2016-164 2016-12-19 Notice / Immediate Effectiveness/Amending NYSE Arca Rule 3.2 and NYSE Arca Equities Rules 1.1, 3.2, 10.3, 10.8, 10.13, and 14 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-94473 81-FR-94473 34-79595 https://www.sec.gov/rules/sro/batsedgx/2016/34-79595.pdf SR-BATSEDGX-2016-73 2016-12-19 Notice / Immediate Effectiveness/to Amend the Market Data Section of its Fee Schedule to Adopt Fees for EDGX Summary Depth and Amend Fees for EDGX Depth SRO Filing Bats EDGX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-94442 81-FR-94442 34-79596 https://www.sec.gov/rules/sro/batsedga/2016/34-79596.pdf SR-BATSEDGA-2016-34 2016-12-19 Notice / Immediate Effectiveness/to Amend Rule 11.8, Order Types, and Rule 11.11, Routing to Away Trading Centers, to Enhance the Exchange?s Midpoint Routing Functionality SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/81-FR-94454 81-FR-94454 34-79597 https://www.sec.gov/rules/sro/nysearca/2016/34-79597.pdf SR-NYSEARCA-2016-165 2016-12-19 Notice / Immediate Effectiveness/Amending the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-94460 81-FR-94460 34-79598 https://www.sec.gov/rules/sro/nscc/2016/34-79598.pdf SR-NSCC-2016-005 2016-12-19 Order/to Accelerate its Trade Guaranty, Add New Clearing Fund Components, Enhance its Intraday Risk Management, Provide for Loss Allocation of ?Off-the-Market Transactions,? and Make Other Changes SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-94462 81-FR-94462 34-79599 https://www.sec.gov/rules/sro/nysemkt/2016/34-79599.pdf SR-NYSEMKT-2016-120 2016-12-19 Notice /Amending Rule 971.1NY and to Make Permanent the Aspects of Customer Best Execution Auction that Are Subject to a Pilot SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-94437 81-FR-94437 34-79600 https://www.sec.gov/rules/sro/batsbzx/2016/34-79600.pdf SR-BATSBZX-2016-91 2016-12-19 Notice / Immediate Effectiveness/to Adopt a Participant Fee Applicable to Options Members of its Equity Options Platform SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-94468 81-FR-94468 34-79601 https://www.sec.gov/litigation/admin/2016/34-79601.pdf 3-17070 2016-12-19 Order Making Findings, and Imposing Remedial Sanctions AP Settled 3C Advisors & Associates, Inc. N/A 34-79602 https://www.sec.gov/litigation/admin/2016/34-79602.pdf 3-17070 2016-12-19 Order Making Findings, and Imposing Remedial Sanctions and a Cease and Desist AP Settled Jones, Stephen N/A 34-79603 https://www.sec.gov/rules/sro/batsbyx/2016/34-79603.pdf SR-BATSBYX-2016-41 2016-12-19 Notice / Immediate Effectiveness/to Amend Rule 11.9, Orders and Modifiers, and Rule 11.13, Order Execution and Routing, to Enhance the Exchange?s Midpoint Routing Functionality SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-94440 81-FR-94440 34-79604 https://www.sec.gov/rules/other/2016/34-79604.pdf 2017-4 2016-12-19 Order Determining WhistleBlower Award Claim Orders Redacted N/A 34-79605 https://www.sec.gov/litigation/admin/2016/33-10274.pdf 33-10274 3-15619 2016-12-19 Order Making Findings and Imposing a Cease-and-Desist order AP Settled Doxey, Joseph P. N/A 34-79606 https://www.sec.gov/litigation/admin/2016/34-79606.pdf 3-17737 2016-12-20 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Morgan Stanley & Co. LLC N/A 34-79607 https://www.sec.gov/litigation/admin/2016/34-79607.pdf 3-17739 2016-12-20 Order Instituting Cease-And-Desist Proceedings, Making Findings, and Imposing a Cease-And-Desist Order AP Settled SandRidge Energy, Inc. N/A 34-79608 https://www.sec.gov/rules/sro/chx/2016/34-79608.pdf SR-CHX-2016-16 2016-12-20 Order / Instituting Proceedings to/to Adopt the CHX Liquidity Taking Access Delay SRO Filing Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-95238 81-FR-95238 34-79609 https://www.sec.gov/rules/sro/bx/2016/34-79609.pdf SR-BX-2016-072 2016-12-20 Notice / Immediate Effectiveness/to Delay the Implementation of the Limit Order Protection SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-95241 81-FR-95241 34-79610 https://www.sec.gov/rules/sro/cboe/2016/34-79610.pdf SR-CBOE-2016-090 2016-12-20 Notice / Immediate Effectiveness/Relating to Compression of S&P 500(R) Index Options Positions SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-95219 81-FR-95219 34-79611 https://www.sec.gov/rules/sro/nysemkt/2016/34-79611.pdf SR-NYSEMKT-2016-99 2016-12-20 Notice / Designation of Longer Period for Commission Action to/Amending Rule 104 ? Equities to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-95205 81-FR-95205 34-79612 https://www.sec.gov/rules/sro/nyse/2016/34-79612.pdf SR-NYSE-2016-71 2016-12-20 Notice / Designation of Longer Period for Commission Action/Amending Rule 104 to Delete Subsection (g)(i)(A)(III) Prohibiting Designated Market Makers from Establishing a New High (Low) Price on the Exchange in a Security the DMM has a Long (Short) Position During the Last Ten Minutes Prior to the Close of Trading SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-95205 81-FR-95205 34-79613 https://www.sec.gov/rules/sro/box/2016/34-79613.pdf SR-BOX-2016-50 2016-12-20 Notice / Designation of Longer Period for Commission Action/to Amend Rule 5050 Series of Options Contracts Open for Trading to Provide for the Listing and Trading on the Exchange of RealDayTM Options Pursuant to a Pilot Program SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-95206 81-FR-95206 34-79614 https://www.sec.gov/rules/sro/phlx/2016/34-79614.pdf SR-PHLX-2016-121 2016-12-20 Notice / Immediate Effectiveness/to Amend Rule 3317 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-95206 81-FR-95206 34-79615 https://www.sec.gov/rules/sro/bx/2016/34-79615.pdf SR-BX-2016-069 2016-12-20 Notice / Immediate Effectiveness/to Amend Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-95232 81-FR-95232 34-79616 https://www.sec.gov/rules/sro/nasdaq/2016/34-79616.pdf SR-NASDAQ-2016-171 2016-12-20 Notice / Immediate Effectiveness/to Amend Rule 4770 (Compliance with Regulation NMS Plan to Implement a Tick Size Pilot) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-95243 81-FR-95243 34-79617 https://www.sec.gov/rules/sro/nasdaq/2016/34-79617.pdf SR-NASDAQ-2016-168 2016-12-20 Notice / Immediate Effectiveness/to Amend the Exchange Data Fees at Rule 7052 SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-95213 81-FR-95213 34-79618 https://www.sec.gov/rules/sro/batsbzx/2016/34-79618.pdf SR-BATSBZX-2016-88 2016-12-20 Notice / Immediate Effectiveness/to BZX Rule 14.11(i), Managed Fund Shares, to List Shares of the Cambria Sovereign High Yield Bond ETF and the Cambria Value and Momentum ETFs SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-95252 81-FR-95252 34-79619 https://www.sec.gov/rules/sro/nasdaq/2016/34-79619.pdf SR-NASDAQ-2016-178 2016-12-20 Notice / Immediate Effectiveness/to SQF Ports SRO Filing The NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-95250 81-FR-95250 34-79620 https://www.sec.gov/rules/sro/finra/2016/34-79620.pdf SR-FINRA-2016-046 2016-12-20 Notice / Immediate Effectiveness/Relating to Reporting Transactions in U.S. Treasury Securities to the Trade Reporting and Compliance Engine SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-95247 81-FR-95247 34-79621 https://www.sec.gov/rules/sro/cboe/2016/34-79621.pdf SR-CBOE-2016-089 2016-12-20 Notice / Immediate Effectiveness/to Extend the Credit Option Margin Pilot Program through July 18, 2017 SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/81-FR-95236 81-FR-95236 34-79622 https://www.sec.gov/rules/sro/ise/2016/34-79622.pdf SR-ISE-2016-30 2016-12-20 Notice / Immediate Effectiveness/to Amend ISE Rule 803 at Supplementary Material .02 in Connection with Business Continuity and Disaster Recovery Plans SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-95260 81-FR-95260 34-79623 https://www.sec.gov/rules/sro/batsbyx/2016/34-79623.pdf SR-BATSBYX-2016-39 2016-12-20 Notice / Immediate Effectiveness/to Amend the Market Data Section of its Fee Schedule to Adopt Fees for BYX Summary Depth and Amend Fees for BYX Depth SRO Filing Bats BYX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-95226 81-FR-95226 34-79624 https://www.sec.gov/rules/sro/isemercury/2016/34-79624.pdf SR-ISEMERCURY-2016-24 2016-12-20 Notice / Immediate Effectiveness/to amend ISE Mercury Rule 803 at Supplementary Material .02 in Connection with Business Continuity and Disaster Recovery Plans SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-95211 81-FR-95211 34-79625 https://www.sec.gov/litigation/admin/2016/34-79625.pdf 3-17525 2016-12-20 Order Making Findings, and Imposing Remedial Sanctions AP Settled Milligan, Robert D. N/A 34-79626 https://www.sec.gov/rules/sro/isegemini/2016/34-79626.pdf SR-ISEGEMINI-2016-24 2016-12-20 Notice / Immediate Effectiveness/to Amend Exchange Rules in Connection with Business Continuity and Disaster Recovery Plans Testing Requirements SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-95216 81-FR-95216 34-79627 https://www.sec.gov/litigation/admin/2016/34-79627.pdf 3-17570 2016-12-21 Notice That Initial Decision Has Become Final Notice Medient Studios, Inc. a/k/a Moon River Studios, Inc. N/A 34-79628 https://www.sec.gov/litigation/admin/2016/34-79628.pdf 3-17590 2016-12-21 Notice That Initial Decision Has Become Final Notice Telestone Technologies Corp. US Fuel Corp. Victory Eagle Resources Corp. N/A 34-79629 https://www.sec.gov/litigation/admin/2016/34-79629.pdf 3-17518 2016-12-21 Notice That Initial Decision Has Become Final Notice Multi-Corp. International, Inc. Sky Harvest Energy Corp. N/A 34-79630 https://www.sec.gov/litigation/admin/2016/34-79630.pdf 3-17564 2016-12-21 Notice That Initial Decision Has Become Final Notice Amarillo Mesquite Grill, inc. Global Opportunity Fund LP. Healthrenu Medical, Inc. Hynes & Howes Insurance Counselors, Inc. N/A 34-79631 https://www.sec.gov/litigation/admin/2016/34-79631.pdf 3-17123 2016-12-21 Notice That Initial Decision Has Become Final Notice Ceyoniq AG n/k/a Ceyoniq INC. N/A 34-79632 https://www.sec.gov/litigation/admin/2016/34-79632.pdf 3-17513 2016-12-21 Notice That Initial Decision Has Become Final Notice Fairfield Minerals, Ltd Metal Storm Limited N/A 34-79633 https://www.sec.gov/litigation/admin/2016/34-79633.pdf 3-17543 2016-12-21 Notice That Initial Decision Has Become Final Notice Affordable Green Homes International and TMP Land Mortgage Fund, LTD., a California Limited Partnership N/A 34-79634 https://www.sec.gov/litigation/admin/2016/34-79634.pdf 3-17519 2016-12-21 Notice That Initial Decision Has Become Final Notice Grace Development, Inc. Luxeyard, Inc. N/A 34-79635 https://www.sec.gov/rules/sro/phlx/2016/34-79635.pdf SR-PHLX-2016-124 2016-12-21 Notice / Immediate Effectiveness/to Delay the Implementation of the Limit Order Protection for Members Accessing PSX SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-95657 81-FR-95657 34-79636 https://www.sec.gov/rules/sro/batsbzx/2016/34-79636.pdf SR-BATSBZX-2016-87 2016-12-21 Notice / Immediate Effectiveness/to Amend the Market Data Section of its Fee Schedule to Adopt Fees for BZX Summary Depth and Amend Fees for BZX Depth SRO Filing Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/81-FR-95693 81-FR-95693 34-79637 https://www.sec.gov/rules/sro/nyse/2016/34-79637.pdf SR-NYSE-2016-86 2016-12-21 Notice / Immediate Effectiveness/Amending Rule 123D and the Listed Company Manual SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-95677 81-FR-95677 34-79638 https://www.sec.gov/rules/sro/nyse/2016/34-79638.pdf SR-NYSE-2016-85 2016-12-21 Notice / Immediate Effectiveness/to (1) Change How Orders Would be Processed When the Protected Best Bid (?PBB?) Is Higher Than the Protected Best Offer (?PBO?) (The ?PBBO?) in Certain Circumstances, and (2) Adopt a Limit Order Price Protection Mechanism SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-95658 81-FR-95658 34-79639 https://www.sec.gov/rules/sro/nyse/2016/34-79639.pdf SR-NYSE-2016-88 2016-12-21 Notice / Immediate Effectiveness/to Adopt a Trading License Fee for Calendar Year 2017 SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-95676 81-FR-95676 34-79640 https://www.sec.gov/rules/sro/nysemkt/2016/34-79640.pdf SR-NYSEMKT-2016-117 2016-12-21 Notice / Immediate Effectiveness/to (1) Change How Orders Would Be Processed When the Protected Best Bid (?PBB?) Is Higher Than the Protected Best Offer (?PBO?) (The ?PBBO?) in Certain Circumstances, and (2) Adopt a Limit Order Price Protection Mechanism SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-95699 81-FR-95699 34-79641 https://www.sec.gov/rules/sro/nasdaq/2016/34-79641.pdf SR-NASDAQ-2016-179 2016-12-21 Notice / Immediate Effectiveness/to Delay the Implementation of the Limit Order Protection SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-95703 81-FR-95703 34-79642 https://www.sec.gov/rules/sro/nysemkt/2016/34-79642.pdf SR-NYSEMKT-2016-118 2016-12-21 Notice / Immediate Effectiveness/Amending Rule 123D - Equities and the Listed Company Manual SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-95719 81-FR-95719 34-79643 https://www.sec.gov/rules/sro/ficc-an/2016/34-79643.pdf SR-FICC-2016-801 2016-12-21 Notice / Advance Notice/to Implement a Change to the Methodology Used in the MBSD VaR Model SRO Filing Fixed Income Clearing Corporation http://www.federalregister.gov/citation/81-FR-95669 81-FR-95669 34-79644 https://www.sec.gov/rules/sro/isegemini/2016/34-79644.pdf SR-ISEGEMINI-2016-22 2016-12-21 Notice / Immediate Effectiveness/to Adjust Qualifying Tier Thresholds and Fees and Rebates SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-95710 81-FR-95710 34-79645 https://www.sec.gov/rules/sro/nysemkt/2016/34-79645.pdf SR-NYSEMKT-2016-52 SR-NYSEARCA-2016-103 2016-12-21 Notice / Designation of Longer Period for Commission Action/to Extend the Time Within Which a Member, Member Organization, an ATP Holder, an OTP Holder, or an OTP Firm Must File a Uniform Termination Notice for Securities Industry Registration (?Form U5?) and Any Amendments Thereto SRO Filing NYSE MKT LLC NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-95679 81-FR-95679 34-79646 https://www.sec.gov/rules/sro/box/2016/34-79646.pdf SR-BOX-2016-59 2016-12-21 Notice / Immediate Effectiveness/to Adopt Rule 3220, Disruptive Quoting and Trading Activity Prohibited and Rule 12160, Expedited Suspension Proceeding SRO Filing BOX Options Exchange LLC http://www.federalregister.gov/citation/81-FR-95713 81-FR-95713 34-79647 https://www.sec.gov/alj/aljdec/2016/34-79647.pdf 3-17218 2016-12-21 Notice That Initial Decision Has Become Final Notice Powell, Daniel Christian Stanley N/A 34-79648 https://www.sec.gov/rules/sro/finra/2016/34-79648.pdf SR-FINRA-2016-047 2016-12-21 Notice /to Amend FINRA Rules to conform to the Commission?s Proposed Amendment to Commission Rule 15c6-1(a) and the Industry-led Initiative to Shorten the Standard Settlement Cycle for Most Broker-Dealer Transactions from T+3 to T+2 SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-95705 81-FR-95705 34-79649 https://www.sec.gov/rules/sro/nasdaq/2016/34-79649.pdf SR-NASDAQ-2016-172 2016-12-21 Notice / Immediate Effectiveness/to Modify Administrative Charges for Distributors of Proprietary Data Feed Products SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-95666 81-FR-95666 34-79650 https://www.sec.gov/litigation/admin/2016/34-79650.pdf AAER-3835 3-17742 2016-12-21 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Jack Henry & Associates, Inc. N/A 34-79651 https://www.sec.gov/rules/sro/nysemkt/2016/34-79651.pdf SR-NYSEMKT-2016-121 2016-12-21 Notice / Immediate Effectiveness/Modifying the NYSE Amex Options Fee Schedule SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-95691 81-FR-95691 34-79652 https://www.sec.gov/rules/sro/iex/2016/34-79652.pdf SR-IEX-2016-21 2016-12-21 Notice / Immediate Effectiveness/to Require that an Issuer of Securities Listed under Chapter 16 Notify IEX about Certain Changes to the Index, Portfolio, or Reference Asset Underlying the Security SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-95664 81-FR-95664 34-79653 https://www.sec.gov/litigation/admin/2016/34-79653.pdf 3-17659 2016-12-22 Order Making Findings and Revoking Registration AP Settled Bill the Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A 34-79654 https://www.sec.gov/rules/sro/phlx/2016/34-79654.pdf SR-PHLX-2016-122 2016-12-22 Notice / Immediate Effectiveness/to Modify Administrative Charges for Distributors of Proprietary Data Feed Products SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-96410 81-FR-96410 34-79655 https://www.sec.gov/rules/sro/nscc/2016/34-79655.pdf SR-NSCC-2016-008 2016-12-22 Notice /to Reflect Updates to the Consolidated Trade Summary, Eliminate Re-Pricing in the Foreign Security Accounting Operation and Make Other Changes SRO Filing National Securities Clearing Corporation http://www.federalregister.gov/citation/81-FR-96146 81-FR-96146 34-79656 https://www.sec.gov/litigation/admin/2016/34-79656.pdf 3-17743 2016-12-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated AFN, Inc. Allen Energy Company American Cascade Energy, Inc. Millenia Hope, Inc. (n/k/a Clubs Choice Holdings, Inc.) N/A 34-79657 https://www.sec.gov/litigation/admin/2016/34-79657.pdf 3-17744 2016-12-22 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated PAB Bankshares, Inc. USABG Corp. N/A 34-79658 https://www.sec.gov/rules/sro/nysemkt/2016/34-79658.pdf SR-NYSEMKT-2016-119 2016-12-22 Notice /to Conform to Proposed Amendments to Securities Exchange Act Rule 15c6-1(a) to Shorten the Standard Settlement Cycle from Three Business Days after the Trade Date (?T+3?) to Two Business Days after the Trade Date (?T+2?) SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-96143 81-FR-96143 34-79659 https://www.sec.gov/rules/sro/nyse/2016/34-79659.pdf SR-NYSE-2016-87 2016-12-22 Notice /to Conform to Proposed Amendments to Securities Exchange Act Rule 15c6-1(a) to Shorten the Standard Settlement Cycle from Three Business Days after the Trade Date (?T+3?) to Two Business Days after the Trade Date (?T+2?) SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-96076 81-FR-96076 34-79660 https://www.sec.gov/rules/sro/phlx/2016/34-79660.pdf SR-PHLX-2016-120 2016-12-22 Notice /to Permit Phlx to Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC SRO Filing NASDAQ PHLX LLC http://www.federalregister.gov/citation/81-FR-96060 81-FR-96060 34-79661 https://www.sec.gov/rules/sro/bx/2016/34-79661.pdf SR-BX-2016-068 2016-12-22 Notice /to Permit BX to Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-96100 81-FR-96100 34-79662 https://www.sec.gov/rules/sro/nasdaq/2016/34-79662.pdf SR-NASDAQ-2016-169 2016-12-22 Notice /to Permit The Nasdaq Options Market LLC to Accept Inbound Options Orders Routed by Nasdaq Execution Services LLC SRO Filing Nasdaq Stock Market LLC http://www.federalregister.gov/citation/81-FR-96087 81-FR-96087 34-79663 https://www.sec.gov/rules/sro/isemercury/2016/34-79663.pdf SR-ISEMERCURY-2016-22 2016-12-22 Notice /to Permit Nasdaq Execution Services, LLC to become an Affiliated Member of the Exchange to Perform Certain Routing and Other Functions SRO Filing ISE Mercury, LLC http://www.federalregister.gov/citation/81-FR-96089 81-FR-96089 34-79664 https://www.sec.gov/rules/sro/isegemini/2016/34-79664.pdf SR-ISEGEMINI-2016-16 2016-12-22 Notice /to Permit Nasdaq Execution Services, LLC to become an Affiliated Member of the Exchange to Perform Certain Routing and Other Functions SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-96136 81-FR-96136 34-79665 https://www.sec.gov/rules/sro/ise/2016/34-79665.pdf SR-ISE-2016-27 2016-12-22 Notice /to Amend the Exchange?s Rules Regarding Routing of Orders, Cancellation of Orders, and Handling of Error Positions, and Permit Nasdaq Execution Services, LLC to become an Affiliated Member of the Exchange to Perform Certain Routing and Other Functions SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-96092 81-FR-96092 34-79666 https://www.sec.gov/rules/sro/miax/2016/34-79666.pdf SR-MIAX-2016-47 2016-12-22 Notice / Immediate Effectiveness/to Amend Its Fee Schedule to Modify the Exchange?s Connectivity Fees SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-96133 81-FR-96133 34-79667 https://www.sec.gov/rules/sro/bx/2016/34-79667.pdf SR-BX-2016-071 2016-12-22 Notice / Immediate Effectiveness/to Modify Administrative Charges for Distributors of Proprietary Data Feed Products SRO Filing NASDAQ BX, Inc http://www.federalregister.gov/citation/81-FR-96152 81-FR-96152 34-79668 https://www.sec.gov/litigation/admin/2016/34-79668.pdf AAER-3836 3-17745 2016-12-22 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Saraf, Alok CA N/A 34-79669 https://www.sec.gov/litigation/admin/2016/34-79669.pdf AAER-3837 3-17746 2016-12-22 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Wipro Limited Komandur, Badree ACA Arunachalam, Satish CA N/A 34-79670 https://www.sec.gov/rules/sro/iex/2016/34-79670.pdf SR-IEX-2016-22 2016-12-22 Notice / Immediate Effectiveness/Related to Retention of Jurisdiction Over Members and Persons Associated with Members Upon Termination, Revocation, or Cancellation of Membership or Association Thereof. SRO Filing Investors Exchange LLC http://www.federalregister.gov/citation/81-FR-96074 81-FR-96074 34-79671 https://www.sec.gov/rules/sro/nyse/2016/34-79671.pdf SR-NYSE-2016-90 2016-12-22 Notice /in Connection with the Proposed Acquisition of National Stock Exchange, Inc. by the Exchange?s Parent the NYSE Group, Inc. to Amend Certain Organizational documents of NYSE Group, NYSE Holdings LLC, Intercontinental Exchange Holdings, Inc., and Intercontinental Exchange, Inc SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-96124 81-FR-96124 34-79672 https://www.sec.gov/rules/sro/nysemkt/2016/34-79672.pdf SR-NYSEMKT-2016-63 2016-12-22 Notice / Amendment No./Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-96080 81-FR-96080 34-79673 https://www.sec.gov/rules/sro/nysearca/2016/34-79673.pdf SR-NYSEARCA-2016-89 2016-12-22 Notice / Amendment No./Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-96107 81-FR-96107 34-79674 https://www.sec.gov/rules/sro/nyse/2016/34-79674.pdf SR-NYSE-2016-45 2016-12-22 Notice /Amending the Co-location Services Offered by the Exchange to Add Certain Access and Connectivity Fees SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-96053 81-FR-96053 34-79675 https://www.sec.gov/rules/sro/nysemkt/2016/34-79675.pdf SR-NYSEMKT-2016-122 2016-12-22 Notice /in Connection with the Proposed Acquisition of National Stock Exchange, Inc. by the NYSE Group, Inc. SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/81-FR-96128 81-FR-96128 34-79676 https://www.sec.gov/rules/sro/nyse/2016/34-79676.pdf SR-NYSE-2016-72 2016-12-22 Notice /Amending Its Listing Standards for Special Purpose Acquisition Companies SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/81-FR-96150 81-FR-96150 34-79677 https://www.sec.gov/rules/sro/isegemini/2016/34-79677.pdf SR-ISEGEMINI-2016-17 2016-12-22 Notice /to Amend Various Rules in Connection with a System Migration to Nasdaq INET Technology SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-96114 81-FR-96114 34-79678 https://www.sec.gov/rules/sro/nysearca/2016/34-79678.pdf SR-NYSEARCA-2016-167 2016-12-22 Notice /in Connection with the Proposed Acquisition of National Stock Exchange, Inc. by the Exchange?s Parent the NYSE Group, Inc. to Amend Certain Organizational documents of NYSE Group, NYSE Holdings LLC, Intercontinental Exchange Holdings, Inc., and Intercontinental Exchange, Inc. SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-96102 81-FR-96102 34-79679 https://www.sec.gov/rules/sro/isegemini/2016/34-79679.pdf SR-ISEGEMINI-2016-18 2016-12-22 Notice /to Amend the Opening Process SRO Filing ISE Gemini, LLC http://www.federalregister.gov/citation/81-FR-96062 81-FR-96062 34-79680 https://www.sec.gov/litigation/admin/2016/34-79680.pdf 3-17683 2016-12-23 Order Making Findings and Revoking Registration AP Settled Harvey Westbury Corp. InterCore, Inc. Kalex Corp. N/A 34-79681 https://www.sec.gov/litigation/admin/2016/34-79681.pdf 3-17698 2016-12-23 Order Making Findings and Revoking Registration AP Settled Odyssey Pictures Corporation N/A 34-79682 https://www.sec.gov/rules/sro/finra/2016/34-79682.pdf SR-FINRA-2016-048 2016-12-23 Notice / Immediate Effectiveness/to Eliminate Fees for Historical Trade Data Accessed Through the FINRA ADDS Website SRO Filing Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/81-FR-96530 81-FR-96530 34-79683 https://www.sec.gov/rules/sro/nysearca/2016/34-79683.pdf SR-NYSEARCA-2016-82 2016-12-23 Order/to List and Trade Shares of the JPMorgan Diversified Event Driven ETF under NYSE Arca Equities Rule 8.600 SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/81-FR-96539 81-FR-96539 34-79684 https://www.sec.gov/rules/sro/nsx/2016/34-79684.pdf SR-NSX-2016-16 2016-12-23 Notice /in Connection with the Proposed Acquisition of the Exchange by NYSE Group, Inc. SRO Filing National Stock Exchange, Inc. http://www.federalregister.gov/citation/81-FR-96552 81-FR-96552 34-79685 https://www.sec.gov/rules/sro/miax/2016/34-79685.pdf SR-MIAX-2016-48 2016-12-23 Notice / Immediate Effectiveness/to Amend Its Fee Schedule to Modify the Exchange?s Other Market Participant Transaction Fees SRO Filing Miami International Securities Exchange LLC http://www.federalregister.gov/citation/81-FR-96550 81-FR-96550 34-79686 https://www.sec.gov/rules/sro/ise/2016/34-79686.pdf SR-ISE-2016-31 2016-12-23 Notice /to Amend the Supplementary Material to ISE Rule 1901 SRO Filing International Securities Exchange, LLC http://www.federalregister.gov/citation/81-FR-96532 81-FR-96532 34-79687 https://www.sec.gov/rules/sro/nasdaq/2016/34-79687.pdf SR-NASDAQ-2016-183 2016-12-23 Notice /to Shorten the Settlement Cycle from T+3 to T+2 SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/81-FR-96545 81-FR-96545 34-79688 https://www.sec.gov/rules/sro/nysearca/2016/34-79688.pdf SR-NYSEARCA-2016-170 2016-12-23 Notice / Immediate Effectiveness/Amending NYSE Arca Equities Rules 7.11, 7.31, and 7.34 SRO Filing NYSE Arca, Inc http://www.federalregister.gov/citation/81-FR-96534 81-FR-96534 34-79689 https://www.sec.gov/litigation/admin/2016/34-79689.pdf IA-4593 3-17372 2016-12-23 Order Making Findings, and Imposing Remedial Sanctions AP Settled Nickles, Richard H. Island Trader LLC N/A 34-79690 https://www.sec.gov/rules/sro/bx/2016/34-79690.pdf SR-BX-2016-073 2016-12-23 Notice / Immediate Effectiveness/to Amend the Exchange?s Transaction Fees at Rule 7019 (Market Data Distributor Fees) SRO Filing NASDAQ BX, Inc. http://www.federalregister.gov/citation/81-FR-96527 81-FR-96527 34-79691 https://www.sec.gov/litigation/admin/2016/34-79691.pdf AAER-3838 3-9135 2016-12-27 Order Granting Application for Reinstatement to Appear and Practice Before the Commission as an Accountant Responsible for the Preparation or Review of Financial Statements Required to be Filed with the Commission Orders Greifeld, Philip M. CPA N/A 34-79692 https://www.sec.gov/litigation/admin/2016/34-79692.pdf 3-17747 2016-12-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Rose, Brian C. N/A 34-79693 https://www.sec.gov/litigation/admin/2016/34-79693.pdf 3-17748 2016-12-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated McGregor, Robert S. N/A 34-79694 https://www.sec.gov/litigation/admin/2016/34-79694.pdf 3-17749 2016-12-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Smith, Jason B. N/A 34-79695 https://www.sec.gov/litigation/admin/2016/34-79695.pdf 3-17750 2016-12-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Loveall, Brent A. N/A 34-79696 https://www.sec.gov/rules/sro/cboe/2016/34-79696.pdf SR-CBOE-2016-093 2016-12-27 Notice /to Amend Rule 6.54 SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-173 82-FR-173 34-79697 https://www.sec.gov/rules/sro/cboe/2016/34-79697.pdf SR-CBOE-2016-088 2016-12-27 Notice /Related to the Nullification and Adjustment of Options Transactions SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-167 82-FR-167 34-79698 https://www.sec.gov/litigation/admin/2016/34-79698.pdf AAER-3839 3-17753 2016-12-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Loppert, David A. N/A 34-79699 https://www.sec.gov/rules/sro/batsedga/2016/34-79699.pdf SR-BATSEDGA-2016-32 2016-12-28 Notice / Immediate Effectiveness/to Amend the Market Data Section of its Fee Schedule to Adopt Fees for EDGA Summary Depth and Amend Fees for EDGA Depth SRO Filing Bats EDGA Exchange, Inc. http://www.federalregister.gov/citation/82-FR-892 82-FR-892 34-79700 https://www.sec.gov/litigation/opinions/2016/34-79700.pdf 3-17262 2016-12-28 Opinion Opinions MKM Partners, LLC N/A 34-79701 https://www.sec.gov/rules/sro/nasdaq/2016/34-79701.pdf SR-NASDAQ-2016-175 2016-12-29 Notice / Immediate Effectiveness/to Amend Rule 7022(d) SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-1381 82-FR-1381 34-79702 https://www.sec.gov/litigation/admin/2016/34-79702.pdf AAER-3840 3-17754 2016-12-29 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled General Cable Corporation N/A 34-79703 https://www.sec.gov/litigation/admin/2016/34-79703.pdf 3-17755 2016-12-29 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled General Cable Corporation N/A 34-79704 https://www.sec.gov/litigation/admin/2016/34-79704.pdf 3-17756 2016-12-29 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Zimmer, Karl J. N/A 34-79705 https://www.sec.gov/rules/sro/nysearca/2016/34-79705.pdf SR-NYSEARCA-2016-169 2016-12-29 Notice / Immediate Effectiveness/Amending NYSE Arca Equities Rule 7.35(a)(10)(A) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-1419 82-FR-1419 34-79706 https://www.sec.gov/rules/sro/nasdaq/2016/34-79706.pdf SR-NASDAQ-2016-180 2016-12-29 Notice / Immediate Effectiveness/Relating to the Listing and Trading of the Shares of the First Trust Strategic Income ETF of First Trust Exchange-Traded Fund IV SRO Filing NASDAQ Stock Market LLC http://www.federalregister.gov/citation/82-FR-1390 82-FR-1390 34-79707 https://www.sec.gov/rules/other/2016/34-79707.pdf 600-36 2016-12-29 Order/Granting Application for Registration as a Clearing Agency and Request for Exemptive Relief Orders Banque Centrale de Compensaiton d/b/a LCH SA http://www.federalregister.gov/citation/82-FR-1398 82-FR-1398 34-79708 https://www.sec.gov/litigation/admin/2016/34-79708.pdf 3-17757 2016-12-29 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Calleja, Rafael Antonio Jr. N/A 34-79709 https://www.sec.gov/rules/sro/cboe/2016/34-79709.pdf SR-CBOE-2016-092 2016-12-29 Notice / Immediate Effectiveness/Relating to Fees for the Complex Order Book Data Feed SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-1387 82-FR-1387 34-79710 https://www.sec.gov/rules/sro/nyse/2016/34-79710.pdf SR-NYSE-2016-89 2016-12-29 Notice / Immediate Effectiveness/to Amend its Price List SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-1395 82-FR-1395 34-79711 https://www.sec.gov/rules/sro/c2/2016/34-79711.pdf SR-C2-2016-025 2016-12-29 Notice / Immediate Effectiveness/Relating to Fees for C2 Real-Time Data Feeds SRO Filing C2 Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-1415 82-FR-1415 34-79712 https://www.sec.gov/rules/sro/cboe/2016/34-79712.pdf SR-CBOE-2016-091 2016-12-29 Notice /Related to a Change to the Trading Symbol for P.M.-Settled Options on the Standard & Poor?s 500 Index SRO Filing Chicago Board Options Exchange, Incorporated http://www.federalregister.gov/citation/82-FR-1383 82-FR-1383 34-79713 https://www.sec.gov/rules/sro/nysearca/2016/34-79713.pdf SR-NYSEARCA-2016-166 2016-12-30 Notice / Immediate Effectiveness/Amending NYSE Arca Equities Rule 7.35(d)(4) SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-1772 82-FR-1772 34-79714 https://www.sec.gov/rules/sro/nysearca/2016/34-79714.pdf SR-NYSEARCA-2016-136 2016-12-30 Order/Amending NYSE Arca Equities Rule 7.35 to Provide for Widened Auction Collars for the Core Open Auction on Volatile Trading Days SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-1766 82-FR-1766 34-79715 https://www.sec.gov/rules/sro/nyse/2016/34-79715.pdf SR-NYSE-2016-91 2016-12-30 Notice / Immediate Effectiveness/to Amend the Exchange?s Price List to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange?s Co-Location Services SRO Filing New York Stock Exchange LLC http://www.federalregister.gov/citation/82-FR-1777 82-FR-1777 34-79716 https://www.sec.gov/rules/sro/nysearca/2016/34-79716.pdf SR-NYSEARCA-2016-168 2016-12-30 Notice / Immediate Effectiveness/to Amend the NYSE Arca Options Fee Schedule and the NYSE Arca Equities Schedule of Fees and Charges for Exchange Services to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange's Co-Location Services SRO Filing NYSE Arca, Inc. http://www.federalregister.gov/citation/82-FR-1774 82-FR-1774 34-79717 https://www.sec.gov/rules/sro/nysemkt/2016/34-79717.pdf SR-NYSEMKT-2016-123 2016-12-30 Notice / Immediate Effectiveness/to Amend the NYSE MKT Equities Price List and the NYSE Amex Options Fee Schedule to Modify the Fees Related to Four Bundles of Co-Location Services in Connection with the Exchange's Co-Location Services SRO Filing NYSE MKT LLC http://www.federalregister.gov/citation/82-FR-1767 82-FR-1767 39-2509 https://www.sec.gov/rules/final/2016/33-10071.pdf 33-10071 34-77693 IC-32091 NO FILE NUMBER 2016-04-22 Final rule Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-31501 81-FR-31501 39-2510 https://www.sec.gov/rules/final/2016/33-10095.pdf 33-10095 34-78044 IC-32145 NO FILE NUMBER 2016-06-13 Final Rule Final Rule Adoption of EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-43047 81-FR-43047 39-2511 https://www.sec.gov/rules/other/2016/33-10209.pdf 33-10209 34-78845 IA-4530 IC-32263 S7-21-16 2016-09-15 Publication of list of rules scheduled for review Notice Regulatory Flexibility Act Rule Review List http://www.federalregister.gov/citation/81-FR-64364 81-FR-64364 39-2512 https://www.sec.gov/rules/final/2016/33-10217.pdf 33-10217 34-78883 IC-32269 NO FILE NUMBER 2016-09-20 Final Rule Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-67118 81-FR-67118 39-2513 https://www.sec.gov/rules/final/2016/33-10265.pdf 33-10265 34-79519 IC-32387 2016-12-09 Final Rule Final Rule Revisions to the EDGAR Filer Manual, Volume I and Volume II http://www.federalregister.gov/citation/82-FR-7645 82-FR-7645 AP-3454 https://www.sec.gov/alj/aljorders/2016/ap-3454.pdf 3-16990 2016-01-04 Order Following Prehearing Conference And To Show Cause Order Cadan Resources Corp. Doreal Energy Corp. Geocan Energy Inc. (a/k/a Arsenal Energy Inc.) Consolidated Global Minerals Ltd., N/A AP-3455 https://www.sec.gov/alj/aljorders/2016/ap-3455.pdf 3-16980 2016-01-04 Order Following Prehearing Conference And To Show Cause Order Fox Energy Corp. N/A AP-3456 https://www.sec.gov/alj/aljorders/2016/ap-3456.pdf 3-15382 2016-01-04 Order Extending Deadline Order Cohen, Steven A. N/A AP-3457 https://www.sec.gov/alj/aljorders/2016/ap-3457.pdf 3-17014 2016-01-04 Order Postponing Hearing and Scheduling Prehearing Conference Order Hip Energy Corporation Bravo Resource Partners, Ltd. Starcore International Ventures Ltd. (a/k/a Starcore International Mines Ltd.) First Potash Corp. Musgrove Minerals Corp. N/A AP-3458 https://www.sec.gov/alj/aljorders/2016/ap-3458.pdf 3-16989 2016-01-04 Order to Show Cause Postponing Hearing, and Directing Motion for Sanctions Order Nevatia, Vinay Kumar N/A AP-3459 https://www.sec.gov/alj/aljorders/2016/ap-3459.pdf 3-17026 2016-01-04 Order Postponing Hearing and Scheduling Prehearing Conference Order Easylink Information Technology Co., Ltd. N/A AP-3460 https://www.sec.gov/alj/aljorders/2016/ap-3460.pdf 3-17003 2016-01-04 Postponement Order Order Eichler, Peter J., Jr. N/A AP-3461 https://www.sec.gov/alj/aljorders/2016/ap-3461.pdf 3-17019 2016-01-05 Order Order USChina Venture I, Inc. USChina Venture II, Inc. N/A AP-3462 https://www.sec.gov/alj/aljorders/2016/ap-3462.pdf 3-16729 2016-01-05 Stay Order As To Carlton W. VOGT, III Order Hall, David M. Boyd, Paul W., CPA Vogt, Carlton W., III, CPA Miller Energy Resources, Inc. N/A AP-3463 https://www.sec.gov/alj/aljorders/2016/ap-3463.pdf 3-17007 2016-01-05 Order To Show Cause Order Dome Holding Corp. E-Gold Group, Inc. ESCO, Inc. Fortune Pharmaceutical, Inc. N/A AP-3464 https://www.sec.gov/alj/aljorders/2016/ap-3464.pdf 3-17004 2016-01-05 Order Postponing Hearing And Directing Parties To Hold A Prehearing Conference Order Sellers, Deven Barrera, Roland N/A AP-3465 https://www.sec.gov/alj/aljorders/2016/ap-3465.pdf 3-16509 2016-01-05 Order Order Lux, Lawrence R. Agostini, Luigi Daspin, Edward M, a/ka/ "Edward (Ed) Michael" N/A AP-3466 https://www.sec.gov/alj/aljorders/2016/ap-3466.pdf 3-16972 2016-01-05 Order Amending Procedural Schedule Order Cooper, Brett A. N/A AP-3467 https://www.sec.gov/alj/aljorders/2016/ap-3467.pdf 3-17011 2016-01-05 Order Canceling Hearing And To Show Cause Order Blue Mountain Eco Tours, Inc. N/A AP-3468 https://www.sec.gov/alj/aljorders/2016/ap-3468.pdf 3-17025 2016-01-05 Order Scheduling Prehearing Conference Order Yayi International, Inc. N/A AP-3469 https://www.sec.gov/alj/aljorders/2016/ap-3469.pdf 3-16836 2016-01-05 Order Following Prehearing Conference Order DBA Global Crowdtv, Inc. Blue Coast Banc Muehler, Steven J. Alternative Securities Markets Group Corp. Blue Coast Securities Corp. N/A AP-3470 https://www.sec.gov/alj/aljorders/2016/ap-3470.pdf 3-16509 2016-01-06 Motion to the Commission for Extension Order Agostini,Luigi Daspin, Edward M., a/k/a "Edward (Ed) Michael Lux, Lawrence R. N/A AP-3471 https://www.sec.gov/alj/aljorders/2016/ap-3471.pdf 3-17006 2016-01-06 Order to Show Cause Order Elf Inc. Dewpoint Environmental, Inc. DLR Funding, Inc. First Omega of Louisiana, Inc. Earth Energy Reserves, Inc. Expect the Best, Inc. N/A AP-3472 https://www.sec.gov/alj/aljorders/2016/ap-3472.pdf 3-16386 2016-01-06 Order Denying Post-Hearing Motions Order Cyios Corporation Anderson, Traci J., CPA Carnahan, Timothy W. N/A AP-3473 https://www.sec.gov/alj/aljorders/2016/ap-3473.pdf 3-16755 2016-01-06 Order Following Prehearing Conference Order Ahmed, Fuad Success Trade Securities, Inc. Success Trade, Inc. N/A AP-3474 https://www.sec.gov/alj/aljorders/2016/ap-3474.pdf 3-16463 2016-01-07 Second Order Extending Stay Order Strategic Consulting Advisors, LLC Circle One Wealth Management, LLC Osunkwo, David I. Aegis Capital, LLC Lamm, Diane W. N/A AP-3475 https://www.sec.gov/alj/aljorders/2016/ap-3475.pdf 3-17013 2016-01-07 Order Postponing Hearing and Scheduling Prehearing Conference Order Perres, Allen M. St. Germain, Willard R. N/A AP-3476 https://www.sec.gov/alj/aljorders/2016/ap-3476.pdf 3-17035 2016-01-07 Order Scheduling Hearing and Designating Presiding Judge Order Desai, Shreyans N/A AP-3477 https://www.sec.gov/alj/aljorders/2016/ap-3477.pdf 3-17037 2016-01-07 Order Scheduling Hearing and Designating Presiding Judge Order Palmer, Wayne L. N/A AP-3478 https://www.sec.gov/alj/aljorders/2016/ap-3478.pdf 3-16836 2016-01-07 Order Order Blue Coast Securities Corp., dba GlobalCrowdTV, Inc., and Blue Coast Banc Alternative Securities Markets Group Corp. Muehler, Steven J. N/A AP-3479 https://www.sec.gov/alj/aljorders/2016/ap-3479.pdf 3-17025 2016-01-08 Order To Show Cause Order YAYI International Inc. N/A AP-3480 https://www.sec.gov/alj/aljorders/2016/ap-3480.pdf 3-17027 2016-01-08 Order Postponing Hearing And Scheduling A Prehearing Conference Order Zinn, Kevin I. N/A AP-3481 https://www.sec.gov/alj/aljorders/2016/ap-3481.pdf 3-16509 2016-01-08 Order Following Prehearing Conference Order Lux, Lawrence Daspin, Edward M., a/k/a "Edward (ED) Michael Agostini, Luigi N/A AP-3482 https://www.sec.gov/alj/aljorders/2016/ap-3482.pdf 3-15764 2016-01-11 Order Discharging Order To Show Cause And Denying McDuff's Summary Disposition Motion Order McDuff, Gary L. N/A AP-3483 https://www.sec.gov/alj/aljorders/2016/ap-3483.pdf 3-17038 2016-01-11 Order Scheduling Hearing And Designating Presiding Judge Order Financial Group Connection, Inc. (a/k/a Financial Group Connection, Inc.) Design Products, Inc. Environmental Products & Technologies Corp. (a/k/a Enviro Products & Technologies Corp.) China Holdings Group, Inc. Divia.com, Inc. Four Peaks Group, Inc. N/A AP-3484 https://www.sec.gov/alj/aljorders/2016/ap-3484.pdf 3-17039 2016-01-11 Order Scheduling Hearing And Designating Presiding Judge Order Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.) Dalian Capital Group, Inc. Denver Resources Inc. Corvair Resources Inc. N/A AP-3485 https://www.sec.gov/alj/aljorders/2016/ap-3485.pdf 3-16155 2016-01-11 Order Setting Briefing Schedule On Prehearing Motions Order Rowe, Nicholas N/A AP-3486 https://www.sec.gov/alj/aljorders/2016/ap-3486.pdf 3-17032 2016-01-11 Order Postponing Hearing and Scheduling Prehearing Conference Order Reon Holdings, Inc. Middlesex Inc. Buncombe, Inc. Cotton Bay Holdings, Inc. N/A AP-3487 https://www.sec.gov/alj/aljorders/2016/ap-3487.pdf 3-17015 2016-01-11 Order Order Strike Axe, Inc. Black Castle Development Holdings, Inc. (n/k/a ingXABO Corporation) BioJet Medical Technologies, Inc. Catalyst Resource Group, Inc. SSI International, Ltd. Viper Powersports, Inc. N/A AP-3488 https://www.sec.gov/alj/aljorders/2016/ap-3488.pdf 3-16229 2016-01-11 Order Extending Stay Order Osborn, Gregory N/A AP-3489 https://www.sec.gov/alj/aljorders/2016/ap-3489.pdf 3-16227 2016-01-11 Order Extending Stay Order Middlebury Securities, LLC N/A AP-3490 https://www.sec.gov/alj/aljorders/2016/ap-3490.pdf 3-16228 2016-01-11 Order Extending Stay Order Navagate, Inc. Rorke, Gregory N/A AP-3491 https://www.sec.gov/alj/aljorders/2016/ap-3491.pdf 3-16729 2016-01-11 Order Staying Proceeding and Canceling Hearing Order Hall, David M. N/A AP-3492 https://www.sec.gov/alj/aljorders/2016/ap-3492.pdf 3-17019 2016-01-12 Order To Show Cause Order USChina Venture I, Inc. USChina Venture II, Inc. N/A AP-3493 https://www.sec.gov/alj/aljorders/2016/ap-3493.pdf 3-16978 2016-01-12 Order Following Prehearing Conference Order Afshar, Behruz Afshar, Shahryar Fineline Trading Group LLC Kenny, Richard F., IV Makino Capital LLC N/A AP-3494 https://www.sec.gov/alj/aljorders/2016/ap-3494.pdf 3-16801 2016-01-12 Order Denying Motion to Stay or Dismiss This Proceeding Order Bennett Group Financial Services, LLC Bennett, Dawn J. N/A AP-3495 https://www.sec.gov/alj/aljorders/2016/ap-3495.pdf 3-17013 2016-01-12 Order Following Prehearing Conference Order St. Germain, Willard R. Perres, Allen M. N/A AP-3496 https://www.sec.gov/alj/aljorders/2016/ap-3496.pdf 3-17043 2016-01-12 Order Scheduling Hearing and Designating Presiding Judge Order Crawford, Paul D. N/A AP-3497 https://www.sec.gov/alj/aljorders/2016/ap-3497.pdf 3-17044 2016-01-12 Order Scheduling Hearing And Designating Presiding Judge Order Go Green Smokeless Oil International, Inc. Xian Resources, Ltd. T.O. Entertainment, Inc. (F/K/A IBI Acquisitions, Inc.) N/A AP-3498 https://www.sec.gov/alj/aljorders/2016/ap-3498.pdf 3-17003 2016-01-12 Order to Show Cause Order Eichler, Peter J., Jr. N/A AP-3499 https://www.sec.gov/alj/aljorders/2016/ap-3499.pdf 3-16386 2016-01-12 Notice Order Carnahan, Timothy W. Cyios Corporation Anderson, Traci J., CPA N/A AP-3500 https://www.sec.gov/alj/aljorders/2016/ap-3500.pdf 3-16926 2016-01-13 Prehearing Order AP Litigated Burton, Robert N/A AP-3501 https://www.sec.gov/alj/aljorders/2016/ap-3501.pdf 3-17014 2016-01-13 Order to Show Cause Order Hip Energy Corporation Musgrove Minerals Corp. Bravo Resource Partners, Ltd. Starcore International Ventures Ltd. (a/k/a Starcore International Mines Ltd.) First Potash Corp. N/A AP-3502 https://www.sec.gov/alj/aljorders/2016/ap-3502.pdf 3-16155 2016-01-13 Order Regarding Motion to Compel Order Rowe, Nicholas N/A AP-3503 https://www.sec.gov/alj/aljorders/2016/ap-3503.pdf 3-16883 2016-01-13 Notice Order Innovative Business Solutions, LLC Jacob, Arthur F., CPA N/A AP-3504 https://www.sec.gov/alj/aljorders/2016/ap-3504.pdf 3-16755 2016-01-13 Order Order Success Trade, Inc. Success Trade Securities, Inc. Ahmed, Fuad N/A AP-3505 https://www.sec.gov/alj/aljorders/2016/ap-3505.pdf 3-16155 2016-01-14 Order Regarding Testimonial Subpoenas Order Rowe, Nicholas N/A AP-3506 https://www.sec.gov/alj/aljorders/2016/ap-3506.pdf 3-17033 2016-01-14 Order Postponing Hearing, to Show Cause, and Scheduling Prehearing Conference Order DE Acquisition 7, Inc. DE Acquisition 12, Inc. DE Acquisition 8, Inc. DE Acquisition 9, Inc. DE Acquisition 10, Inc. N/A AP-3507 https://www.sec.gov/alj/aljorders/2016/ap-3507.pdf 3-16801 2016-01-14 Order on Witness List Order Bennett, Dawn J. Bennett Group Financial Services, LLC N/A AP-3508 https://www.sec.gov/alj/aljorders/2016/ap-3508.pdf 3-16509 2016-01-14 Order Staying Proceeding Order Agostini, Luigi Lux, Lawrence R. Daspin, Edward, M., a/k/a "Edward (ED) Michael N/A AP-3509 https://www.sec.gov/alj/aljorders/2016/ap-3509.pdf 3-17042 2016-01-14 Order Scheduling Hearing And Designating Presiding Judge Order DC Brands International, Inc. N/A AP-3510 https://www.sec.gov/alj/aljorders/2016/ap-3510.pdf 3-17049 2016-01-14 Order Scheduling Hearing And Designating Presiding Judge Order RAHFCO Management Group, LLC N/A AP-3511 https://www.sec.gov/alj/aljorders/2016/ap-3511.pdf 3-17050 2016-01-14 Order Scheduling Hearing And Designating Presiding Judge Order Hudson Capital Partners Corporation N/A AP-3512 https://www.sec.gov/alj/aljorders/2016/ap-3512.pdf 3-16734 2016-01-14 Order Sealing Exhibits Order Bussanich, George, JR. N/A AP-3513 https://www.sec.gov/alj/aljorders/2016/ap-3513.pdf 3-17028 2016-01-15 Order to Show Cause Postponing Hearing and Scheduling Prehearing Conference Order Zhong Wen International Holding Co., Ltd. N/A AP-3514 https://www.sec.gov/alj/aljorders/2016/ap-3514.pdf 3-16795 2016-01-15 Order Requesting Supplemental Briefing Order Fox, Joseph J. N/A AP-3515 https://www.sec.gov/alj/aljorders/2016/ap-3515.pdf 3-17029 2016-01-15 Order Postponing Hearing Order Changda International Holdings, Inc. N/A AP-3516 https://www.sec.gov/alj/aljorders/2016/ap-3516.pdf 3-17030 2016-01-15 Postponement Order Order USA Graphite, Inc. N/A AP-3517 https://www.sec.gov/alj/aljorders/2016/ap-3517.pdf 3-17031 2016-01-15 Postponement Order Order China Domestica Bio-Technology Holdings, Inc. N/A AP-3518 https://www.sec.gov/alj/aljorders/2016/ap-3518.pdf 3-17011 2016-01-19 Order Finding Respondent In Default and Directing Motion For Sanctions Order Blue Mountain Eco Tours, Inc. N/A AP-3519 https://www.sec.gov/alj/aljorders/2016/ap-3519.pdf 3-17014 2016-01-19 Order Following Prehearing Conference Order Bravo Resource Partners, Ltd Starcore International Ventures Ltd (A/K/A Starcore International Ventures Ltd) Musgrove Minerals Corp. First Potash Corp. Hip Energy Corporation N/A AP-3520 https://www.sec.gov/alj/aljorders/2016/ap-3520.pdf 3-17015 2016-01-19 Order to Show Cause Order Bioject Medical Technologies, Inc. Strike Axe, Inc. Black Castle Developments Holdings, Inc. (n/k/a ingXabo Corporation) SSI International, Ltd. Catalyst Resource Group, Inc. Viper Powersports, Inc. N/A AP-3521 https://www.sec.gov/alj/aljorders/2016/ap-3521.pdf 3-16991 2016-01-19 Order To Show Cause Following Prehearing Conference And Setting Dates For Motion As To Lazare Kaplan International, Inc. Order Lazare Kaplan International, Inc. Downer's GAP, Inc. (A/K/A Downers Gap, Inc.) DST Media, Inc. N/A AP-3522 https://www.sec.gov/alj/aljorders/2016/ap-3522.pdf 3-17038 2016-01-20 Order Postponing Hearing and Scheduling Prehearing Conference Order Four Peaks Group, Inc. Environmental Products & Technologies Corp. (a/k/a Enviro Products & Technologies Corp.) China Holdings Group, Inc. Financial Group Connection, Inc. (a/k/a Financial Group Connection, Inc.) Design Products, Inc. Divia.com, Inc. N/A AP-3523 https://www.sec.gov/alj/aljorders/2016/ap-3523.pdf 3-16155 2016-01-20 Order on Prehearing Motions Order Rowe, Nicholas N/A AP-3524 https://www.sec.gov/alj/aljorders/2016/ap-3524.pdf 3-17039 2016-01-20 Order Postponing Hearing and Scheduling Prehearing Conference Order Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.) Denver Resources, Inc. Corvair Resources Inc. Dalian Capital Group, Inc. N/A AP-3525 https://www.sec.gov/alj/aljorders/2016/ap-3525.pdf 3-17032 2016-01-21 Order To Show Cause And Rescheduling PreHearing Conference Order Middlesex Inc. Cotton Bay Holdings, Inc. Reon Holdings, Inc. Buncombe, Inc. N/A AP-3526 https://www.sec.gov/alj/aljorders/2016/ap-3526.pdf 3-17037 2016-01-21 Order Postponing Hearing And Scheduling Prehearing Conference Order Palmer, Wayne L. N/A AP-3527 https://www.sec.gov/alj/aljorders/2016/ap-3527.pdf 3-16949 2016-01-21 Prehearing Order Order Shah, Sandip N/A AP-3528 https://www.sec.gov/alj/aljorders/2016/ap-3528.pdf 3-16836 2016-01-21 Order Denying Respondents' Motion for Summary Disposition Order Blue Coast Securities Corp. dba GlobalCrowDTV, Inc. Blue Coast Banc Muehler, Steven J. Alternative Securitie Markets Group Corp. N/A AP-3529 https://www.sec.gov/alj/aljorders/2016/ap-3529.pdf 3-16801 2016-01-21 Order Postponing Hearing Order Bennett, Dawn J. Bennet Group financial Services, LLC N/A AP-3530 https://www.sec.gov/alj/aljorders/2016/ap-3530.pdf 3-16836 2016-01-21 Scheduling Order Order Blue Coast Banc Blue Cost Securities Corp. Alternative Securities Markets Group Corp. DBA GlobalCrowdTV, Inc. Muehler, Steven J. N/A AP-3531 https://www.sec.gov/alj/aljorders/2016/ap-3531.pdf 3-16755 2016-01-21 Post-Hearing Order Order Success Trade, Inc. Fuad Ahmed Success Trade Securities, Inc. N/A AP-3532 https://www.sec.gov/alj/aljorders/2016/ap-3532.pdf 3-16509 2016-01-22 Order / Sealing Hearing and Setting Hearing Location Order Lux, Lawrence R. Agostini, Luigi Daspin, Edward M. N/A AP-3533 https://www.sec.gov/alj/aljorders/2016/ap-3533.pdf 3-16836 2016-01-22 Order Denying Respondents' Motion to Quash Order Alternatives Securities Markets Group Corp. Muehler, Steven J. Blue Coast Securities Corp., DBA Globalcrowdtv, Inc and Blue Coast Banc N/A AP-3534 https://www.sec.gov/alj/aljorders/2016/ap-3534.pdf 3-17035 2016-01-27 Order Postponing Hearing Order Desai, Shreyans N/A AP-3535 https://www.sec.gov/alj/aljorders/2016/ap-3535.pdf 3-16594 2016-01-27 Order Order Equity Trust Company N/A AP-3536 https://www.sec.gov/alj/aljorders/2016/ap-3536.pdf 3-17025 2016-01-27 Order Rescheduling Prehearing Conference Order Yayi International, Inc. N/A AP-3537 https://www.sec.gov/alj/aljorders/2016/ap-3537.pdf 3-16155 2016-01-27 Stay Order Order Rowe, Nicholas N/A AP-3538 https://www.sec.gov/alj/aljorders/2016/ap-3538.pdf 3-17043 2016-01-27 Order Postponing Hearing And Directing Parties to Hold A Prehearing Conference Order Crawford, Paul D. N/A AP-3539 https://www.sec.gov/alj/aljorders/2016/ap-3539.pdf 3-16509 2016-01-27 Order Scheduling Prehearing Conference Order Agostini, Luigi Lux, Lawrence R. Daspin, Edward M., a/k/a Edward (Ed) Michael N/A AP-3540 https://www.sec.gov/alj/aljorders/2016/ap-3540.pdf 3-17044 2016-01-28 Order to Show Cause and Postponing Hearing Order Go Green Smokeless Oil International, Inc. T.O Entertainment, Inc. (F/K/A) IBI Aquisition, Inc.), And Xlan Resources,LTD. N/A AP-3541 https://www.sec.gov/alj/aljorders/2016/ap-3541.pdf 3-17030 2016-01-28 Order to Show Cause Order USA Graphite, Inc. N/A AP-3542 https://www.sec.gov/alj/aljorders/2016/ap-3542.pdf 3-17027 2016-01-28 Stay Order Order Zinn, Kevin I. N/A AP-3543 https://www.sec.gov/alj/aljorders/2016/ap-3543.pdf 3-17061 2016-01-28 Order Scheduling Hearing and Designating Presiding Judge Order China Ticket Center, Inc. New Century Energy Corp. Dawn Capital Corp. Nanotailor, Inc. Vadda Energy Corp. N/A AP-3544 https://www.sec.gov/alj/aljorders/2016/ap-3544.pdf 3-17063 2016-01-28 Order Scheduling Hearing and Designating Presiding Judge Order Daytona Systems, Inc. Equitel, Inc. N/A AP-3545 https://www.sec.gov/alj/aljorders/2016/ap-3545.pdf 3-17064 2016-01-28 Order Scheduling Hearing and Designating Presiding Judge Order 99 Cent Stuff, Inc., Bizzingo, Inc., Clicker, Inc., Incentra Solutions, Inc., Maxray Optical Technology Co. Ltd., And Peer Review Mediation & Arbitration, Inc. N/A AP-3546 https://www.sec.gov/alj/aljorders/2016/ap-3546.pdf 3-17065 2016-01-28 Order Scheduling Hearing And Designating Presiding Judge Order Vicor Technologies, Inc. Oldwebsites.com, Inc. RPHL Acquisition, Corp. (a/k/a Rockport Healthcare Group, Inc.) The Brainy Brands Company, Inc. U.S. Helicopter Corporation Therabiogen, Inc. N/A AP-3547 https://www.sec.gov/alj/aljorders/2016/ap-3547.pdf 3-17004 2016-01-28 Order Scheduling Prehearing Conference And Setting Briefing Schedule Order Sellers, Deven Barrera, Roland N/A AP-3548 https://www.sec.gov/alj/aljorders/2016/ap-3548.pdf 3-17042 2016-01-28 Order To Show Cause, Postponing Hearing, And Scheduling Prehearing Conference Order DC Brands International, Inc. N/A AP-3549 https://www.sec.gov/alj/aljorders/2016/ap-3549.pdf 3-16836 2016-01-29 Protective Order Re Confidential Material Order Blue Coast Securities Corp., DBA Muehler, Steven J. Blue Coast Banc Alternative Securities Markets Group Corp. N/A AP-3550 https://www.sec.gov/alj/aljorders/2016/ap-3550.pdf 3-16978 2016-01-29 General Prehearing Order and Schedule Order Afshar, Behruz Fineline Trading Group LLC Kenny, Richard F., IV Makino Capital LLC Afshar, Shahryar N/A AP-3551 https://www.sec.gov/alj/aljorders/2016/ap-3551.pdf 3-17039 2016-01-29 Order to Show Cause Order Denver Resources, Inc. Cinema Internet Networks Inc. (A/K/A Quentin Ventures Ltd.) Dalian Capital Group, Inc. Corvair Resources Inc. N/A AP-3552 https://www.sec.gov/alj/aljorders/2016/ap-3552.pdf 3-16803 2016-01-29 Order Order Kara, Maher F. N/A AP-3553 https://www.sec.gov/alj/aljorders/2016/ap-3553.pdf 3-17003 2016-01-29 Prehearing Order Order Eichler, Peter J. N/A AP-3554 https://www.sec.gov/alj/aljorders/2016/ap-3554.pdf 3-16734 2016-01-29 Order Regarding Exhibit 2 Order Bussanich, George, JR. N/A AP-3555 https://www.sec.gov/alj/aljorders/2016/ap-3555.pdf 3-17067 2016-01-29 Order Scheduling Hearing And Designating Presiding Judge Order Malik, Moazzam "Mark" N/A AP-3556 https://www.sec.gov/alj/aljorders/2016/ap-3556.pdf 3-17073 2016-01-29 Order Scheduling Hearing and Designating Presiding Judge Order Engenyous Technologies, Inc. Gifts of Learning Foundation, Inc. Equitex 2000, Inc. Diversified Health & Fitness, Inc. N/A AP-3557 https://www.sec.gov/alj/aljorders/2016/ap-3557.pdf 3-17068 2016-01-29 Order Scheduling Hearing and Designating Presiding Judge Order Renaldi, Salvatore N/A AP-3558 https://www.sec.gov/alj/aljorders/2016/ap-3558.pdf 3-17070 2016-01-29 Order Scheduling Hearing and Designating Presiding Judge Order Prolman, David 3C Advisors & Associates, Inc. Jones, Stephen N/A AP-3559 https://www.sec.gov/alj/aljorders/2016/ap-3559.pdf 3-17020 2016-01-29 Order Scheduling Hearing and Designating Presiding Judge Order Dalmy, Diane E., Esq. N/A AP-3560 https://www.sec.gov/alj/aljorders/2016/ap-3560.pdf 3-17074 2016-02-01 Order Scheduling Hearing and Designating Presiding Judge Order Eight-Eight Acquisition Corp. I Eight-Eight Acquisition Corp. II Eight-Eight Acquisition Corp. III N/A AP-3561 https://www.sec.gov/alj/aljorders/2016/ap-3561.pdf 3-16801 2016-02-01 Post-Hearing Order Order Bennett, Dawn J. Bennett Group Financial Services, LLC N/A AP-3562 https://www.sec.gov/alj/aljorders/2016/ap-3562.pdf 3-16893 2016-02-01 Order Scheduling Prehearing Conference Order Evans, James A., Jr. N/A AP-3563 https://www.sec.gov/alj/aljorders/2016/ap-3563.pdf 3-17061 2016-02-01 Order Postponing Hearing and Scheduling Prehearing Conference Order Nanotailor, Inc. China Ticket Center, Inc. Vadda Energy Corp. Dawn Capital Corp. New Century Energy Corp. N/A AP-3564 https://www.sec.gov/alj/aljorders/2016/ap-3564.pdf 3-16509 2016-02-01 Order Following Prehearing Conference Order Daspin, Edward M., a/k/a "Edward (Ed) Michael" Agostini, Luigi Lux, Lawrence R. N/A AP-3565 https://www.sec.gov/alj/aljorders/2016/ap-3565.pdf 3-16989 2016-02-01 Order Directing Supplemental Briefing Order Nevatia, Vinay Kumar N/A AP-3566 https://www.sec.gov/alj/aljorders/2016/ap-3566.pdf 3-17020 2016-02-02 Order Scheduling Prehearing Conference Order Dalmy, Diane D., Esq. N/A AP-3567 https://www.sec.gov/alj/aljorders/2016/ap-3567.pdf 3-16836 2016-02-02 Order Order Muehler, Steven J. Blue Coast Banc Blue Coast Securities Corp. (dba GlobalCrowdTV, Inc.) Alternative Securities Markets Group Corp. N/A AP-3568 https://www.sec.gov/alj/aljorders/2016/ap-3568.pdf 3-16991 2016-02-02 Stay Order Order Lazare Kaplan International, Inc. N/A AP-3569 https://www.sec.gov/alj/aljorders/2016/ap-3569.pdf 3-17081 2016-02-02 Order Scheduling Hearing and Designating Presiding Judge Order Simplayer.Com Ltd. Six Diamond Resorts International RSL Communications Ltd. Zimtu Technologies, Inc. N/A AP-3570 https://www.sec.gov/alj/aljorders/2016/ap-3570.pdf 3-17038 2016-02-02 Order To Show Cause Order Environmental Products & Technologies Corp. (a/k/a Enviro Products & Technologies Corp.) Design Products, Inc. Four Peaks Group Inc. Divia.com, Inc. Financial Group Connection, Inc. (a/k/a Financial Group Connection, Inc.) (The) China Holdings Group, Inc. N/A AP-3571 https://www.sec.gov/alj/aljorders/2016/ap-3571.pdf 3-16893 2016-02-03 Order Following Prehearing Conference And Extending Deadline For Filing Motion for Sanctions Order Evans, James A., Jr. N/A AP-3572 https://www.sec.gov/alj/aljorders/2016/ap-3572.pdf 3-17082 2016-02-03 Order Scheduling Hearing And Designating Presiding Judge Order Helionetics, Inc. Seiler Pollution Control Systems, Inc. DCI Telecommunications, Inc. LDP-III, A California Limited Partnership. Lyric International, Inc. Mortgage Bancfund of America II, L.P. (The) Q-Net Technologies, Inc. N/A AP-3573 https://www.sec.gov/alj/aljorders/2016/ap-3573.pdf 3-17083 2016-02-03 Order Scheduling Hearing and Designating Presiding Judge Order Beckman, Jason Bo-Alan N/A AP-3574 https://www.sec.gov/alj/aljorders/2016/ap-3574.pdf 3-17026 2016-02-03 Order Following Prehearing Conference Order Easylink Information Technology Co., Ltd. N/A AP-3575 https://www.sec.gov/alj/aljorders/2016/ap-3575.pdf 3-17037 2016-02-04 Order to Show Cause Order Palmer, Wayne L. N/A AP-3576 https://www.sec.gov/alj/aljorders/2016/ap-3576.pdf 3-16949 2016-02-04 Prehearing Order Order Shah, Sandip N/A AP-3577 https://www.sec.gov/alj/aljorders/2016/ap-3577.pdf 3-17004 2016-02-04 Order Following Prehearing Conference Order Sellers, Deven Barrera, Roland N/A AP-3578 https://www.sec.gov/alj/aljorders/2016/ap-3578.pdf 3-17033 2016-02-05 Stay Order Order DE Acquisition 8, Inc. DE Acquisition 9, Inc. DE Acquisition 10, Inc. DE Acquisition 12, Inc. DE Acquisition 7, Inc. N/A AP-3579 https://www.sec.gov/alj/aljorders/2016/ap-3579.pdf 3-17050 2016-02-05 Order Postponing Hearing Order Hudson Capital Partners Corporation N/A AP-3580 https://www.sec.gov/alj/aljorders/2016/ap-3580.pdf 3-17102 2016-02-08 Order Scheduling Hearing and Designating Presiding Judge Order Kingly Chateau Corp. Bailey Frances Corp. Lucy's Water World, Inc. N/A AP-3581 https://www.sec.gov/alj/aljorders/2016/ap-3581.pdf 3-17103 2016-02-08 Order Scheduling Hearing and Designating Presiding Judge Order WNC Housing Tax Credit Fund VI, L.P, Series 12 China Renewable Reconstruction Materials, Inc. CBC Acquisition Corp. 1 Whoopass Poker Corp. N/A AP-3582 https://www.sec.gov/alj/aljorders/2016/ap-3582.pdf 3-16914 2016-02-08 Order Order Litwok, Evelyn N/A AP-3583 https://www.sec.gov/alj/aljorders/2016/ap-3583.pdf 3-16978 2016-02-08 Order Setting Briefing Schedule Order Fineline Trading Group LLC Afshar, Behruz Mankino Capital LLC Afshar, Shahrya Kenny, Richard F., IV N/A AP-3584 https://www.sec.gov/alj/aljorders/2016/ap-3584.pdf 3-16883 2016-02-08 Stay Order Order Innovative Business Solutions, LLC Jacob, Arthur F., CPA N/A AP-3585 https://www.sec.gov/alj/aljorders/2016/ap-3585.pdf 3-17064 2016-02-08 Order Postponing Hearing And Scheduling Prehearing Conference Order Incentra Solutions, Inc. Peer Review Mediation & Arbitration, Inc. Clicker, Inc. Bizzingo, Inc. 99 Cents Stuff, Inc. Maxray Optical Technology Co. Ltd. N/A AP-3586 https://www.sec.gov/alj/aljorders/2016/ap-3586.pdf 3-16509 2016-02-09 Order Order Daspin, Edward M., a/k/a "Edward (Ed) Michael" Lux, Lawrence R. Agostini, Luigi N/A AP-3587 https://www.sec.gov/alj/aljorders/2016/ap-3587.pdf 3-17102 2016-02-09 Order Postponing Hearing and Scheduling Prehearing Conference Order Kingly Chateau Corp. Bailey Frances Corp. Lucy's Water World, Inc. N/A AP-3588 https://www.sec.gov/alj/aljorders/2016/ap-3588.pdf 3-16801 2016-02-09 Order Granting Motion to Admit Johnston Testimony Order Bennet, Dawn J. Bennett Group Financial Services, LLC N/A AP-3589 https://www.sec.gov/alj/aljorders/2016/ap-3589.pdf 3-17068 2016-02-09 Order Postponing Hearing Order Renaldi, Salvatore N/A AP-3590 https://www.sec.gov/alj/aljorders/2016/ap-3590.pdf 3-16836 2016-02-09 Order Order Alternative Securities Markets Group Corp. Blue Coast Banc Blue Coast Securities Corp. dba GlobalCrowdTV, Inc. Muehler, Steven J. N/A AP-3591 https://www.sec.gov/alj/aljorders/2016/ap-3591.pdf 3-17104 2016-02-10 Order Scheduling Hearing and Designating Presiding Judge Order Whelan, Andrew J. Bioelectronics Corp. Whelan, Kelly A., CPA Bedwell, Robert P., CPA IBEX, LLC St. John's, LLC N/A AP-3592 https://www.sec.gov/alj/aljorders/2016/ap-3592.pdf 3-17037 2016-02-10 Order Following Prehearing Conference Order Palmer, Wayne L. N/A AP-3593 https://www.sec.gov/alj/aljorders/2016/ap-3593.pdf 3-17042 2016-02-10 Order Following Prehearing Conference Order DC Brands International, Inc. N/A AP-3594 https://www.sec.gov/alj/aljorders/2016/ap-3594.pdf 3-16509 2016-02-10 Order Order Agostini, Luigi Lux, Lawrence R. Daspin, Edward M., a/k/a "Edward (ED) Michael" N/A AP-3595 https://www.sec.gov/alj/aljorders/2016/ap-3595.pdf 3-17065 2016-02-10 Order Postponing Hearing and Scheduling Prehearing Conference Order RPHL Acquisition Corp. (a/k/a Rockport Healthcare Group, Inc.) Oldwebsites.com, Inc. Vicor Technologies, Inc. U.S. Helicopter Corporation Therabiogen, Inc. Brainy Brands Company, Inc. (The) N/A AP-3596 https://www.sec.gov/alj/aljorders/2016/ap-3596.pdf 3-17103 2016-02-10 Order Postponing Hearing and Scheduling Prehearing Conference Order China Renewable Construction Materials, Inc. CBC Acquisition Corp. 1 Whoopass Poker Corp. WNC Housing Tax Credit Fund VI, L.P., Series 12 N/A AP-3597 https://www.sec.gov/alj/aljorders/2016/ap-3597.pdf 3-16509 2016-02-10 Order Order Daspin, Edward M., a/k/a "Edward (Ed) Michael" Lux, Lawrence R. Agostini, Luigi N/A AP-3598 https://www.sec.gov/alj/aljorders/2016/ap-3598.pdf 3-17049 2016-02-10 Postponement Order Order RAHFCO Management Group, LLC N/A AP-3599 https://www.sec.gov/alj/aljorders/2016/ap-3599.pdf 3-17110 2016-02-11 Order Scheduling Hearing and Designating Presiding Judge Order EMO Corp. Electric Moto Corp. Disaster Preparedness Systems, Inc. N/A AP-3600 https://www.sec.gov/alj/aljorders/2016/ap-3600.pdf 3-17043 2016-02-11 Order Setting Summary Deposition Schedule Order Crawford, Paul D. N/A AP-3601 https://www.sec.gov/alj/aljorders/2016/ap-3601.pdf 3-15967 2016-02-11 Order Directing Record Index Corrections Order Lawrence M. Labine N/A AP-3602 https://www.sec.gov/alj/aljorders/2016/ap-3602.pdf 3-17082 2016-02-11 Order Postponing Hearing and Scheduling Prehearing Conference Order Mortgage Bancfund of America II, L.P., The Lyric International, Inc. DCI Telecommunications, Inc. Q-Net Technologies, Inc. Helionetics, Inc. LDP-III, A California Limited Partnership Seiler Pollution Control Systems, Inc. N/A AP-3603 https://www.sec.gov/alj/aljorders/2016/ap-3603.pdf 3-17035 2016-02-11 Order Setting Prehearing Conference Date Order Desai, Shreyans N/A AP-3604 https://www.sec.gov/alj/aljorders/2016/ap-3604.pdf 3-17112 2016-02-12 Order Scheduling Hearing and Designating Presiding Judge Order Suen, Miranda, CPA Frazer Frost, LLP Woo, Susan, CPA N/A AP-3605 https://www.sec.gov/alj/aljorders/2016/ap-3605.pdf 3-17063 2016-02-12 Order to Show Cause, Postponing Hearing, and Scheduling Prehearing Conference Order Equitel, Inc. Daytona Systems, Inc. N/A AP-3606 https://www.sec.gov/alj/aljorders/2016/ap-3606.pdf 3-16509 2016-02-16 Order to Show Cause Order Lux, Lawrence R. Agostini, Luigi Daspin, Edward M., a/k/a "Edward (Ed) Michael" N/A AP-3607 https://www.sec.gov/alj/aljorders/2016/ap-3607.pdf 3-17020 2016-02-16 Order Following Prehearing Conference Order Dalmy, Diane D., Esq. N/A AP-3608 https://www.sec.gov/alj/aljorders/2016/ap-3608.pdf 3-17074 2016-02-17 Order to Show Cause and Postponement Order Order Eight-Eight Acquistion Corp. II Eight-Eight Acquistion Corp. III N/A AP-3609 https://www.sec.gov/alj/aljorders/2016/ap-3609.pdf 3-16712 2016-02-17 Order Order Charsonville, Gilles T. N/A AP-3610 https://www.sec.gov/alj/aljorders/2016/ap-3610.pdf 3-17073 2016-02-17 Order to Show Cause and Postponement Order Order Gifts of Learning Foundation, Inc. Diversified Health & Fitness, Inc. Equitex 2000, Inc. Engenyous Technologies, Inc. N/A AP-3611 https://www.sec.gov/alj/aljorders/2016/ap-3611.pdf 3-17064 2016-02-17 Order to Show Cause Order Maxray Optical Technology Co. Ltd. Peer Review Mediation & Arbitration, Inc. Incentra Solutions, Inc. 99 Cent Stuff, Inc. Clicker, Inc. Bizzingo, Inc. N/A AP-3612 https://www.sec.gov/alj/aljorders/2016/ap-3612.pdf 3-17114 2016-02-17 Order Scheduling Hearing and Designating Presiding Judge Order Shelby Acquisition I, Inc. (n/k/a Phoenix Capital Source, Inc.) Western Hemisphere Investments Corporation Shelby Acquistion III, Inc. US Wats Inc. Whirlwind Marketing, Inc. Shearson Financial Network, Inc. Shelby Acquisition IV, Inc. ShelbyAcquisition ll, Inc. N/A AP-3613 https://www.sec.gov/alj/aljorders/2016/ap-3613.pdf 3-17115 2016-02-17 Order Scheduling Hearing and Designating Presiding Judge Order Schooler, Louis V. N/A AP-3614 https://www.sec.gov/alj/aljorders/2016/ap-3614.pdf 3-17116 2016-02-17 Order Scheduling Hearing and Designating Presiding Judge Order Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.) China Rongxin Chemical Holding Group, Inc. N/A AP-3615 https://www.sec.gov/alj/aljorders/2016/ap-3615.pdf 3-17117 2016-02-17 Order Scheduling Hearing and Designating Presiding Judge Order Merrick, Gregory L. N/A AP-3616 https://www.sec.gov/alj/aljorders/2016/ap-3616.pdf 3-17050 2016-02-17 Order Order Hudson Capital Partners Corporation N/A AP-3617 https://www.sec.gov/alj/aljorders/2016/ap-3617.pdf 3-17061 2016-02-17 Order Following Prehearing Conference and to Show Cause Order Vadda Energy Corp. China Ticket Center, Inc. Dawn Capital Corp. Nanotailor, Inc. New Century Energy Corp. N/A AP-3618 https://www.sec.gov/alj/aljorders/2016/ap-3618.pdf 3-15764 2016-02-17 Order Scheduling Prehearing Conference Order McDuff, Gary L. N/A AP-3619 https://www.sec.gov/alj/aljorders/2016/ap-3619.pdf 3-16836 2016-02-17 Order Following Prehearing Conference Order Blue Coast Securities Corp. dba GlobalCrowdTV, Inc. Alternative Securities Markets Group Corp. Muehler, Steven J. Blue Coast Banc N/A AP-3620 https://www.sec.gov/alj/aljorders/2016/ap-3620.pdf 3-17113 2016-02-18 Order Scheduling Hearing and Designating Presiding Judge Order Xtreme Healthcare Corporation Zylorain, Inc. Wentworth VIII, Inc. Wentworth V, Inc. Wentworth IV, Inc. Wentworth VI, Inc. White Horse Resources, Inc. Wentworth VII, Inc. N/A AP-3621 https://www.sec.gov/alj/aljorders/2016/ap-3621.pdf 3-17067 2016-02-18 Postponement Order Order Malik, Moazzam "Mark" N/A AP-3622 https://www.sec.gov/alj/aljorders/2016/ap-3622.pdf 3-17070 2016-02-18 Order Postponing Hearing and Scheduling Prehearing Conference Order Jones, Stephen Prolman, David 3C Advisors & Associates, Inc. N/A AP-3623 https://www.sec.gov/alj/aljorders/2016/ap-3623.pdf 3-17065 2016-02-18 Order to Show Cause Order Oldwebsites.com, Inc. RPHL Acquisition Corp. (A/K/A Rockport Healthcare Group, Inc.) The Brainy Brands Company, Inc. Therabiogen, Inc. U.S. Helicopter Corporation Vicor Technologies, Inc. N/A AP-3624 https://www.sec.gov/alj/aljorders/2016/ap-3624.pdf 3-17081 2016-02-18 Order Postponing Hearing and Scheduling Prehearing Conference Order Zimtu Technologies, Inc. Six Diamond Resorts International RSL Communications Ltd. Simplayer.com Ltd. N/A AP-3625 https://www.sec.gov/alj/aljorders/2016/ap-3625.pdf 3-17112 2016-02-18 Order Postponing Hearing and Scheduling Prehearing Conference Order Frazer Frost, LLP Woo, Susan, CPA Suen, Miranda, CPA N/A AP-3626 https://www.sec.gov/alj/aljorders/2016/ap-3626.pdf 3-16836 2016-02-19 Order as to Koorosh Rahimi Order Blue Coast Banc Alternative Securities Markets Group Corp. Muehler, Steve J. Blue Coast Securities Corp. dba GlobalCrowdTV, Inc. N/A AP-3627 https://www.sec.gov/alj/aljorders/2016/ap-3627.pdf 3-16978 2016-02-19 Order Granting in Part Respondents' Motion for Additional Discovery and Issuance of Subpoenas Order Kenny, Richard F., IV Makino Capital LLC Afshar, Behruz Afshar, Shahryar Fineline Trading Group LLC N/A AP-3628 https://www.sec.gov/alj/aljorders/2016/ap-3628.pdf 3-17122 2016-02-19 Order Scheduling Hearing and Designating Presiding Judge Order North Pacific Geopower Corp. Digiblue Media, Inc. Morgain Minerals Inc. New World Batteries, Inc. Northern Canadian Uranium Inc. (F/K/A Northern Canadian Minerals Inc.) N/A AP-3629 https://www.sec.gov/alj/aljorders/2016/ap-3629.pdf 3-17123 2016-02-19 Order Scheduling Hearing and Designating Presiding Judge Order Market Data Consultants, Inc. NU Energy Inc. Mid-AM Systems, Inc. Ceyoniq AG (n/k/a Ceyoniq, Inc.) Mentergy Ltd. (a/k/a Gilat Communications Ltd.) N/A AP-3630 https://www.sec.gov/alj/aljorders/2016/ap-3630.pdf 3-17102 2016-02-22 Order to Show Cause Order Bailey Frances Corp. Lucy's Water World, Inc. Kingly Chateau Corp. N/A AP-3631 https://www.sec.gov/alj/aljorders/2016/ap-3631.pdf 3-17035 2016-02-22 Order Following Prehearing Conference Order Desai, Shreyans N/A AP-3632 https://www.sec.gov/alj/aljorders/2016/ap-3632.pdf 3-15764 2016-02-22 Order Following Prehearing Conference Order McDuff, Gary L. N/A AP-3633 https://www.sec.gov/alj/aljorders/2016/ap-3633.pdf 3-17070 2016-02-22 Order Order Jones, Stephen 3C Advisors & Associates, Inc. Prolman, David N/A AP-3634 https://www.sec.gov/alj/aljorders/2016/ap-3634.pdf 3-17083 2016-02-23 Stay Order Order Beckman, Jason Bo-Alan N/A AP-3635 https://www.sec.gov/alj/aljorders/2016/ap-3635.pdf 3-17082 2016-02-23 Order to Show Cause Order Q-Net Technologies, Inc. LDP-III, A California Limited Paratnership Mortgage BancFund of America II, L.P. (The) Helionetics, Inc. Lyric International, Inc. DCI Telecommunications, Inc. Seiler Pollution Control Systems, Inc. N/A AP-3636 https://www.sec.gov/alj/aljorders/2016/ap-3636.pdf 3-17026 2016-02-23 Order Order Easylink Information Technology Co., Ltd. N/A AP-3637 https://www.sec.gov/alj/aljorders/2016/ap-3637.pdf 3-17114 2016-02-24 Order Postponing Hearing and Scheduling Prehearing Conference Order Shelby Acquisition I, Inc. (n/k/a Phoenix Capital Source, Inc.) Shelby Acquisition IV, Inc. Shelby Acquisition II, Inc. Western Hemisphere Investments Corporation Shearson Financial Network, Inc. Shelby Acquisition III, Inc. US Wats, Inc. Whirlwind Marketing, Inc. N/A AP-3638 https://www.sec.gov/alj/aljorders/2016/ap-3638.pdf 3-16008 2016-02-24 Order Canceling Prehearing Conference Order Crucible Capital Group, Inc. Moore, Charles N/A AP-3639 https://www.sec.gov/alj/aljorders/2016/ap-3639.pdf 3-17081 2016-02-24 Order to Show Cause Order Zimtu Technologies, Inc. RSL Communications Ltd. Simplayer.com Ltd. Six Diamond Resorts International N/A AP-3640 https://www.sec.gov/alj/aljorders/2016/ap-3640.pdf 3-17104 2016-02-24 Order Redesignating Presiding Judge Order Bioelectronics Corp. Ibex, LLC Whelan, Andrew J. Whelan, Kelly A., CPA St. John's, LLC Bedwell, Robert P., CPA N/A AP-3641 https://www.sec.gov/alj/aljorders/2016/ap-3641.pdf 3-17049 2016-02-24 Order Order RAHFCO Management Group, LLC N/A AP-3642 https://www.sec.gov/alj/aljorders/2016/ap-3642.pdf 3-17103 2016-02-24 Order to Show Cause Order China renewable Constructin Materials, Inc. Whoopass Poker Corp. WNC Housing Tax Credit Fund VI, L.P., Series 12 CBC Acquisition Corp. 1 N/A AP-3643 https://www.sec.gov/alj/aljorders/2016/ap-3643.pdf 3-17104 2016-02-25 Order Order Bedwell, Robert P., CPA Bioelectronics Corp. Ibex, LLC Whelan, Andrew J. Whelan, Kelly A., CPA St. John's, LLC N/A AP-3644 https://www.sec.gov/alj/aljorders/2016/ap-3644.pdf 3-17115 2016-02-25 Order Order Schooler, Louis V. N/A AP-3645 https://www.sec.gov/alj/aljorders/2016/ap-3645.pdf 3-17126 2016-02-25 Order Scheduling Hearing and Designating Presiding Judge Order Maiher, Jason N/A AP-3646 https://www.sec.gov/alj/aljorders/2016/ap-3646.pdf 3-17131 2016-02-26 Order Scheduling Hearing and Designating Presiding Judge Order Lopez, Mark A. N/A AP-3647 https://www.sec.gov/alj/aljorders/2016/ap-3647.pdf 3-17132 2016-02-26 Order Scheduling Hearing and Designating Presiding Judge Order Infrastructure International, Inc. N/A AP-3648 https://www.sec.gov/alj/aljorders/2016/ap-3648.pdf 3-17133 2016-02-26 Order Scheduling Hearing and Designating Presiding Judge Order Bonamour, Inc. Texstar Oil Corporation N/A AP-3649 https://www.sec.gov/alj/aljorders/2016/ap-3649.pdf 3-17112 2016-02-26 Protective Order Order Woo, Susan, CPA Frazer Frost, LLP Suen, Miranda, CPA N/A AP-3650 https://www.sec.gov/alj/aljorders/2016/ap-3650.pdf 3-16946 2016-02-26 Order Granting Respondent's Motion for Leave to File a Surreply Order Price, George Charles Cody N/A AP-3651 https://www.sec.gov/alj/aljorders/2016/ap-3651.pdf 3-17135 2016-02-26 Order Scheduling Hearing and Designating Presiding Judge Order DE ACQUISITION 5, INC. DE ACQUISITION 11, INC. GIMMEABID.COM, INC. (A/K/A GIMMEABID COM INC.) N/A AP-3652 https://www.sec.gov/alj/aljorders/2016/ap-3652.pdf 3-17136 2016-02-26 Order Scheduling Hearing and Designating Presiding Judge Order GARDEN BAY INTERNATIONAL, LTD. CHARDAN CHINA ACQUISITION CORP. N/A AP-3653 https://www.sec.gov/alj/aljorders/2016/ap-3653.pdf 3-16463 2016-02-29 Order Lifting Stay Order Circle One Wealth Management, LLC Aegis Capital, LLC Osunkwo, David I. Lamm, Diane W. Strategic Consulting Advisors, LLC N/A AP-3654 https://www.sec.gov/alj/aljorders/2016/ap-3654.pdf 3-15764 2016-02-29 Order Regarding Clarification Request Order McDuff, Gary L. N/A AP-3655 https://www.sec.gov/alj/aljorders/2016/ap-3655.pdf 3-17116 2016-03-01 Order Postponing Hearing and Scheduling Prehearing Conference Order China Rongxin Chemical Holding Group, Inc. VES Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.) N/A AP-3656 https://www.sec.gov/alj/aljorders/2016/ap-3656.pdf 3-16801 2016-03-01 Order on Rule 235 Motion Order Bennett, Dawn J. Bennett Group Financial Services, LLC N/A AP-3657 https://www.sec.gov/alj/aljorders/2016/ap-3657.pdf 3-16949 2016-03-01 Prehearing Order Order Shah, Sandip N/A AP-3658 https://www.sec.gov/alj/aljorders/2016/ap-3658.pdf 3-16836 2016-03-01 Stay Order Order Blue Coast Securities Corp. Muehler, Steven J. Blue Coast Banc aba GlobalCrowdTV, Inc. Alternative Securities Markets Group Corp. N/A AP-3659 https://www.sec.gov/alj/aljorders/2016/ap-3659.pdf 3-17110 2016-03-01 Order Postponing Hearing and Scheduling Prehearing Conference Order Disaster Preparedness Systems, Inc. Emo Corp. Electric Moto Corp. N/A AP-3660 https://www.sec.gov/alj/aljorders/2016/ap-3660.pdf 3-17136 2016-03-01 Order Postponing Hearing and Scheduling Prehearing Conference Order Garden Bay International, Ltd Chardan China Acquisition Corp. N/A AP-3661 https://www.sec.gov/alj/aljorders/2016/ap-3661.pdf 3-17026 2016-03-02 Order to Show Cause Order Easylink Information Technology Co., Ltd. N/A AP-3662 https://www.sec.gov/alj/aljorders/2016/ap-3662.pdf 3-16989 2016-03-02 Order Regarding Supplemental Briefing Order Nevatia, Vinay Kumar N/A AP-3663 https://www.sec.gov/alj/aljorders/2016/ap-3663.pdf 3-16463 2016-03-02 Order Order Lamm, Diane W. Circle One Wealth Management, LLC Osunkwo, David I. Aegis Capital, LLC Strategic Consulting Advisors, LLC N/A AP-3664 https://www.sec.gov/alj/aljorders/2016/ap-3664.pdf 3-17126 2016-03-02 Order Postponing Hearing and Rescheduling Prehearing Conference Order Maiher, Jason N/A AP-3665 https://www.sec.gov/alj/aljorders/2016/ap-3665.pdf 3-17146 2016-03-03 Order Postponing Hearing and Designating Presiding Judge Order Rey, Janice D. N/A AP-3666 https://www.sec.gov/alj/aljorders/2016/ap-3666.pdf 3-17147 2016-03-03 Order Postponing Hearing and Designating Presiding Judge Order McLean, Devon C. N/A AP-3667 https://www.sec.gov/alj/aljorders/2016/ap-3667.pdf 3-17144 2016-03-03 Order Scheduling Hearing and Designating Presiding Judge Order Map IV Acquisition, Inc. Millennium Direct, Inc. Med-Zone Biotechnologies Acquisition, Inc. N/A AP-3668 https://www.sec.gov/alj/aljorders/2016/ap-3668.pdf 3-17149 2016-03-03 Order Scheduling Hearing and Designating Presiding Judge Order Elsinore Capital II, Ltd. EPS Solutions Corp. Free DA Connection Systems, Inc. (a/k/a Free DA Connection Services, Inc. a/k/a Earthshine International Ltd.) N/A AP-3669 https://www.sec.gov/alj/aljorders/2016/ap-3669.pdf 3-17117 2016-03-03 Postponement Order Order Merrick, Gregory L. N/A AP-3670 https://www.sec.gov/alj/aljorders/2016/ap-3670.pdf 3-17050 2016-03-03 Order to Show Cause Order Hudson Capital Partners Corporation N/A AP-3671 https://www.sec.gov/alj/aljorders/2016/ap-3671.pdf 3-17122 2016-03-04 Order Postponing Hearing and Scheduling Prehearing Conference Order Northern Canadian Uranium Inc. (F/K/A Northern Canadian Minerals Inc.) North Pacific Geopower Corp. Morgain Minerals Inc. New World Batteries, Inc. Digiblue Media, Inc. N/A AP-3672 https://www.sec.gov/alj/aljorders/2016/ap-3672.pdf 3-17068 2016-03-04 Order Scheduling Prehearing Conference Order Renaldi, Salvatore N/A AP-3673 https://www.sec.gov/alj/aljorders/2016/ap-3673.pdf 3-16989 2016-03-04 Order Granting Motion to Extend Deadline for Supplemental Order Nevatia, Vinay Kumar N/A AP-3674 https://www.sec.gov/alj/aljorders/2016/ap-3674.pdf 3-17151 2016-03-04 Order Scheduling Hearing and Designating Presiding Judge Order Vanport Acquisition I, Corp. Reid, Joseph Denard (a/k/a Reid Joseph Denard) Westview Acquisition Corp. Wisdom Holdings, Inc. Shared 1, Inc. Wi-Net Communications, Inc. Youngheart Production Holding Co., Inc. Yang Holding Company N/A AP-3675 https://www.sec.gov/alj/aljorders/2016/ap-3675.pdf 3-17135 2016-03-04 Order Postponing Hearing and Scheduling Prehearing Conference Order DE Acquisition 5, Inc. Gimmeabid.com.Inc. (a/k/a Gimmeabid Com Inc.) DE Acquisition 11, Inc. N/A AP-3676 https://www.sec.gov/alj/aljorders/2016/ap-3676.pdf 3-17113 2016-03-07 Order Postponing Hearing Order Wentworth VII, Inc. White Horse Resources, Inc. Wentworth VIII, Inc. Wentworth V, Inc. Wentworth IV, Inc. Wentworth VI, Inc. Zylorain, Inc. Xtreme Healthcare Corporation N/A AP-3677 https://www.sec.gov/alj/aljorders/2016/ap-3677.pdf 3-17149 2016-03-07 Order Postponing Hearing and Scheduling PreHearing Conference Order Free DA Connection Systems, Inc. (A/K/A Free DA Connection Services, Inc., A/K/A Earthshine International Ltd.) EPS Solutions Corp. Elsinor Capital II, Ltd. N/A AP-3678 https://www.sec.gov/alj/aljorders/2016/ap-3678.pdf 3-17104 2016-03-07 Order Scheduling Prehearing Conference Order IBEX, LLC Bedwell, Robert P., CPA Bioelectronics Corp. Whelan, Kelly A., CPA Whelan, Andrew J. St. John's LLC N/A AP-3679 https://www.sec.gov/alj/aljorders/2016/ap-3679.pdf 3-16228 2016-03-07 Order Extending Stay Order Rorke, Gregory Navagate, Inc. N/A AP-3680 https://www.sec.gov/alj/aljorders/2016/ap-3680.pdf 3-16227 2016-03-07 Order Extending Stay Order Middlebury Securities, LLC N/A AP-3681 https://www.sec.gov/alj/aljorders/2016/ap-3681.pdf 3-16229 2016-03-07 Order Extending Stay Order Osborn, Gregory N/A AP-3682 https://www.sec.gov/alj/aljorders/2016/ap-3682.pdf 3-17114 2016-03-07 Order to Show Cause Order US Wats Inc. Shelby Acquisition I, Inc. (n/k/a Phoenix Capital Source, Inc.) Shelby Acquisition III, Inc Shelby Acquisition II, Inc. Shelby Acquisition IV, Inc Western Hemisphere Investments Corporation Shearson Financial Network, Inc. Whirlwind Marketing, Inc. N/A AP-3683 https://www.sec.gov/alj/aljorders/2016/ap-3683.pdf 3-16509 2016-03-08 Order Finding Respondent Edward M. Daspin in Default Order Daspin, Edward M., a/k/a "Edward (ED) Michael" N/A AP-3684 https://www.sec.gov/alj/aljorders/2016/ap-3684.pdf 3-17070 2016-03-08 Order Following Prehearing Conference Order 3C Advisors & Associates, Inc. Jones, Stephen Prolman, David N/A AP-3685 https://www.sec.gov/alj/aljorders/2016/ap-3685.pdf 3-17070 2016-03-08 Protective Order Order Jones, Stephen 3C Advisors & Associates, Inc. Prolman, David N/A AP-3686 https://www.sec.gov/alj/aljorders/2016/ap-3686.pdf 3-17049 2016-03-08 Order Order RAHFCO Management Group, LLC N/A AP-3687 https://www.sec.gov/alj/aljorders/2016/ap-3687.pdf 3-17157 2016-03-09 Order Scheduling Hearing and Designating Presiding Judge Order EquityStar Capital Management, LLC Zoernack, Steven N/A AP-3688 https://www.sec.gov/alj/aljorders/2016/ap-3688.pdf 3-17116 2016-03-09 Order to Show Cause and Rescheduling Prehearing Conference Order Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.), N/A AP-3689 https://www.sec.gov/alj/aljorders/2016/ap-3689.pdf 3-17133 2016-03-09 Order Postponing Hearing and Directing the Parties to Hold an Initial Prehearing Conference Order Texstar Oil Corporation Bonamour, Inc. N/A AP-3690 https://www.sec.gov/alj/aljorders/2016/ap-3690.pdf 3-17160 2016-03-10 Order Scheduling Hearing and Designating Presiding Judge Order Geo Global Group Ltd. (F/K/A Geo Genesis Group, Ltd.) N/A AP-3691 https://www.sec.gov/alj/aljorders/2016/ap-3691.pdf 3-16949 2016-03-10 Scheduling Order Order Shah, Sandip N/A AP-3692 https://www.sec.gov/alj/aljorders/2016/ap-3692.pdf 3-16463 2016-03-10 Order Following Prehearing Conference Order Lamm, Diane W. Osunkwo, David I. Aegis Capital, LLC Circle One Wealth Management, LLC Strategic Consulting Advisors, LLC N/A AP-3693 https://www.sec.gov/alj/aljorders/2016/ap-3693.pdf 3-17131 2016-03-10 Order Postponing Hearing and Scheduling Prehearing Conference Order Lopez, Mark A. N/A AP-3694 https://www.sec.gov/alj/aljorders/2016/ap-3694.pdf 3-17132 2016-03-10 Postponement Order Order Infrastructure International, Inc. N/A AP-3695 https://www.sec.gov/alj/aljorders/2016/ap-3695.pdf 3-17146 2016-03-10 Order Postponing Hearing and Scheduling Prehearing Conference Order Rey, Janice D. N/A AP-3696 https://www.sec.gov/alj/aljorders/2016/ap-3696.pdf 3-17147 2016-03-10 Order Postponing Hearing and Scheduling Prehearing Conference Order McLean, Devon C. N/A AP-3697 https://www.sec.gov/alj/aljorders/2016/ap-3697.pdf 3-17123 2016-03-10 Order Postponing Hearing and Scheduling Prehearing Conference Order Ceyoniq AG (n/k/a Ceyoniq, Inc.) Mentergy Ltd. (a/k/a Gilat Communications Ltd.) Mid-AM Systems, Inc. Market Data Consultants, Inc. Nu Energy Inc. N/A AP-3698 https://www.sec.gov/alj/aljorders/2016/ap-3698.pdf 3-16972 2016-03-11 Order to Show Cause Order Cooper, Brett A. N/A AP-3699 https://www.sec.gov/alj/aljorders/2016/ap-3699.pdf 3-17067 2016-03-11 Stay Order Order Malik, Moazzam "Mark" N/A AP-3700 https://www.sec.gov/alj/aljorders/2016/ap-3700.pdf 3-16594 2016-03-11 Motion to Commission for Extension Notice Equity Trust Company N/A AP-3701 https://www.sec.gov/alj/aljorders/2016/ap-3701.pdf 3-17136 2016-03-14 Order to Show Cause Order Chardan China Acquisition Corp. Garden Bay International, Ltd. N/A AP-3702 https://www.sec.gov/alj/aljorders/2016/ap-3702.pdf 3-16712 2016-03-14 Order Order De Charsonville, Gilles T. N/A AP-3703 https://www.sec.gov/alj/aljorders/2016/ap-3703.pdf 3-17122 2016-03-14 Order to Show Cause Order New World Batteries, Inc. Morgain Minerals Inc. North Pacific Geopower Corp. Northern Canadian Uranium Inc. (f/k/a Northern Canadian Minerals Inc.) Digiblue Media, Inc. N/A AP-3704 https://www.sec.gov/alj/aljorders/2016/ap-3704.pdf 3-17144 2016-03-15 Order Postponing Hearing and Scheduling Prehearing Conference Order Map IV Acquisition, Inc. Millennium Direct, Inc. Med-Zone Biotechnologies Acquisition, Inc. N/A AP-3705 https://www.sec.gov/alj/aljorders/2016/ap-3705.pdf 3-17050 2016-03-15 Stay Order Order Hudson Capital Partners Corporation N/A AP-3706 https://www.sec.gov/alj/aljorders/2016/ap-3706.pdf 3-17004 2016-03-15 Order Order Sellers, Deven Barrera, Roland N/A AP-3707 https://www.sec.gov/alj/aljorders/2016/ap-3707.pdf 3-17104 2016-03-15 Scheduling and General Prehearing Order Order Bedwell, Robert P., CPA Ibex, LLC Bioelectronics Corp. Whelan, Andrew J. Whelan, Kelly A., CPA St. John's, LLC N/A AP-3708 https://www.sec.gov/alj/aljorders/2016/ap-3708.pdf 3-16318 2016-03-15 Order Granting the Division's Motion to Correct a Manifest Error of Fact Order Corsair Group, Inc. Clug, Alexandre S. Crow, Michael W. Panam Terra, Inc. Aurum Mining, LLC N/A AP-3709 https://www.sec.gov/alj/aljorders/2016/ap-3709.pdf 3-17135 2016-03-15 Order to Show Cause Order DE Acquisition 11, Inc. DE Acquisition 5, Inc. GimmeABid.com, Inc. (a/k/a GimmeABid Com Inc.) N/A AP-3710 https://www.sec.gov/alj/aljorders/2016/ap-3710.pdf 3-17004 2016-03-15 Order Order Barrera, Roland Sellers, Deven N/A AP-3711 https://www.sec.gov/alj/aljorders/2016/ap-3711.pdf 3-16795 2016-03-16 Order Denying Motion for Summary Disposition without Prejudice and Scheduling Prehearing Conference Order Fox, Joseph J. N/A AP-3712 https://www.sec.gov/alj/aljorders/2016/ap-3712.pdf 3-17151 2016-03-16 Order Postponing Hearing and Scheduling Prehearing Conference Order Reid, Joseph Denard (A/K/A Reid Joseph Denard) Vanport Acquisition I, Corp. Wi-Net Communications Inc. Yang Holding Company, Inc. Shared 1, Inc. Westview Acquisition Corp. Wisdom Holdings, Inc. Youngheart Production Holding Co, Inc. N/A AP-3713 https://www.sec.gov/alj/aljorders/2016/ap-3713.pdf 3-16509 2016-03-16 Order Denying Motion to Set Aside Default and Setting Motion for Sanctions Schedule Order Agostini, Luigi Lux, Lawrence R. Daspin, Edward M., a/k/a "Edward (ED) Michael" N/A AP-3714 https://www.sec.gov/alj/aljorders/2016/ap-3714.pdf 3-16978 2016-03-16 Notice to Parties of Hearing Location Notice Fineline Trading Group LLC Afshar, Behruz Afshar, Shahryar Kenny, Richard F., IV Makino Capital LLC N/A AP-3715 https://www.sec.gov/alj/aljorders/2016/ap-3715.pdf 3-17112 2016-03-16 Order Following Prehearing Conference and Setting Procedural Schedule Order Suen, Miranda, CPA Frazer Frost, LLP Woo, Susan, CPA N/A AP-3716 https://www.sec.gov/alj/aljorders/2016/ap-3716.pdf 3-17115 2016-03-16 Order Order Schooler, Louis V. N/A AP-3717 https://www.sec.gov/alj/aljorders/2016/ap-3717.pdf 3-16893 2016-03-16 Order Denying Motion for Sanctions Without Prejudice and Scheduling Prehearing Conference Order Evans, James A., Jr. N/A AP-3718 https://www.sec.gov/alj/aljorders/2016/ap-3718.pdf 3-17172 2016-03-17 Order Scheduling Hearing and Designating Presiding Judge Order Clare, Barry B. N/A AP-3719 https://www.sec.gov/alj/aljorders/2016/ap-3719.pdf 3-17116 2016-03-17 Order to Show Cause as to Second Respondent Order China Rongxin Chemical Holding Group, Inc. N/A AP-3720 https://www.sec.gov/alj/aljorders/2016/ap-3720.pdf 3-17004 2016-03-17 Order Granting Motion for Extension Order Sellers, Deven Barrera, Roland N/A AP-3721 https://www.sec.gov/alj/aljorders/2016/ap-3721.pdf 3-16978 2016-03-18 Order Granting Respondents' Agreed Motion for Extension of Time ot File Expert Reports Order Afshar, Behruz Kenny, Richard F., IV Afshar, Shahryar Fineline Trading Group LLC Makino Capital LLC N/A AP-3722 https://www.sec.gov/alj/aljorders/2016/ap-3722.pdf 3-17175 2016-03-21 Order Scheduling Hearing and Designating Presiding Judge Order Metamorphix Inc. Concertsbyu.com INC. Freedom Bancshares, Inc. N/A AP-3723 https://www.sec.gov/alj/aljorders/2016/ap-3723.pdf 3-17149 2016-03-21 Order to Show Cause Order EPS Solutions Corp. FRee DA Connection Systems, Inc.(a/k/a Free DA Connection Services, Inc., a/k/a Earthshine International Ltd.) Elsinore Capital II, Ltd. N/A AP-3724 https://www.sec.gov/alj/aljorders/2016/ap-3724.pdf 3-16509 2016-03-21 Order on Transcript Corrections Order Daspin, Edward M., a/k/a "Edward (Ed) Michael" Lux, Lawrence R. Agostini, Luigi N/A AP-3725 https://www.sec.gov/alj/aljorders/2016/ap-3725.pdf 3-17117 2016-03-21 Order to Show Cause and Postponement Order Order Merrick, Gregory L. N/A AP-3726 https://www.sec.gov/alj/aljorders/2016/ap-3726.pdf 3-17131 2016-03-22 Order Following Prehearing Conference Order Lopez, Mark N/A AP-3727 https://www.sec.gov/alj/aljorders/2016/ap-3727.pdf 3-17147 2016-03-22 Order Following Prehearing Conference and Staying Proceeding Order McLean, Devon C. N/A AP-3728 https://www.sec.gov/alj/aljorders/2016/ap-3728.pdf 3-16893 2016-03-22 Order Following Prehearing Conference Order Evans, James A., JR. N/A AP-3729 https://www.sec.gov/alj/aljorders/2016/ap-3729.pdf 3-17110 2016-03-22 Order to Show Cause Order Electric Moto Corp. Disaster Preparedness Systems, Inc. Emo Corp N/A AP-3730 https://www.sec.gov/alj/aljorders/2016/ap-3730.pdf 3-17146 2016-03-23 Order Following Prehearing Conference Order Rey, Janice D. N/A AP-3731 https://www.sec.gov/alj/aljorders/2016/ap-3731.pdf 3-17160 2016-03-24 Order Order Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) N/A AP-3732 https://www.sec.gov/alj/aljorders/2016/ap-3732.pdf 3-17144 2016-03-24 Order to Show Cause Order Med-Zone Biotechnologies Acquisition, Inc. Map IV Acquisition, Inc. Millennium Direct, Inc. N/A AP-3733 https://www.sec.gov/alj/aljorders/2016/ap-3733.pdf 3-17112 2016-03-24 Order Designating Settlement ALJ and Scheduling Confidential Settlement Conference Order Frazer Frost, LLP Woo, Susan, CPA Suen, Miranda, CPA N/A AP-3734 https://www.sec.gov/alj/aljorders/2016/ap-3734.pdf 3-17083 2016-03-24 Order Order Beckman, Jason Bo-Alan N/A AP-3735 https://www.sec.gov/alj/aljorders/2016/ap-3735.pdf 3-17151 2016-03-24 Order Following Prehearing Conference and to Show Cause Order Youngheart Productin Holding Co., Inc. Shared 1, Inc. Vanport Acquisition I, Corp. Wisdom Holdings, Inc. Reid, Joseph Denard (a/k/a Reid Joseph Denard) Yang Holding Company Wi-Net Communications Inc. Westview Acquisition Corp. N/A AP-3736 https://www.sec.gov/alj/aljorders/2016/ap-3736.pdf 3-17136 2016-03-25 Order Finding Respondents in Default and Canceling Prehearing Conference Order Garden Bay International, Ltd. Chardan China Acquisition Corp. N/A AP-3737 https://www.sec.gov/alj/aljorders/2016/ap-3737.pdf 3-17003 2016-03-25 Prehearing Order Order Eichler, Peter J., JR N/A AP-3738 https://www.sec.gov/alj/aljorders/2016/ap-3738.pdf 3-16228 2016-03-25 Order Extending Stay Order Navagate, Inc. Rorke, Gregory N/A AP-3739 https://www.sec.gov/alj/aljorders/2016/ap-3739.pdf 3-16229 2016-03-25 Order Extending Stay Order Osborn, Gregory N/A AP-3740 https://www.sec.gov/alj/aljorders/2016/ap-3740.pdf 3-16227 2016-03-25 Order Extending Stay Order Middlebury Securities, LLC N/A AP-3741 https://www.sec.gov/alj/aljorders/2016/ap-3741.pdf 3-17180 2016-03-28 Order Scheduling Hearing and Designating Presiding Judge Order Berman, Elliot R., CPA Berman & Company, P.A. N/A AP-3742 https://www.sec.gov/alj/aljorders/2016/ap-3742.pdf 3-17160 2016-03-28 Order Postponing Prehearing Conference Order Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) N/A AP-3743 https://www.sec.gov/alj/aljorders/2016/ap-3743.pdf 3-17146 2016-03-28 Order Scheduling Second Prehearing Conference Order Rey, Janice D. N/A AP-3744 https://www.sec.gov/alj/aljorders/2016/ap-3744.pdf 3-17049 2016-03-29 Order Order RAHFCO Management Group, LLC N/A AP-3745 https://www.sec.gov/alj/aljorders/2016/ap-3745.pdf 3-16560 2016-03-29 Stay Order Order Quigley, William N/A AP-3746 https://www.sec.gov/alj/aljorders/2016/ap-3746.pdf 3-16978 2016-03-30 Order Denying Respondents' Motion for Summary Disposition Order Fineline Trading Group LLC Afshar, Shahryar Afshar, Behruz Makino Capital LLC Kenny, Richard F., IV N/A AP-3747 https://www.sec.gov/alj/aljorders/2016/ap-3747.pdf 3-17123 2016-03-30 Order to Show Cause Order Mentergy Ltd. (A/K/A Gilat Communications Ltd.) Market Data Consultants, Inc. Mid-AM Systems, Inc. NU Energy Inc. N/A AP-3748 https://www.sec.gov/alj/aljorders/2016/ap-3748.pdf 3-17175 2016-03-30 Order Postponing Hearing and Scheduling Prehearing Conference Order Concertsbyu.com, Inc. Freedom Bancshares, Inc. Metamorphix Inc. N/A AP-3749 https://www.sec.gov/alj/aljorders/2016/ap-3749.pdf 3-17172 2016-03-30 Order Postponing Hearing and Scheduling Prehearing Conference Order Clare, Barry B. N/A AP-3750 https://www.sec.gov/alj/aljorders/2016/ap-3750.pdf 3-17133 2016-03-30 Order Setting Summary Disposition Schedule Order Bonamour, Inc. TexStar Oil Corporation N/A AP-3751 https://www.sec.gov/alj/aljorders/2016/ap-3751.pdf 3-17070 2016-03-31 Scheduling and General Prehearing Order Order 3C Advisors & Associates, Inc. Prolman, David Jones, Stephen N/A AP-3752 https://www.sec.gov/alj/aljorders/2016/ap-3752.pdf 3-17126 2016-03-31 Scheduling Order Order Maiher, Jason N/A AP-3753 https://www.sec.gov/alj/aljorders/2016/ap-3753.pdf 3-17068 2016-03-31 Order Following Prehearing Conference Order Renaldi, Salvatore N/A AP-3754 https://www.sec.gov/alj/aljorders/2016/ap-3754.pdf 3-17185 2016-03-31 Order Scheduling Hearing and Designating Presiding Judge Order Rings to Dine For, Inc. N/A AP-3755 https://www.sec.gov/alj/aljorders/2016/ap-3755.pdf 3-17184 2016-03-31 Order Scheduling Hearing and Designating Presiding Judge Order Gibson, Christopher M. N/A AP-3756 https://www.sec.gov/alj/aljorders/2016/ap-3756.pdf 3-17157 2016-04-01 Order Postponing Hearing Granting Extension and Directing for a Declaration of Service Order Zoernack, Steven Equitystar Capital Management, LLC N/A AP-3757 https://www.sec.gov/alj/aljorders/2016/ap-3757.pdf 3-17191 2016-04-01 Order Scheduling Hearing and Designating Presiding Judge Order Newcourt Holdings, Inc. Mortgage Shakers, Inc. GLX.Com, Inc. (f/k/a American Environmental, Inc., a/k/a GLX, Inc) Clubhouse Videos, Inc. Newbridge Mortgage Corp. N/A AP-3758 https://www.sec.gov/alj/aljorders/2016/ap-3758.pdf 3-17146 2016-04-04 Order Following Second Prehearing Conference Order Rey, Janice D. N/A AP-3759 https://www.sec.gov/alj/aljorders/2016/ap-3759.pdf 3-16463 2016-04-04 Scheduling Order Order Aegis Capital, LLC N/A AP-3760 https://www.sec.gov/alj/aljorders/2016/ap-3760.pdf 3-17083 2016-04-04 Second Stay Order Order Beckman, Jason Bo-Alan N/A AP-3761 https://www.sec.gov/alj/aljorders/2016/ap-3761.pdf 3-17104 2016-04-04 Omnibus Order Granting in Part Motion for More Definite Statement Order Whelan, Andrew J. IBEX, LLC St. John's, LLC BioElectronics Corp. Whelan Kelly A., CPA N/A AP-3762 https://www.sec.gov/alj/aljorders/2016/ap-3762.pdf 3-17175 2016-04-05 Order to Show Cause Order Metamorphix Inc. ConcertsByU.com, Inc. Freedom Bancshares, Inc. N/A AP-3763 https://www.sec.gov/alj/aljorders/2016/ap-3763.pdf 3-15764 2016-04-05 Order Regarding Motion for a Decision on the Scope of Hearing Order McDuff, Gary L. N/A AP-3764 https://www.sec.gov/alj/aljorders/2016/ap-3764.pdf 3-16509 2016-04-06 Protective Order Order Daspin, Edward M. a/k/a "Edward (Ed) Michael" Agostini, Luigi Lux, Lawrence R. N/A AP-3765 https://www.sec.gov/alj/aljorders/2016/ap-3765.pdf 3-17172 2016-04-06 Order Granting Extension Order Clare, Barry B. N/A AP-3766 https://www.sec.gov/alj/aljorders/2016/ap-3766.pdf 3-17112 2016-04-06 Order Rescheduling Hearing and Revising Procedural Schedule Order Frazer Frost, LLP Suen, Miranda, CPA Woo, Susan, CPA N/A AP-3767 https://www.sec.gov/alj/aljorders/2016/ap-3767.pdf 3-17160 2016-04-06 Notice of Counsel's Withdrawal and Confirmation of Prehearing Conference Notice Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) N/A AP-3768 https://www.sec.gov/alj/aljorders/2016/ap-3768.pdf 3-16978 2016-04-06 Order Setting Time of Prehearing Conference Order Afshar, Behruz Fineline Trading Group LLC Kenny, Richard F., IV Makino Capital LLC Afshar, Shahryar N/A AP-3769 https://www.sec.gov/alj/aljorders/2016/ap-3769.pdf 3-17200 2016-04-07 Order Scheduling Hearing and Designating Presiding Judge Order Lindemann, Levi D. N/A AP-3770 https://www.sec.gov/alj/aljorders/2016/ap-3770.pdf 3-17202 2016-04-07 Order Scheduling Hearing and Designating Presiding Judge Order Numida, Inc. Expleo Solutions, Inc. N/A AP-3771 https://www.sec.gov/alj/aljorders/2016/ap-3771.pdf 3-15764 2016-04-07 Order Scheduling Prehearing Conference Order McDuff, Gary L. N/A AP-3772 https://www.sec.gov/alj/aljorders/2016/ap-3772.pdf 3-15215 2016-04-07 Order on Post-Initial Decision Motion Order Tagliaferri, James S. N/A AP-3773 https://www.sec.gov/alj/aljorders/2016/ap-3773.pdf 3-15936 2016-04-08 Postponement Order Order Pedras, Christopher A.T. (a/k/a Chris Pedras a/k/a Antone Thomas Pedras) N/A AP-3774 https://www.sec.gov/alj/aljorders/2016/ap-3774.pdf 3-17180 2016-04-08 Order Postponing Hearing and Directing the Parties to Hold an Initial Prehearing Conference Order Berman, Elliot R., CPA Berman & Company, P.A. N/A AP-3775 https://www.sec.gov/alj/aljorders/2016/ap-3775.pdf 3-17117 2016-04-08 Stay Order Order Merrick, Gregory L. N/A AP-3776 https://www.sec.gov/alj/aljorders/2016/ap-3776.pdf 3-16509 2016-04-11 Order to Submit Exhibit List Order Lux, Lawrence R. Daspin, Edward M., a/k/a "Edward (ED) Michael" Agostini, Luigi N/A AP-3777 https://www.sec.gov/alj/aljorders/2016/ap-3777.pdf 3-15764 2016-04-12 Scheduling Order Order McDuff, Gary L. N/A AP-3778 https://www.sec.gov/alj/aljorders/2016/ap-3778.pdf 3-17185 2016-04-12 Order Postponing Hearing and Regarding Service Order Rings to Dine For, Inc. N/A AP-3779 https://www.sec.gov/alj/aljorders/2016/ap-3779.pdf 3-17123 2016-04-13 Order Postponing Prehearing Conference Order Nu Energy Inc. Mentergy Ltd. (a/k/a Gilat Communications Ltd.) Market Data Consultants, Inc. Ceyoniq AG (n/k/a Ceyoniq, Inc.) Mid-Am Systems, Inc. N/A AP-3780 https://www.sec.gov/alj/aljorders/2016/ap-3780.pdf 3-16801 2016-04-13 Order Admitting Corrected Exhibit 360 Order Bennett Group Financial Services, LLC Bennett, Dawn J. N/A AP-3781 https://www.sec.gov/alj/aljorders/2016/ap-3781.pdf 3-17160 2016-04-13 Order to Show Cause Order Geo Global Group Ltd. (f/k/a Geo Genesis Group, Ltd.) N/A AP-3782 https://www.sec.gov/alj/aljorders/2016/ap-3782.pdf 3-17202 2016-04-14 Postponement Order Order Numida, Inc. Expleo Solutions, Inc. N/A AP-3783 https://www.sec.gov/alj/aljorders/2016/ap-3783.pdf 3-17184 2016-04-14 Order Postponing Hearing and Scheduling Prehearing Conference Order Gibson, Christopher M. N/A AP-3784 https://www.sec.gov/alj/aljorders/2016/ap-3784.pdf 3-17180 2016-04-14 Order Granting Extension Order Berman & Company, P.A. Berman, Elliot R., CPA N/A AP-3785 https://www.sec.gov/alj/aljorders/2016/ap-3785.pdf 3-17209 2016-04-15 Order Scheduling Hearing and Designating Presiding Judge Order MPEG Super Site, Inc. Mondeo Investments, Inc. Myriad International, Inc. N/A AP-3786 https://www.sec.gov/alj/aljorders/2016/ap-3786.pdf 3-17210 2016-04-18 Order Scheduling Hearing and Designating Presiding Judge Order White, Paul Leon, II N/A AP-3787 https://www.sec.gov/alj/aljorders/2016/ap-3787.pdf 3-15764 2016-04-18 Scheduling Order Order McDuff, Gary L. N/A AP-3788 https://www.sec.gov/alj/aljorders/2016/ap-3788.pdf 3-17184 2016-04-18 Order Granting Joint Motion for Protective Order Order Gibson, Christopher M. N/A AP-3789 https://www.sec.gov/alj/aljorders/2016/ap-3789.pdf 3-17031 2016-04-19 Postponement Order Order China Domestic Bio-Technology Holdings, Inc. N/A AP-3790 https://www.sec.gov/alj/aljorders/2016/ap-3790.pdf 3-17035 2016-04-19 Order Setting Schedule for Motion for Summary Disposition Order Desai, Shreyans N/A AP-3791 https://www.sec.gov/alj/aljorders/2016/ap-3791.pdf 3-17112 2016-04-20 Notice to Parties Notice Suen, Miranda, CPA Woo, Susan, CPA Frazer Frost, LLP N/A AP-3792 https://www.sec.gov/alj/aljorders/2016/ap-3792.pdf 3-17112 2016-04-20 Order Regarding Judical Estoppel Order Woo, Susan, CPA Suen, Miranda, CPA Frazer Frost, LLP N/A AP-3793 https://www.sec.gov/alj/aljorders/2016/ap-3793.pdf 3-17217 2016-04-21 Order Scheduling Hearing and Designating Presiding Judge Order TPG Advisors LLC, d/b/a The Phillips Group Advisors Phillips, Larry M. N/A AP-3794 https://www.sec.gov/alj/aljorders/2016/ap-3794.pdf 3-17218 2016-04-21 Order Scheduling Hearing and Designating Presiding Judge Order Powell, Daniel Christian Stanley N/A AP-3795 https://www.sec.gov/alj/aljorders/2016/ap-3795.pdf 3-17191 2016-04-21 Order to Show Cause and Postponement Order Order NewCourt Holdings, Inc. Mortgage Shakers, Inc. Newbridge Mortgage Corp. GLX.com, Inc. (f/k/a American Environmental, Inc., a/k/a GLX, Inc.) Clubhouse Videos, Inc. N/A AP-3796 https://www.sec.gov/alj/aljorders/2016/ap-3796.pdf 3-17200 2016-04-21 Stay Order Order Lindemann, Levi D. N/A AP-3797 https://www.sec.gov/alj/aljorders/2016/ap-3797.pdf 3-17209 2016-04-21 Order Postponing Hearing and Scheduling Prehearing Conference Order Myriad International, Inc. Mondeo Investments, Inc. MPEG Super Site, Inc. N/A AP-3798 https://www.sec.gov/alj/aljorders/2016/ap-3798.pdf 3-15215 2016-04-21 Order Denying Motion to Correct Manifest Error of Fact Order Tagliaferri, James S. N/A AP-3799 https://www.sec.gov/alj/aljorders/2016/ap-3799.pdf 3-17112 2016-04-22 Order Denying Respondents' Motion for Summary Disposition Order Frazer Frost, LLP Suen, Miranda, CPA Woo, Susan, CPA N/A AP-3800 https://www.sec.gov/alj/aljorders/2016/ap-3800.pdf 3-17222 2016-04-22 Order Scheduling Hearing and Designating Presiding Judge Order DOT VN, Inc. Global Health Voyager, Inc. CelLynx Group, Inc. N/A AP-3801 https://www.sec.gov/alj/aljorders/2016/ap-3801.pdf 3-17223 2016-04-22 Order Scheduling Hearing and Designating Presiding Judge Order Medisafe 1 Technologies Corp. Gold Hills Mining, Ltd Massive Dynamics, Inc. MDU Communications International, Inc. N/A AP-3802 https://www.sec.gov/alj/aljorders/2016/ap-3802.pdf 3-17112 2016-04-22 Stay Order Order Frazer Frost, LLP Suen, Miranda, CPA Woo, Susan, CPA N/A AP-3803 https://www.sec.gov/alj/aljorders/2016/ap-3803.pdf 3-17134 2016-04-22 Order Scheduling Hearing and Designating Presiding Judge Order Quintanilla, Timothy, CPA N/A AP-3804 https://www.sec.gov/alj/aljorders/2016/ap-3804.pdf 3-17172 2016-04-25 Order Following Prehearing Conference and Setting Procedural Schedule Order Clare, Barry B. N/A AP-3805 https://www.sec.gov/alj/aljorders/2016/ap-3805.pdf 3-16978 2016-04-25 Stay Order Order Makino Capital LLC Afshar, Behruz Fineline Trading Group LLC Afshar, Shahryar Kenny, Richard F., IV N/A AP-3806 https://www.sec.gov/alj/aljorders/2016/ap-3806.pdf 3-17131 2016-04-25 Order to Show Cause and Directing Division to File Motion Order Lopez, Mark A. N/A AP-3807 https://www.sec.gov/alj/aljorders/2016/ap-3807.pdf 3-17185 2016-04-25 Order to Show Cause Order Rings to Dine For, Inc. N/A AP-3808 https://www.sec.gov/alj/aljorders/2016/ap-3808.pdf 3-17210 2016-04-26 Order Postponing Hearing Order White, Paul Leon, II N/A AP-3809 https://www.sec.gov/alj/aljorders/2016/ap-3809.pdf 3-17146 2016-04-26 Stay Order Order Rey, Janice D. N/A AP-3810 https://www.sec.gov/alj/aljorders/2016/ap-3810.pdf 3-17202 2016-04-26 Order to Show Cause Order Expleo Solutions, Inc. Numida, Inc. N/A AP-3811 https://www.sec.gov/alj/aljorders/2016/ap-3811.pdf 3-17104 2016-04-27 Order Modifying Briefing Schedule Order IBEX, LLC Whelan, Andrew J., CPA Bedwell, Robert P., CPA ST. John's, LLC BioElectronics Corp. N/A AP-3812 https://www.sec.gov/alj/aljorders/2016/ap-3812.pdf 3-17228 2016-04-28 Order Scheduling Hearing and Designating Presiding Judge Order Cisneros, Susan A. Hall, David S., CPA Michelle L. Helterbran Cochran, CPA Hall, David S., P.C. d/b/a The Hall Group CPAs N/A AP-3813 https://www.sec.gov/alj/aljorders/2016/ap-3813.pdf 3-16949 2016-04-29 Scheduling Order Order Shah, Sandip N/A AP-3814 https://www.sec.gov/alj/aljorders/2016/ap-3814.pdf 3-17134 2016-04-29 Order Postponing Hearing Order Quintanilla, Timothy, CPA N/A AP-3815 https://www.sec.gov/alj/aljorders/2016/ap-3815.pdf 3-17133 2016-04-29 Stay Order Order Texstar Oil Corporation Bonamour, Inc. N/A AP-3816 https://www.sec.gov/alj/aljorders/2016/ap-3816.pdf 3-17236 2016-05-02 Order Scheduling Hearing and Designating Presiding Judge Order Pioneer Exploration, Inc. Premier Brands, Inc. Private Media Group, Inc. N/A AP-3817 https://www.sec.gov/alj/aljorders/2016/ap-3817.pdf 3-17237 2016-05-02 Order Scheduling Hearing and Designating Presiding Judge Order Harbor Island Development Corp. Shades Holdings, Inc. Medical Makeover Corp. of America Coyote Resources, Inc. N/A AP-3818 https://www.sec.gov/alj/aljorders/2016/ap-3818.pdf 3-17068 2016-05-02 Stay Order Order Renaldi, Salvatore N/A AP-3819 https://www.sec.gov/alj/aljorders/2016/ap-3819.pdf 3-17131 2016-05-03 Order Granting Extension of Briefing Date Order Lopez, Mark A. N/A AP-3820 https://www.sec.gov/alj/aljorders/2016/ap-3820.pdf 3-17180 2016-05-03 Scheduling Order Order Berman & Company, P.A. Berman, Elliot R., CPA N/A AP-3821 https://www.sec.gov/alj/aljorders/2016/ap-3821.pdf 3-17184 2016-05-03 Order On Motion Order Gibson, Christopher M. N/A AP-3822 https://www.sec.gov/alj/aljorders/2016/ap-3822.pdf 3-16509 2016-05-03 Order Granting Extension Order Lux, Lawrence R. Daspin, Edward M., a/k/a "Edward (Ed) Michael" Agostini, Luigi N/A AP-3823 https://www.sec.gov/alj/aljorders/2016/ap-3823.pdf 3-17217 2016-05-04 Order Postponing Hearing and Directing Parties to Hold Prehearing Conference Order Phillips, Larry M. TPG Advisors LLC d/b/a The Phillips Group Advisors N/A AP-3824 https://www.sec.gov/alj/aljorders/2016/ap-3824.pdf 3-16949 2016-05-04 Prehearing Order Order Shah, Sandip N/A AP-3825 https://www.sec.gov/alj/aljorders/2016/ap-3825.pdf 3-17209 2016-05-04 Order to Show Cause Order MPEG Super Site, Inc. Mondeo Investments, Inc. Myriad International, Inc. N/A AP-3826 https://www.sec.gov/alj/aljorders/2016/ap-3826.pdf 3-17223 2016-05-05 Order Postponing Hearing and Scheduling Prehearing Conference Order Gold Hills Mining, Ltd. MDU Communications International, Inc. Massive Dynamics, Inc. Medisafe 1 Technologies Corp. N/A AP-3827 https://www.sec.gov/alj/aljorders/2016/ap-3827.pdf 3-17210 2016-05-05 Order Scheduling Prehearing Conference Order White, Paul Leon II N/A AP-3828 https://www.sec.gov/alj/aljorders/2016/ap-3828.pdf 3-17222 2016-05-06 Order to Show Cause Postponing Hearing, and Scheduling Prehearing Conference Order DOT VN, Inc. Global Health Voyager, Inc. Cellynx Group, Inc. N/A AP-3829 https://www.sec.gov/alj/aljorders/2016/ap-3829.pdf 3-17126 2016-05-06 Notice to Parties Notice Maiher, Jason N/A AP-3830 https://www.sec.gov/alj/aljorders/2016/ap-3830.pdf 3-17241 2016-05-09 Order Scheduling Hearing and Designating Presiding Judge Order EQCO2, Inc. Hondo Minerals Corp. Liberty Gold Corp. N/A AP-3831 https://www.sec.gov/alj/aljorders/2016/ap-3831.pdf 3-17242 2016-05-09 Order Scheduling Hearing and Designating Presiding Judge Order Giant Resources, Inc. Rush Exploration, Inc. N/A AP-3832 https://www.sec.gov/alj/aljorders/2016/ap-3832.pdf 3-16795 2016-05-09 Order Order Fox, Joseph J. N/A AP-3833 https://www.sec.gov/alj/aljorders/2016/ap-3833.pdf 3-17218 2016-05-10 Order Postponing Hearing and Scheduling Prehearing Conference Order Powell, Daniel Christian Stanley N/A AP-3834 https://www.sec.gov/alj/aljorders/2016/ap-3834.pdf 3-17184 2016-05-10 Order Following Prehearing Conference Order Gibson, M. Christopher N/A AP-3835 https://www.sec.gov/alj/aljorders/2016/ap-3835.pdf 3-16801 2016-05-11 Order Granting in Part Joint Motion to Correct Record Index Order Bennett, Dawn J. Bennett Group Financial Services, LLC N/A AP-3836 https://www.sec.gov/alj/aljorders/2016/ap-3836.pdf 3-17237 2016-05-12 Order Postponing Hearing and Scheduling Prehearing Conference Order Medical Makeover Corp. of America Harbor Island Development Corp. Shades Holdings, Inc. Coyote Resources, Inc. N/A AP-3837 https://www.sec.gov/alj/aljorders/2016/ap-3837.pdf 3-17246 2016-05-12 Order Scheduling Hearing and Designating Presiding Judge Order Ruehle, Greg N/A AP-3838 https://www.sec.gov/alj/aljorders/2016/ap-3838.pdf 3-17247 2016-05-12 Order Scheduling Hearing and Designating Presiding Judge Order Petrohunter Energy Corp. Shrink Nanotechnologies, Inc. Li-ion Motors Corp. (A/K/A Terra Inventions Corp.) N/A AP-3839 https://www.sec.gov/alj/aljorders/2016/ap-3839.pdf 3-17248 2016-05-12 Order Scheduling Hearing and Designating Presiding Judge Order Northcore Technologies, Inc. Luve Sports, Inc. Grovewave Technologies Ltd. N/A AP-3840 https://www.sec.gov/alj/aljorders/2016/ap-3840.pdf 3-15619 2016-05-13 Order Scheduling Prehearing Conference Order Doxey, Joseph P. N/A AP-3841 https://www.sec.gov/alj/aljorders/2016/ap-3841.pdf 3-17210 2016-05-13 Order Following Prehearing Conference and Setting Procedural Schedule Order White, Paul Leon, II N/A AP-3842 https://www.sec.gov/alj/aljorders/2016/ap-3842.pdf 3-17070 2016-05-13 Stay Order Order 3C Advisors & Associates, Inc. Jones, Stephen Prolman, David N/A AP-3843 https://www.sec.gov/alj/aljorders/2016/ap-3843.pdf 3-17236 2016-05-16 Ordering Postponing Hearing, to Show Cause, and Scheduling Prehearing Conference Order Pioneer Exploration, Inc. Premier Brands, Inc. Private Media Group, Inc N/A AP-3844 https://www.sec.gov/alj/aljorders/2016/ap-3844.pdf 3-17157 2016-05-16 Order to Show Cause Order Zoernack, Steven EquityStar Capital Management, LLC N/A AP-3845 https://www.sec.gov/alj/aljorders/2016/ap-3845.pdf 3-17251 2016-05-16 Order Scheduling Hearing and Designating Presiding Judge Order Blount, John Steven N/A AP-3846 https://www.sec.gov/alj/aljorders/2016/ap-3846.pdf 3-16463 2016-05-16 Order Setting Hearing Location Order Lamm, Diane W. Osunkwo, David I. Aegis Capital, LLC Circle One Wealth Management, LLC Strategic Consulting Advisors, LLC N/A AP-3847 https://www.sec.gov/alj/aljorders/2016/ap-3847.pdf 3-17241 2016-05-16 Order Postponing Hearing and Scheduling Prehearing Conference Order EQCO2, Inc. Liberty Gold Corp. Hondo Minerals Corp. N/A AP-3848 https://www.sec.gov/alj/aljorders/2016/ap-3848.pdf 3-17252 2016-05-16 Order Scheduling Hearing and Designating Presiding Judge Order Von Hase, Stephan N/A AP-3849 https://www.sec.gov/alj/aljorders/2016/ap-3849.pdf 3-17247 2016-05-17 Order Postponing Hearing and Scheduling Prehearing Conference Order Shrink Nanotechnologies, Inc. Li-Ion Motors Corp. (a/k/a Terra Inventions Corp.) Petrohunter Energy Corp. N/A AP-3850 https://www.sec.gov/alj/aljorders/2016/ap-3850.pdf 3-17223 2016-05-18 Order to Show Cause Order MDU Communications International, Inc. Gold Hills Mining Ltd. Medisafe 1 Technologies Corp. Massive Dynamics, Inc. N/A AP-3851 https://www.sec.gov/alj/aljorders/2016/ap-3851.pdf 3-17123 2016-05-19 Order Postponing Prehearing Conference Order Mentergy Ltd. (A/K/A Gilat Communications Ltd.) Mid-Am Systems, Inc. Nu Energy Inc. Market Data Consultants, Inc. Ceyoniq AG (n/k/a Ceyoniq, Inc.) N/A AP-3852 https://www.sec.gov/alj/aljorders/2016/ap-3852.pdf 3-17237 2016-05-19 Order to Show Cause Order Shades Holdings, Inc. Harbor Island Development Corp. Coyote Resources, Inc. Medical Makeover Corp. of America N/A AP-3853 https://www.sec.gov/alj/aljorders/2016/ap-3853.pdf 3-17228 2016-05-19 Order Postponing Hearing and Scheudling Prehearing Conference Order Cisneros, Susan A. Hall, David S., CPA Cochran, Michelle L. Helterbran, CPA Hall, David S., P.C. d/b/a The Hall Group CPAs N/A AP-3854 https://www.sec.gov/alj/aljorders/2016/ap-3854.pdf 3-16795 2016-05-19 Order Denying Respondent's Motion to Correct a Manifest Error of Fact Order Fox, Joseph J. N/A AP-3855 https://www.sec.gov/alj/aljorders/2016/ap-3855.pdf 3-15764 2016-05-19 Order on Motion to Dismiss Order McDuff, Gary L. N/A AP-3856 https://www.sec.gov/alj/aljorders/2016/ap-3856.pdf 3-17253 2016-05-20 Order Scheduling Hearing and Designating Presiding Judge Order Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A AP-3857 https://www.sec.gov/alj/aljorders/2016/ap-3857.pdf 3-17248 2016-05-20 Order Postponing Hearing and Scheduling Prehearing Conference Order Northcore Technologies, Inc. Groveware Technologies Ltd. Luve Sports, Inc. N/A AP-3858 https://www.sec.gov/alj/aljorders/2016/ap-3858.pdf 3-17228 2016-05-20 Order Extending Time to Answer Order Cisneros, Susan A. Hall, David S., CPA Cochran, Michelle L. Helterbran, CPA Hall, David S., P.C. d/b/a The Hall Group CPAs N/A AP-3859 https://www.sec.gov/alj/aljorders/2016/ap-3859.pdf 3-17255 2016-05-20 Order Scheduling Hearing and Designating Presiding Judge Order China Global Media, Inc. China Heli Resource Renewable, Inc. GFR Pharmaceuticals, Inc. Bodisen Biotech, Inc. N/A AP-3860 https://www.sec.gov/alj/aljorders/2016/ap-3860.pdf 3-17256 2016-05-20 Order Scheduling Hearing and Designating Presiding Judge Order Jinzanghuang Tibet Pharmaceuticals, Inc. Dragon Bright Mintai Botanical Technology Cayman Ltd. Macau Resources Group Ltd. N/A AP-3861 https://www.sec.gov/alj/aljorders/2016/ap-3861.pdf 3-17218 2016-05-23 Order Rescheduling Prehearing Conference Order Powell, Daniel Christian Stanley N/A AP-3862 https://www.sec.gov/alj/aljorders/2016/ap-3862.pdf 3-17134 2016-05-23 Stay Order Order Quintanilla, Timothy, CPA N/A AP-3863 https://www.sec.gov/alj/aljorders/2016/ap-3863.pdf 3-15619 2016-05-23 Order Following Prehearing Conference Order Doxey, Joseph P. N/A AP-3864 https://www.sec.gov/alj/aljorders/2016/ap-3864.pdf 3-17246 2016-05-24 Order Postponing Hearing, Scheduling Prehearing Conference, and Directing for Declaration Regarding Service Order Ruehle, Greg N/A AP-3865 https://www.sec.gov/alj/aljorders/2016/ap-3865.pdf 3-17241 2016-05-24 Order to Show Cause Order Hondo Mnerals Corp. EQCO2, Inc. Liberty Gold Corp. N/A AP-3866 https://www.sec.gov/alj/aljorders/2016/ap-3866.pdf 3-17184 2016-05-25 Order Granting Joint Motion For Prehearing Schedule Order Gibson, Christopher M. N/A AP-3867 https://www.sec.gov/alj/aljorders/2016/ap-3867.pdf 3-17242 2016-05-25 Order Postponing Hearing and Scheduling Prehearing Conference Order Rush Exploration, Inc. Giant Resources, Inc. N/A AP-3868 https://www.sec.gov/alj/aljorders/2016/ap-3868.pdf 3-17228 2016-05-25 Order Following Prehearing Conference Order Cochran, Michelle L. Helterbran, CPA Hall, David S., CPA Hall, David S., P.C., d/b/a The Hall Group CPAs Cisneros, Susan A. N/A AP-3869 https://www.sec.gov/alj/aljorders/2016/ap-3869.pdf 3-17228 2016-05-25 Order to Show Cause Order Cisneros, Susan A. N/A AP-3870 https://www.sec.gov/alj/aljorders/2016/ap-3870.pdf 3-17258 2016-05-26 Order Scheduling Hearing and Designating Presiding Judge Order Ideal Restaurant Group, Inc. China Unistone Acquisition Corp. N/A AP-3871 https://www.sec.gov/alj/aljorders/2016/ap-3871.pdf 3-15764 2016-05-26 Order Scheduling Prehearing Conference Order McDuff, Gary L. N/A AP-3872 https://www.sec.gov/alj/aljorders/2016/ap-3872.pdf 3-17210 2016-05-26 Order on Respondent's Motions Order White, Paul Leon, II N/A AP-3873 https://www.sec.gov/alj/aljorders/2016/ap-3873.pdf 3-17259 2016-05-26 Order Scheduling Hearing and Designating Presiding Judge Order Hauge Technology, Inc. Greenpower International Group Ltd. N/A AP-3874 https://www.sec.gov/alj/aljorders/2016/ap-3874.pdf 3-17256 2016-05-26 Order Postponing Hearing and Scheduling Prehearing Conference Order Dragon Bright Mintai Botanical Technology Cayman Ltd. Macau Resources Group Ltd. Jinzanghuang Tibet Pharmaceuticals, Inc. N/A AP-3875 https://www.sec.gov/alj/aljorders/2016/ap-3875.pdf 3-17157 2016-05-26 Order Denying Motion to Stay and Directing Respondents to Answer Order EquityStar Capital Management, LLC Zoernack, Steven N/A AP-3876 https://www.sec.gov/alj/aljorders/2016/ap-3876.pdf 3-17126 2016-05-27 Stay Order Order Maiher, Jason N/A AP-3877 https://www.sec.gov/alj/aljorders/2016/ap-3877.pdf 3-15764 2016-05-27 Order Following Prehearing Conference Order McDuff, Gary L. N/A AP-3878 https://www.sec.gov/alj/aljorders/2016/ap-3878.pdf 3-17252 2016-05-27 Order Order Hase, Stephan Von N/A AP-3879 https://www.sec.gov/alj/aljorders/2016/ap-3879.pdf 3-17247 2016-05-27 Order to Show Cause Order Li-ion Motors Corp. (A/K/A Terra Inventions Corp.) Shrink Nanotechnologies, Inc. Petrohunter Energy Corp. N/A AP-3880 https://www.sec.gov/alj/aljorders/2016/ap-3880.pdf 3-17218 2016-05-27 Order Following Prehearing Conference Order Powell, Daniel Christian Stanley N/A AP-3881 https://www.sec.gov/alj/aljorders/2016/ap-3881.pdf 3-17251 2016-05-31 Postponement Order Order Blount, John Steven N/A AP-3882 https://www.sec.gov/alj/aljorders/2016/ap-3882.pdf 3-17258 2016-05-31 Order Postponing Hearing and Scheduling Prehearing Conference Order Ideal Restaurant Group, Inc. China Unistone Acquisition Corp. N/A AP-3883 https://www.sec.gov/alj/aljorders/2016/ap-3883.pdf 3-17104 2016-05-31 Order Denying Respondent Bedwell's Motion for Summary Disposition Order IBEX, LLC Bioelectronics Corp. Whelan, Kelly A., CPA Whelan, Andrew J. Bedwell, Robert P., CPA St. John's, LLC N/A AP-3884 https://www.sec.gov/alj/aljorders/2016/ap-3884.pdf 3-16949 2016-05-31 Prehearing Order Order Shah, Sandip N/A AP-3885 https://www.sec.gov/alj/aljorders/2016/ap-3885.pdf 3-17248 2016-06-01 Order to Show Cause Order Groveware Technologies Ltd. Luve Sports, Inc. Northcore Technologies, Inc. N/A AP-3886 https://www.sec.gov/alj/aljorders/2016/ap-3886.pdf 3-15350 2016-06-01 Order on Sealed Initial Decision Order Securities Industry and Financial Markets Association N/A AP-3887 https://www.sec.gov/alj/aljorders/2016/ap-3887.pdf 3-17256 2016-06-01 Order Regarding Service on Respondent Jinzanghuang Tibet Pharmaceuticals, Inc. Order JinZangHuang Tibet Pharmaceuticals, Inc. N/A AP-3888 https://www.sec.gov/alj/aljorders/2016/ap-3888.pdf 3-17035 2016-06-01 Order Granting Extension of Time for Opposition Order Desai, Shreyans N/A AP-3889 https://www.sec.gov/alj/aljorders/2016/ap-3889.pdf 3-17265 2016-06-02 Order Scheduling Hearing and Designating Presiding Judge Order Cope, Jay C. Markusen, Steven R. N/A AP-3890 https://www.sec.gov/alj/aljorders/2016/ap-3890.pdf 3-17266 2016-06-02 Order Scheduling Hearing and Designating Presiding Judge Order Citizens Community Bancorp, Inc. Solis Pharma US, Inc. China Vantagepoint Acquisition Co. N/A AP-3891 https://www.sec.gov/alj/aljorders/2016/ap-3891.pdf 3-15619 2016-06-02 General Prehearing Order Order Doxey, Joseph P. N/A AP-3892 https://www.sec.gov/alj/aljorders/2016/ap-3892.pdf 3-17242 2016-06-02 Order to Show Cause Order Giant Resources, Inc. Rush Exploration, Inc. N/A AP-3893 https://www.sec.gov/alj/aljorders/2016/ap-3893.pdf 3-15764 2016-06-03 Order Order McDuff, Gary L. N/A AP-3894 https://www.sec.gov/alj/aljorders/2016/ap-3894.pdf 3-17210 2016-06-06 Order Denying Issuance of Subpoenas Without Prejudice Order White, Paul Leon, II N/A AP-3895 https://www.sec.gov/alj/aljorders/2016/ap-3895.pdf 3-17255 2016-06-06 Order Postponing Hearing and Scheduling Prehearing Conference Order China Heli Resource Renewable, Inc. China Global Media, Inc. GFR Pharmaceuticals, Inc. Bodisen Biotech, Inc. N/A AP-3896 https://www.sec.gov/alj/aljorders/2016/ap-3896.pdf 3-17246 2016-06-07 Order Rescheduling Prehearing Conference Order Ruehle, Greg N/A AP-3897 https://www.sec.gov/alj/aljorders/2016/ap-3897.pdf 3-16228 2016-06-07 Order Lifting Stay and Scheduling Prehearing Conference Order Navagate, Inc. Rorke, Gregory N/A AP-3898 https://www.sec.gov/alj/aljorders/2016/ap-3898.pdf 3-16227 2016-06-07 Order Lifting Stay and Scheduling Prehearing Conference Order Middlebury Securities, LLC N/A AP-3899 https://www.sec.gov/alj/aljorders/2016/ap-3899.pdf 3-16229 2016-06-07 Order Lifting Stay and Scheduling Prehearing Conference Order Osborn, Gregory N/A AP-3900 https://www.sec.gov/alj/aljorders/2016/ap-3900.pdf 3-15764 2016-06-07 Order Following Prehearing Conference Order McDuff, Gary L. N/A AP-3901 https://www.sec.gov/alj/aljorders/2016/ap-3901.pdf 3-17252 2016-06-07 Prehearing Order Order Von Hase, Stephan N/A AP-3902 https://www.sec.gov/alj/aljorders/2016/ap-3902.pdf 3-17210 2016-06-08 Order to Show Cause Order White, Paul Leon, II N/A AP-3903 https://www.sec.gov/alj/aljorders/2016/ap-3903.pdf 3-17049 2016-06-08 Order Order RAHFCO Management Group, LLC N/A AP-3904 https://www.sec.gov/alj/aljorders/2016/ap-3904.pdf 3-17157 2016-06-08 Order Order Equitystar Capital Management, LLC Zoernack, Steven N/A AP-3905 https://www.sec.gov/alj/aljorders/2016/ap-3905.pdf 3-16229 2016-06-08 Order Order Osborn, Gregory N/A AP-3906 https://www.sec.gov/alj/aljorders/2016/ap-3906.pdf 3-17217 2016-06-08 Scheduling Order Order Phillips, Larry M. TPG Advisors LLC d/b/a The Phillips Group Advisors N/A AP-3907 https://www.sec.gov/alj/aljorders/2016/ap-3907.pdf 3-17258 2016-06-09 Order to Show Cause Order Ideal Restaurant Group, Inc. China Unistone Acquisition Corp. N/A AP-3908 https://www.sec.gov/alj/aljorders/2016/ap-3908.pdf 3-17228 2016-06-09 Order Regarding Susan A. Cisneros Show Cause Response Order Hall, David S., CPA Cochran, Michelle L. Helterbran, CPA Cisneros, Susan A. David S. Hall, P.C. d/b/a The Hall Group CPAs N/A AP-3909 https://www.sec.gov/alj/aljorders/2016/ap-3909.pdf 3-15764 2016-06-09 Order Order McDuff, Gary L. N/A AP-3910 https://www.sec.gov/alj/aljorders/2016/ap-3910.pdf 3-17253 2016-06-10 Order Order Blue Ocean Portfolios, LLC Winkelmann, James A. Sr. N/A AP-3911 https://www.sec.gov/alj/aljorders/2016/ap-3911.pdf 3-17259 2016-06-10 Order Postponing Hearing, Scheduling Prehearing Conference and to Show Cause Order Hauge Technology, Inc. Greenpower International Group Ltd. N/A AP-3912 https://www.sec.gov/alj/aljorders/2016/ap-3912.pdf 3-17282 2016-06-10 Order Scheduling Hearing and Designating Presiding Judge Order Parallax Diagnostics, Inc. Secure Digital, Inc. Eric B. Global Ventures, Inc. N/A AP-3913 https://www.sec.gov/alj/aljorders/2016/ap-3913.pdf 3-17256 2016-06-13 Order Following Prehearing Conference and to Show Cause Order Dragon Bright Mintai Botanical Technology Cayman Ltd. Jinzanghuang Tibet Pharmaceuticals, Inc. Macau Resources Group Ltd, N/A AP-3914 https://www.sec.gov/alj/aljorders/2016/ap-3914.pdf 3-17266 2016-06-13 Order Postponing Hearing and Scheduling Prehearing Conference Order Citizens Community Bancorp, Inc. China Vantagepoint Acquisition Co. Solis Pharma US, Inc. N/A AP-3915 https://www.sec.gov/alj/aljorders/2016/ap-3915.pdf 3-16229 3-16227 2016-06-14 Scheduling and Consolidation Order Order Osborn, Gregory Middlebury Securities, LLC N/A AP-3916 https://www.sec.gov/alj/aljorders/2016/ap-3916.pdf 3-16228 2016-06-14 Scheduling Order Order Rorke, Gregory Navagate, Inc. N/A AP-3917 https://www.sec.gov/alj/aljorders/2016/ap-3917.pdf 3-17104 2016-06-14 Order Modifying Briefing Schedule Order Whelan, Andrew J. Ibex, LLC St. John's, LLC Bedwell, Robert P., CPA Bioelectronics Corp. Whelan, Kelly A., CPA N/A AP-3918 https://www.sec.gov/alj/aljorders/2016/ap-3918.pdf 3-17157 2016-06-15 Order Rescheduling Prehearing Conference Order EquityStar Capital Management, LLC Zoernack, Steven N/A AP-3919 https://www.sec.gov/alj/aljorders/2016/ap-3919.pdf 3-17289 2016-06-15 Order Scheduling Hearing and Designating Presiding Judge Order Gold, Alan H. N/A AP-3920 https://www.sec.gov/alj/aljorders/2016/ap-3920.pdf 3-17180 2016-06-15 Order Granting Extension Order Berman, Elliot R., CPA Berman & Company, P.A. N/A AP-3921 https://www.sec.gov/alj/aljorders/2016/ap-3921.pdf 3-17172 2016-06-15 Stay Order Order Clare, Barry B. N/A AP-3922 https://www.sec.gov/alj/aljorders/2016/ap-3922.pdf 3-16594 2016-06-15 Order Order Equity Trust Company N/A AP-3923 https://www.sec.gov/alj/aljorders/2016/ap-3923.pdf 3-17265 2016-06-16 Order Postponing Hearing and Scheduling Prehearing Conference Order Cope, Jay C. Markusen, Steven R. N/A AP-3924 https://www.sec.gov/alj/aljorders/2016/ap-3924.pdf 3-17251 2016-06-16 Order Order Blount, John Steven N/A AP-3925 https://www.sec.gov/alj/aljorders/2016/ap-3925.pdf 3-17228 2016-06-17 Second Order to Show Cause Order Cisneros, Susan A. N/A AP-3926 https://www.sec.gov/alj/aljorders/2016/ap-3926.pdf 3-17292 2016-06-17 Order Scheduling Hearing and Designating Presiding Judge Order Vision Industries Corp. Echo Automotive, Inc. Cascade Technologies Corp. N/A AP-3927 https://www.sec.gov/alj/aljorders/2016/ap-3927.pdf 3-17291 2016-06-17 Order Scheduling Hearing and Designating Presiding Judge Order MIT Holding, Inc. N/A AP-3928 https://www.sec.gov/alj/aljorders/2016/ap-3928.pdf 3-17293 2016-06-17 Order Scheduling Hearing and Designating Presiding Judge Order Advanced Life Sciences Holdings, Inc. Emperial Americas, Inc. Anoteros, Inc. Nord Resources Corporation UNR Holdings, Inc. N/A AP-3929 https://www.sec.gov/alj/aljorders/2016/ap-3929.pdf 3-17282 2016-06-17 Order Postponing Hearing and Scheduling Prehearing Conference Order Parallax Diagnostics, Inc. Eric B. Global Ventures, Inc. Secure Digital, Inc. N/A AP-3930 https://www.sec.gov/alj/aljorders/2016/ap-3930.pdf 3-17266 2016-06-17 Order to Show Cause Order Citizens Community Bancorp, Inc. Solis Pharma US, Inc. China VantagePoint Acquisition Co. N/A AP-3931 https://www.sec.gov/alj/aljorders/2016/ap-3931.pdf 3-17253 2016-06-20 Prehearing Order Order Winkelmann, Sr., James A. Blue Ocean Portfolios, LLC N/A AP-3932 https://www.sec.gov/alj/aljorders/2016/ap-3932.pdf 3-17228 2016-06-21 Scheduling and General Prehearing Order Order Hall, David S., CPA Cisneros, Susan A. Cochran, Michelle L. Helterbran, CPA David S. Hall, P.C. d/b/a The Hall Group CPAs N/A AP-3933 https://www.sec.gov/alj/aljorders/2016/ap-3933.pdf 3-17302 2016-06-22 Order Scheduling Hearing and Designating Presiding Judge Order Pivotal Group, Inc. Medisys Technologies, Inc. New Day Financial Management, Inc. Essential Telecommunications, Inc. N/A AP-3934 https://www.sec.gov/alj/aljorders/2016/ap-3934.pdf 3-15764 2016-06-22 Post-Hearing Order and Protective Order Order McDuff, Gary L. N/A AP-3935 https://www.sec.gov/alj/aljorders/2016/ap-3935.pdf 3-17228 2016-06-22 Order Discharging Order to Show Cause Order Cisneros, Susan A. David S. Hall, P.C. d/b/a The Hall Group CPAs Hall, David S., CPA Cochran, Michelle L. Helterbran, CPA N/A AP-3936 https://www.sec.gov/alj/aljorders/2016/ap-3936.pdf 3-17282 2016-06-22 Order Rescheduling Prehearing Conference Order Eric B. Global Ventures, Inc. Secure Digital, Inc. Parallax Diagnostics, Inc. N/A AP-3937 https://www.sec.gov/alj/aljorders/2016/ap-3937.pdf 3-17292 2016-06-22 Order Postponing Hearing and Scheduling Prehearing Conference Order Cascade Technologies Corp. Vision Industries Corp. Echo Automotive, Inc. N/A AP-3938 https://www.sec.gov/alj/aljorders/2016/ap-3938.pdf 3-17307 2016-06-23 Order Scheduling Hearing and Designating Presiding Judge Order Satori Beverages International, Ltd Hyperion Acquisition Corp. Galileo Petroleum Ltd. N/A AP-3939 https://www.sec.gov/alj/aljorders/2016/ap-3939.pdf 3-16554 2016-06-23 Notice Notice Gray, Laurence O. Hubbard, Robert C., IV Gray Financial Group, Inc. N/A AP-3940 https://www.sec.gov/alj/aljorders/2016/ap-3940.pdf 3-17255 2016-06-23 Order to Show Cause Order China Global Media, Inc. GFR Pharmaceuticals, Inc. Bodisen Biotech, Inc. China Heli Resource Renewable, Inc. N/A AP-3941 https://www.sec.gov/alj/aljorders/2016/ap-3941.pdf 3-17310 2016-06-24 Order Scheduling Hearing and Designating Presiding Judge Order Caspian International Oil Corporation Frawley Corporation Elevate, Inc. Groen Brothers Aviation, Inc. Logic Devices, Incorporated N/A AP-3942 https://www.sec.gov/alj/aljorders/2016/ap-3942.pdf 3-17311 2016-06-24 Order Scheduling Hearing and Designating Presiding Judge Order Rebornne (USA) Inc. N/A AP-3943 https://www.sec.gov/alj/aljorders/2016/ap-3943.pdf 3-17157 2016-06-24 Protective Order Order Zoernack, Steven EquityStar Capital Management, LLC N/A AP-3944 https://www.sec.gov/alj/aljorders/2016/ap-3944.pdf 3-17157 2016-06-24 Scheduling Order Order Zoernack, Steven EquityStar Capital Management, LLC N/A AP-3945 https://www.sec.gov/alj/aljorders/2016/ap-3945.pdf 3-17309 2016-06-27 Order Scheduling Hearing and Designating Presiding Judge Order Petaquilla Minerals Ltd. Coastal Pacific Mining Corp. N/A AP-3946 https://www.sec.gov/alj/aljorders/2016/ap-3946.pdf 3-17313 2016-06-27 Order Scheduling Hearing and Designating Presiding Judge Order Tirrell, William N/A AP-3947 https://www.sec.gov/alj/aljorders/2016/ap-3947.pdf 3-16463 2016-06-27 Order Scheduling Prehearing Conference Order Aegis Capital, LLC Osunkwo, David I. Circle One Wealth Management, LLC Lamm, Diane W. Strategic Consulting Advisors, LLC N/A AP-3948 https://www.sec.gov/alj/aljorders/2016/ap-3948.pdf 3-17265 2016-06-27 Order Following Prehearing Conference Order Markusen, Steven R. Cope, Jay C. N/A AP-3949 https://www.sec.gov/alj/aljorders/2016/ap-3949.pdf 3-17316 2016-06-28 Order Scheduling Hearing and Designating Presiding Judge Order Longwei Petroleum Investment Holding Limited N/A AP-3950 https://www.sec.gov/alj/aljorders/2016/ap-3950.pdf 3-17123 2016-06-28 Order Postponing Prehearing Conference Order Ceyoniq AG (n/k/a Ceyoniq, Inc.) Mentergy Ltd. (a/k/a Gilat Communicatios Ltd.) Nu Energy Inc. Mid-Am Systems, Inc. Market Data Consultants, Inc. N/A AP-3951 https://www.sec.gov/alj/aljorders/2016/ap-3951.pdf 3-15350 2016-06-28 Order on Motions for Redactions and Manifest Errors of Fact Order Securities Industry and Financial Markets Association N/A AP-3952 https://www.sec.gov/alj/aljorders/2016/ap-3952.pdf 3-17251 2016-06-28 Order Order Blount, John Steven N/A AP-3953 https://www.sec.gov/alj/aljorders/2016/ap-3953.pdf 3-15619 2016-06-28 Order Scheduling Prehearing Conference Order Doxey, Joseph P. N/A AP-3954 https://www.sec.gov/alj/aljorders/2016/ap-3954.pdf 3-17218 2016-06-29 Order to Show Cause Order Powell, Daniel Christian Stanley N/A AP-3955 https://www.sec.gov/alj/aljorders/2016/ap-3955.pdf 3-17289 2016-06-29 Order Postponing Hearing and Scheduling Prehearing Conference Order Gold, Alan H. N/A AP-3956 https://www.sec.gov/alj/aljorders/2016/ap-3956.pdf 3-17252 2016-06-29 Prehearing Order Order Von Hase, Stephan N/A AP-3957 https://www.sec.gov/alj/aljorders/2016/ap-3957.pdf 3-17256 2016-06-29 Stay Order Order Jinzanghuang Tibet Pharmaceuticals, Inc. Dragon Bright Mintai Botanical Technology Cayman Ltd. Macau Resources Group Ltd. N/A AP-3958 https://www.sec.gov/alj/aljorders/2016/ap-3958.pdf 3-17319 2016-06-29 Order Scheduling Hearing and Designating Presiding Judge Order Helen, Jan E. N/A AP-3959 https://www.sec.gov/alj/aljorders/2016/ap-3959.pdf 3-17313 2016-06-29 Order Postponing Hearing and Scheduling Prehearing Conference Order Tirrell, William N/A AP-3960 https://www.sec.gov/alj/aljorders/2016/ap-3960.pdf 3-15619 2016-06-30 Order Following Prehearing Conference and Granting Protective Order Order Doxey, Joseph P. N/A AP-3961 https://www.sec.gov/alj/aljorders/2016/ap-3961.pdf 3-16463 2016-07-01 Order Denying Continuance Order Strategic Consulting Advisors, LLC Lamm, Diane W. Aegis Capital, LLC Osunkwo, David I. Circle One Wealth Management, LLC N/A AP-3962 https://www.sec.gov/alj/aljorders/2016/ap-3962.pdf 3-17309 2016-07-06 Order Postponing Hearing and Scheduling Prehearing Conference Order Coastal Pacific Mining Corp. Petaquilla Minerals Ltd. N/A AP-3963 https://www.sec.gov/alj/aljorders/2016/ap-3963.pdf 3-17302 2016-07-06 Order to Show Cause Postponing Hearing, and Scheduling Prehearing Conference Order Pivotal Group, Inc. Essential Telecommunicatons, Inc. New Day Financial Management, Inc. Medisys Technologies, Inc. N/A AP-3964 https://www.sec.gov/alj/aljorders/2016/ap-3964.pdf 3-17291 2016-07-06 Order to Show Cause Postponing Hearing, and Scheduling Prehearing Conference Order MIT Holding, Inc. N/A AP-3965 https://www.sec.gov/alj/aljorders/2016/ap-3965.pdf 3-17293 2016-07-06 Order to Show Cause Postponing Hearing, and Scheduling Prehearing Conference Order UNR Holdings, Inc. Anoteros, Inc. Advanced Life Sciences Holdings, Inc. Emperial Americas, Inc. Nord Resources Corporation N/A AP-3966 https://www.sec.gov/alj/aljorders/2016/ap-3966.pdf 3-16228 2016-07-06 Order Denying Request for Extension of Time Order Rorke, Gregory Navagate, Inc. N/A AP-3967 https://www.sec.gov/alj/aljorders/2016/ap-3967.pdf 3-17210 2016-07-07 Order Finding Respondent in Default Order White, Paul Leon, II N/A AP-3968 https://www.sec.gov/alj/aljorders/2016/ap-3968.pdf 3-17282 2016-07-07 Order to Show Cause Order Eric B. Global Ventures, Inc. Parallax Diagnostics, Inc. Secure Digital, Inc. N/A AP-3969 https://www.sec.gov/alj/aljorders/2016/ap-3969.pdf 3-17292 2016-07-07 Order to Show Cause Order Echo Automotive, Inc. Vision Industries Corp. Cascade Technologies Corp. N/A AP-3970 https://www.sec.gov/alj/aljorders/2016/ap-3970.pdf 3-17228 2016-07-07 Order Regarding Motion for Summary Disposition Order Hall, David S. N/A AP-3971 https://www.sec.gov/alj/aljorders/2016/ap-3971.pdf 3-16463 2016-07-07 Order on Division's Objections Order Circle One Wealth Management, LLC Lamm, Diane W. Osunkwo, David I. Aegis Capital, LLC Strategic Consulting Advisors, LLC N/A AP-3972 https://www.sec.gov/alj/aljorders/2016/ap-3972.pdf 3-17310 2016-07-07 Order Order Caspian International Oil Corporation Logic Devices, Incorporated Groen Brothers Aviation, Inc. Frawley Corporation Elevate, Inc. N/A AP-3973 https://www.sec.gov/alj/aljorders/2016/ap-3973.pdf 3-17246 2016-07-08 Order Postponing Prehearing Conference Order Ruehle, Greg N/A AP-3974 https://www.sec.gov/alj/aljorders/2016/ap-3974.pdf 3-17327 2016-07-08 Order Scheduling Hearing and Designating Presiding Judge Order Neptune Acquisition Corp. Easy Health Technologies Ltd. Segway IV Corp. N/A AP-3975 https://www.sec.gov/alj/aljorders/2016/ap-3975.pdf 3-17289 2016-07-08 Stay Order Order Gold, Alan H. N/A AP-3976 https://www.sec.gov/alj/aljorders/2016/ap-3976.pdf 3-17293 2016-07-11 Order Rescheduling Prehearing Conference Order Anoteros, Inc. UNR Holdings, Inc. Advanced Life Sciences Holdings, Inc. Nord Resources Corporation N/A AP-3977 https://www.sec.gov/alj/aljorders/2016/ap-3977.pdf 3-17253 2016-07-11 Scheduling Order Order Blue Ocean Portfolios, LLC Winkelmann, James A., Sr. N/A AP-3978 https://www.sec.gov/alj/aljorders/2016/ap-3978.pdf 3-17319 2016-07-11 Order Postponing Hearing and Scheduling Prehearing Conference Order Helen, Jan E. N/A AP-3979 https://www.sec.gov/alj/aljorders/2016/ap-3979.pdf 3-17311 2016-07-11 Order Postponing Hearing Order Rebornne (USA) Inc. N/A AP-3980 https://www.sec.gov/alj/aljorders/2016/ap-3980.pdf 3-16509 2016-07-12 Order Scheduling Prehearing Conference Order Daspin, Edward M. a/k/a "Edward (ED) Michael" Agostini, Luigi Lux, Lawrence R. N/A AP-3981 https://www.sec.gov/alj/aljorders/2016/ap-3981.pdf 3-16463 2016-07-12 Stay Order as to Diane W. Lamm Order Lamm, Diane W. N/A AP-3982 https://www.sec.gov/alj/aljorders/2016/ap-3982.pdf 3-17311 2016-07-13 Order Scheduling Prehearing Conference Order Rebornne (USA) Inc. N/A AP-3983 https://www.sec.gov/alj/aljorders/2016/ap-3983.pdf 3-17309 2016-07-13 Order to Show Cause Order Coastal Pacific Mininng Corp. Petaquilla Minerals Ltd. N/A AP-3984 https://www.sec.gov/alj/aljorders/2016/ap-3984.pdf 3-17265 2016-07-13 Order to Show Cause Order Cope, Jay C. Markusen, Steven R. N/A AP-3985 https://www.sec.gov/alj/aljorders/2016/ap-3985.pdf 3-17311 2016-07-13 Order Rescheduling Prehearing Conference Order Rebornne (USA) Inc. N/A AP-3986 https://www.sec.gov/alj/aljorders/2016/ap-3986.pdf 3-17336 2016-07-14 Order Scheduling Hearing and Designating Presiding Judge Order Breitling Energy Corporation N/A AP-3987 https://www.sec.gov/alj/aljorders/2016/ap-3987.pdf 3-17013 2016-07-14 Order Order Perres, Allen M. St. Germain, Willard R. N/A AP-3988 https://www.sec.gov/alj/aljorders/2016/ap-3988.pdf 3-17342 2016-07-15 Order Scheduling Hearing and Designating Presiding Judge Order RD Legal Capital, LLC Dersovitz, Roni N/A AP-3989 https://www.sec.gov/alj/aljorders/2016/ap-3989.pdf 3-17307 2016-07-15 Order Postponing Hearing and Scheduling Prehearing Conference Order Satori Beverages International, Ltd. Hyperion Acquisition Corp. Galileo Petroleum Ltd. N/A AP-3990 https://www.sec.gov/alj/aljorders/2016/ap-3990.pdf 3-16462 2016-07-15 Order Order Tilton, Lynn Patriarch Partners, LLC Patriarch Partners XIV, LLC Patriarch Partners VIII, LLC Patriarch Partners XV, LLC N/A AP-3991 https://www.sec.gov/alj/aljorders/2016/ap-3991.pdf 3-16463 2016-07-15 Order Order Lamm, Diane W. Osunkwo, David I. Aegis Capital, LLC Strategic Consulting Advisors, LLC Circle One Wealth Management, LLC N/A AP-3992 https://www.sec.gov/alj/aljorders/2016/ap-3992.pdf 3-17252 2016-07-15 Order to Show Cause Order Von Hase, Stephan N/A AP-3993 https://www.sec.gov/alj/aljorders/2016/ap-3993.pdf 3-17032 2016-07-15 Order to Show Cause Order Middlesex Inc. Buncombe, Inc. Cotton Bay Holdings, Inc. Reon Holdings, Inc. N/A AP-3994 https://www.sec.gov/alj/aljorders/2016/ap-3994.pdf 3-15764 2016-07-15 Extension Order Order McDuff, Gary L. N/A AP-3995 https://www.sec.gov/alj/aljorders/2016/ap-3995.pdf 3-17346 2016-07-15 Order Scheduling Hearing and Designating Presiding Judge Order Franklin Bank Corporation N/A AP-3996 https://www.sec.gov/alj/aljorders/2016/ap-3996.pdf 3-16509 2016-07-18 Motion to the Commission for Extension Order Lux, Lawrence R. Agostini, Luigi Daspin, Edward M., a/k/a Edward (Ed) Michael N/A AP-3997 https://www.sec.gov/alj/aljorders/2016/ap-3997.pdf 3-16462 2016-07-18 Order Order Patriarch Partners, LLC Tilton, Lynn Patriarch Partners, VIII, LLC Patriarch Partners XV, LLC Patriarch Partners XIV, LLC N/A AP-3998 https://www.sec.gov/alj/aljorders/2016/ap-3998.pdf 3-17313 2016-07-19 Order Rescheduling Prehearing Conference Order Tirrell, William N/A AP-3999 https://www.sec.gov/alj/aljorders/2016/ap-3999.pdf 3-17316 2016-07-19 Order Postponing Hearing Order Longwei Petroleum Investment Holding Limited N/A AP-4000 https://www.sec.gov/alj/aljorders/2016/ap-4000.pdf 3-17327 2016-07-19 Order Postponing Hearing and Scheduling Prehearing Conference Order Easy Health Technologies Ltd. Neptune Acquisition Corp. Segway IV Corp. N/A AP-4001 https://www.sec.gov/alj/aljorders/2016/ap-4001.pdf 3-16463 2016-07-19 Order Regarding Transcript Corrections Order Aegis Capital, LLC Lamm, Diane W. Cirlce One Wealth Managment, LLC Strategic Consulting Advisors, LLC Osunkwo, David I. N/A AP-4002 https://www.sec.gov/alj/aljorders/2016/ap-4002.pdf 3-17253 2016-07-20 Order Order Winkelmann, James. A., Sr. Blue Ocean Portfolios, LLC N/A AP-4003 https://www.sec.gov/alj/aljorders/2016/ap-4003.pdf 3-16949 2016-07-20 Order Order Shah, Sandip N/A AP-4004 https://www.sec.gov/alj/aljorders/2016/ap-4004.pdf 3-16462 2016-07-20 Order Order Tilton, Lynn Patriarch Partners VIII, LLC Patriarch Partners, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4005 https://www.sec.gov/alj/aljorders/2016/ap-4005.pdf 3-16509 2016-07-20 Order Following Prehearing Conference Order Daspin, Edward M., a/k/a "Edward 9ED) Michael Agostini, Luigi Lux, Lawrence R. N/A AP-4006 https://www.sec.gov/alj/aljorders/2016/ap-4006.pdf 3-17336 2016-07-20 Order Postponing Hearing Order Breitling Energy Corporation N/A AP-4007 https://www.sec.gov/alj/aljorders/2016/ap-4007.pdf 3-16463 2016-07-20 Stay Order Order Osunkwo, David I. Strategic Consulting Advisors LLC N/A AP-4008 https://www.sec.gov/alj/aljorders/2016/ap-4008.pdf 3-17293 2016-07-20 Order Following Prehearing Conference Order UNR Holdings, Inc. Advanced Life Sciences Holdings, Inc. Nord Resources Corporation Emperial Americas, Inc. Anoteros, Inc. N/A AP-4009 https://www.sec.gov/alj/aljorders/2016/ap-4009.pdf 3-17350 2016-07-22 Order Scheduling Hearing and Designating Presiding Judge Order NP Energy Corporation Canadian Piper Air Corp. Algorex Corporation Capital and Services, Inc. N/A AP-4010 https://www.sec.gov/alj/aljorders/2016/ap-4010.pdf 3-17351 2016-07-22 Order Scheduling Hearing and Designating Presiding Judge Order Great Basin Gold Limited N/A AP-4011 https://www.sec.gov/alj/aljorders/2016/ap-4011.pdf 3-17353 2016-07-22 Order Scheduling Hearing and Designating Presiding Judge Order Strainvest Group, Inc. Scanner Technologies Corp. The Digital Development Group Corp. Seville Ventures Corp. N/A AP-4012 https://www.sec.gov/alj/aljorders/2016/ap-4012.pdf 3-17352 2016-07-22 Order Scheduling Hearing and Designating Presiding Judge Order Young, Marian P. Saving2retire, LLC N/A AP-4013 https://www.sec.gov/alj/aljorders/2016/ap-4013.pdf 3-17070 2016-07-22 Order on Motion for Summary Disposition Order 3C Advisors & Associates, Inc. Jones, Stephen Prolman, David N/A AP-4014 https://www.sec.gov/alj/aljorders/2016/ap-4014.pdf 3-17070 2016-07-22 Order as to Hearing Time and Location Order Jones, Stephen Prolman, David 3C Advisors & Associates, Inc. N/A AP-4015 https://www.sec.gov/alj/aljorders/2016/ap-4015.pdf 3-17307 2016-07-22 Order to Show Cause Order Satori Beverages International, Ltd Hyperion Acqusition Corp. Galileo Petroleum Ltd N/A AP-4016 https://www.sec.gov/alj/aljorders/2016/ap-4016.pdf 3-16463 2016-07-22 Order Order Lamm, Diane W. Circle One Wealth Managment, LLC Strategic Consulting Advisors, LLC Aegis Capital, LLC Osunkwo, David I. N/A AP-4017 https://www.sec.gov/alj/aljorders/2016/ap-4017.pdf 3-17180 2016-07-22 Order Denying Motion for Summary Disposition Unknown Berman, Elliot R., CPA Berman & Company, P.A. N/A AP-4018 https://www.sec.gov/alj/aljorders/2016/ap-4018.pdf 3-17180 2016-07-22 Order as to the Time and Location of the Final Prehearing Conference and Hearing Order Berman, Elliot R., CPA Berman & Company, P.A. N/A AP-4019 https://www.sec.gov/alj/aljorders/2016/ap-4019.pdf 3-17031 2016-07-25 Postponement Order Orders China Domestica Bio-Technology Holdings, Inc. N/A AP-4020 https://www.sec.gov/alj/aljorders/2016/ap-4020.pdf 3-17104 2016-07-26 Order Denying Motions for Summary Disposition Order Whelan, Andrew J. Whelan, Kelly A., CPA Bedwell, Robert P., CPA IBEX, LLC BioElectronics Corp. St. John's, LLC N/A AP-4021 https://www.sec.gov/alj/aljorders/2016/ap-4021.pdf 3-17104 2016-07-26 Order Setting Prehearing Schedule and Hearing Location Order IBEX, LLC Whelan, Andrew J. Bedwell, Robert P., CPA St. John's, LLC Whelan, Kelly A., CPA BioElectronics Corp. N/A AP-4022 https://www.sec.gov/alj/aljorders/2016/ap-4022.pdf 3-17311 2016-07-26 Order to Show Cause Order Rebornne (USA) Inc. N/A AP-4023 https://www.sec.gov/alj/aljorders/2016/ap-4023.pdf 3-17346 2016-07-27 Order Postponing Hearing and Scheduling Prehearing Conference Order Franklin Bank Corporation N/A AP-4024 https://www.sec.gov/alj/aljorders/2016/ap-4024.pdf 3-17327 2016-07-27 Order to Show Cause Orders Segway IV Corp. Neptune Acquistion Corp. Easy Health Technologies Ltd. N/A AP-4025 https://www.sec.gov/alj/aljorders/2016/ap-4025.pdf 3-17210 2016-07-27 Order Granting Extension Order White, Paul Leon, II N/A AP-4026 https://www.sec.gov/alj/aljorders/2016/ap-4026.pdf 3-17319 2016-07-27 Order Following Prehearing Conference Order Helen, Jan E. N/A AP-4027 https://www.sec.gov/alj/aljorders/2016/ap-4027.pdf 3-16462 2016-07-27 Order Order Patriarch Partners XIV, LLC Tilton, Lynn Patriarch Partners VIII, LLC Patriarch Partners, LLC Patriarch Partners XV, LLC N/A AP-4028 https://www.sec.gov/alj/aljorders/2016/ap-4028.pdf 3-17352 2016-07-28 Order Postponing Hearing and Scheduling Prehearing Conference Order Saving2Retire, LLC Young, Marian P. N/A AP-4029 https://www.sec.gov/alj/aljorders/2016/ap-4029.pdf 3-17363 2016-07-29 Order Designating Presiding Judge Order Sand International, Inc. N/A AP-4030 https://www.sec.gov/alj/aljorders/2016/ap-4030.pdf 3-16949 2016-07-29 Order Order Shah, Sandip N/A AP-4031 https://www.sec.gov/alj/aljorders/2016/ap-4031.pdf 3-16509 2016-08-01 Order on Transcript Corrections Order Daspin, Edward M., a/k/a "Edward (ED) Michael" Agostini, Luigi Lux, Lawrence R. N/A AP-4032 https://www.sec.gov/alj/aljorders/2016/ap-4032.pdf 3-17049 2016-08-01 Order Order Rahfco Management Group, LLC N/A AP-4033 https://www.sec.gov/alj/aljorders/2016/ap-4033.pdf 3-17123 2016-08-01 Order Order Ceyoniq Ag (N/K/A Ceyoniq, Inc.) N/A AP-4034 https://www.sec.gov/alj/aljorders/2016/ap-4034.pdf 3-16229 3-16227 2016-08-02 Order Order Osborn, Gregory MIddlebury Securities, LLC N/A AP-4035 https://www.sec.gov/alj/aljorders/2016/ap-4035.pdf 3-15764 2016-08-02 Order Regarding Hearing Exhibits Order McDuff, Gary L. N/A AP-4036 https://www.sec.gov/alj/aljorders/2016/ap-4036.pdf 3-17342 2016-08-02 Postponement Order Order Dersovitz, Roni RD Legal Capital, LLC N/A AP-4037 https://www.sec.gov/alj/aljorders/2016/ap-4037.pdf 3-17070 2016-08-02 Notice as to Hearing Dates Notice Jones, Stephen 3C Advisors & Associates, Inc. Prolman, David N/A AP-4038 https://www.sec.gov/alj/aljorders/2016/ap-4038.pdf 3-17218 2016-08-02 Order Order Powell, Daniel Christian Stanley N/A AP-4039 https://www.sec.gov/alj/aljorders/2016/ap-4039.pdf 3-16463 2016-08-03 Order Granting Division's Motion for Leave to File Revised Default Motion Out of Time Order Lamm, Diane W. Circle One Wealth Management, LLC Aegis Capital, LLC Osunkwo, David I. Strategic Consulting Advisors, LLC N/A AP-4040 https://www.sec.gov/alj/aljorders/2016/ap-4040.pdf 3-16949 2016-08-03 Notice Notice Shah, Sandip N/A AP-4041 https://www.sec.gov/alj/aljorders/2016/ap-4041.pdf 3-17350 2016-08-04 Order Postponing Hearing and Scheduling Prehearing Conference Order Capital and Services, Inc. Algorex Corporation NP Energy Corporation Canadian Piper Air Corp. N/A AP-4042 https://www.sec.gov/alj/aljorders/2016/ap-4042.pdf 3-17180 2016-08-04 Stay Order Order Berman & Company, P.A. Berman, Elliot R., CPA N/A AP-4043 https://www.sec.gov/alj/aljorders/2016/ap-4043.pdf 3-17365 2016-08-04 Order Scheduling Hearing and Designating Presiding Judge Order Alison. LLC Alison, Stephen D. N/A AP-4044 https://www.sec.gov/alj/aljorders/2016/ap-4044.pdf 3-17228 2016-08-04 Order Scheduling Oral Argument Order Hall, David S., CPA Cisneros, Susan A. Cochran, Michelle L. Helterbran, CPA David S. Hall, P.C. d/b/a The Hall Group CPAs N/A AP-4045 https://www.sec.gov/alj/aljorders/2016/ap-4045.pdf 3-17351 2016-08-05 Order Postponing Hearing and Scheduling Prehearing Conference Order Great Basin Gold Limited N/A AP-4046 https://www.sec.gov/alj/aljorders/2016/ap-4046.pdf 3-16462 2016-08-05 Order Order Patriarch Partners XIV, LLC Tilton, Lynn Patriarch Partners XV, LLC Patriarch Partners, LLC Patriarch Partners VIII, LLC N/A AP-4047 https://www.sec.gov/alj/aljorders/2016/ap-4047.pdf 3-17353 2016-08-05 Order Postponing Hearing and Scheduling Prehearing Conference Order Digital Development Group Corp. Seville Ventures Corp. Scanner Technologies Corp. StarInvest Group, Inc. N/A AP-4048 https://www.sec.gov/alj/aljorders/2016/ap-4048.pdf 3-17070 2016-08-05 Order Scheduling Prehearing Conference Order 3C Advisors & Associates, Inc. Jones, Stephen Prolman, David N/A AP-4049 https://www.sec.gov/alj/aljorders/2016/ap-4049.pdf 3-17307 2016-08-08 Order to Show Cause Order Hyperion Acquisition Corp. N/A AP-4050 https://www.sec.gov/alj/aljorders/2016/ap-4050.pdf 3-17363 2016-08-08 Order Regarding the Scheduled Hearing Order Sand International, Inc. N/A AP-4051 https://www.sec.gov/alj/aljorders/2016/ap-4051.pdf 3-17351 2016-08-09 Order to Show Cause Order Great Basin Gold Limited N/A AP-4052 https://www.sec.gov/alj/aljorders/2016/ap-4052.pdf 3-17336 2016-08-09 Order to Show Cause Order Breitling Energy Corporation N/A AP-4053 https://www.sec.gov/alj/aljorders/2016/ap-4053.pdf 3-17070 2016-08-09 Order Order 3C Advisors & Associates, Inc. Jones, Stephen Prolman, David N/A AP-4054 https://www.sec.gov/alj/aljorders/2016/ap-4054.pdf 3-17184 2016-08-10 Order Granting Joint Motion for Modification of Protective Order Order Gibson, Christopher M. N/A AP-4055 https://www.sec.gov/alj/aljorders/2016/ap-4055.pdf 3-17070 2016-08-10 Stay Order Order 3C Advisors & Associates, Inc. Prolman, David Jones, Stephen N/A AP-4056 https://www.sec.gov/alj/aljorders/2016/ap-4056.pdf 3-17310 2016-08-10 Order to Show Cause Order Logic Devices, Incorporated Elevate, Inc. Frawley Corporation Groen Brothers Aviation, Inc. Caspian International Oil Corporation N/A AP-4057 https://www.sec.gov/alj/aljorders/2016/ap-4057.pdf 3-17366 2016-08-10 Order Scheduling Hearing and Designating Presiding Judge Order Powder River Coal Corp. Capitol City Bancshares, Inc. Computer Graphics International Inc. Legal Life Plans, Inc. Chang-On International, Inc. John D. Oil and Gas Company N/A AP-4058 https://www.sec.gov/alj/aljorders/2016/ap-4058.pdf 3-17228 2016-08-12 Order Denying Motion for Summary Disposition of Michelle L. Helterbran Cochran, CPA Order David S. Hall, P.C. d/b/a The Hall Group CPAs Cochran, Michelle L. Helterbran, CPA Cisneros, Susan A. Hall, David S., CPA N/A AP-4059 https://www.sec.gov/alj/aljorders/2016/ap-4059.pdf 3-17374 2016-08-12 Order Scheduling Hearing and Designating Presiding Judge Order Harrington Resources, Inc. Dominion Minerals Corp. Foxwedge, Inc. Juniper Acquisition Corporation Nexus Data Security Corp. N/A AP-4060 https://www.sec.gov/alj/aljorders/2016/ap-4060.pdf 3-17372 2016-08-15 Order Scheduling Hearing and Designating Presiding Judge Order Island Trader LLC Nickles, Richard H. N/A AP-4061 https://www.sec.gov/alj/aljorders/2016/ap-4061.pdf 3-17375 2016-08-15 Order Scheduling Hearing and Designating Presiding Judge Order Ameralink, Inc. Basin Industries, Inc. Clinicorp, Inc. (N/K/A Trident Medical Concepts, Inc.) Claire Coast Corporation N/A AP-4062 https://www.sec.gov/alj/aljorders/2016/ap-4062.pdf 3-17376 2016-08-15 Order Scheduling Hearing and Designating Presiding Judge Order Granite Cliff, Incorporated Eastland Financial Corp. Greater Asia Realty Holdings, Ltd. N/A AP-4063 https://www.sec.gov/alj/aljorders/2016/ap-4063.pdf 3-17184 2016-08-15 Order Scheduling Prehearing Conference Order Gibson, Christopher M. N/A AP-4064 https://www.sec.gov/alj/aljorders/2016/ap-4064.pdf 3-17352 2016-08-15 Order Postponing Prehearing Conference Order Saving2Retire, LLC Young, Marian P. N/A AP-4065 https://www.sec.gov/alj/aljorders/2016/ap-4065.pdf 3-17381 2016-08-16 Order Scheduling Hearing and Designating Presiding Judge Order Safecode Drug Technologies Corp. N/A AP-4066 https://www.sec.gov/alj/aljorders/2016/ap-4066.pdf 3-17383 2016-08-16 Order Scheduling Hearing and Designating Presiding Judge Order Dynamic Ventures Corp. N/A AP-4067 https://www.sec.gov/alj/aljorders/2016/ap-4067.pdf 3-16509 2016-08-16 Order on Subpoena Requests Order Lux, Lawrence R. Daspin, Edward M., a/k/a "Edward (Ed) Michael" Agostini, Luigi N/A AP-4068 https://www.sec.gov/alj/aljorders/2016/ap-4068.pdf 3-17387 2016-08-17 Order Scheduling Hearing and Presiding Judge Order Eden ARC Capital Management, Inc. Lathen, Donald F., JR Eden ARC Captial Advisors, Inc. N/A AP-4069 https://www.sec.gov/alj/aljorders/2016/ap-4069.pdf 3-17398 2016-08-17 Order Scheduling Hearing and Designating Presiding Judge Order Delaney Equity Group LLC N/A AP-4070 https://www.sec.gov/alj/aljorders/2016/ap-4070.pdf 3-17346 2016-08-17 Order to Show Cause Order Franklin Bank Corporation N/A AP-4071 https://www.sec.gov/alj/aljorders/2016/ap-4071.pdf 3-17353 2016-08-17 Order Extending Time to Answer / Order to Show Cause Directed to the Other Respondents Order StarInvest Group, Inc. Scanner Technologies Corp. Digital Development Group Corp. (The) Seville Ventures Corp. N/A AP-4072 https://www.sec.gov/alj/aljorders/2016/ap-4072.pdf 3-17363 2016-08-17 Order to Show Cause Order Sand International, Inc. N/A AP-4073 https://www.sec.gov/alj/aljorders/2016/ap-4073.pdf 3-17350 2016-08-17 Order Following Prehearing Conference and to Show Cause Order Algorex Corporation Capital and Services, Inc. NP Energy Corporation Canadian Piper Air Corp. N/A AP-4074 https://www.sec.gov/alj/aljorders/2016/ap-4074.pdf 3-17352 2016-08-17 Order Scheduling Prehearing Conference Order Young, Marian P. Savings2Retire, LLC N/A AP-4075 https://www.sec.gov/alj/aljorders/2016/ap-4075.pdf 3-17395 2016-08-18 Order Scheduling Hearing and Designating Presiding Judge Orders Jones, Anthony Tyrone N/A AP-4076 https://www.sec.gov/alj/aljorders/2016/ap-4076.pdf 3-17405 2016-08-22 Order Scheduling Hearing and Designating Presiding Judge Orders Bay City Transfer Agency and Registrar, Inc. Amersey, Nitin M. N/A AP-4077 https://www.sec.gov/alj/aljorders/2016/ap-4077.pdf 3-17319 2016-08-22 Order on Motion Orders Helen, Jan E. N/A AP-4078 https://www.sec.gov/alj/aljorders/2016/ap-4078.pdf 3-16937 2016-08-22 Order Denying Respondent's Motion to Correct Manifest Error Orders Murray, James Michael N/A AP-4079 https://www.sec.gov/alj/aljorders/2016/ap-4079.pdf 3-17184 2016-08-22 Order on Motion in Limine Orders Gibson, Christopher N/A AP-4080 https://www.sec.gov/alj/aljorders/2016/ap-4080.pdf 3-16509 2016-08-22 Order Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4081 https://www.sec.gov/alj/aljorders/2016/ap-4081.pdf 3-17376 2016-08-22 Order Postponing Hearing and Scheduling Prehearing Conference Orders Eastland Financial Corp. Granite Cliffs, Incorporated Greater Asia Realty Holdings, Ltd N/A AP-4082 https://www.sec.gov/alj/aljorders/2016/ap-4082.pdf 3-17408 2016-08-23 Order Scheduling Hearing and Designating Presiding Judge Orders Global Earth Energy, Inc. N/A AP-4083 https://www.sec.gov/alj/aljorders/2016/ap-4083.pdf 3-17374 2016-08-23 Order Postponing Hearing and Scheduling Prehearing Conference Orders Dominion Minerals Corp. foxwedge, Incx. Harrington Resources, Inc. Juniper Acquisition Corporation Nexus Data Security Corp. N/A AP-4084 https://www.sec.gov/alj/aljorders/2016/ap-4084.pdf 3-16509 2016-08-23 Order on Revisions to Record Index Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4085 https://www.sec.gov/alj/aljorders/2016/ap-4085.pdf 3-17157 2016-08-23 Stay Order Orders EquityStar Capital Management, LLC Zoernack, Steven N/A AP-4086 https://www.sec.gov/alj/aljorders/2016/ap-4086.pdf 3-17342 2016-08-23 Prehearing Order Orders RD Legal Capital, LLC Dersovitz, Roni N/A AP-4087 https://www.sec.gov/alj/aljorders/2016/ap-4087.pdf 3-17366 2016-08-23 Order Postponing Hearing Orders Breitling Energy Corporation N/A AP-4088 https://www.sec.gov/alj/aljorders/2016/ap-4088.pdf 3-17366 2016-08-23 Order Postponing Hearing Orders Capital City Bancshares, Inc. Change-On International, Inc. Computer Graphics International Inc. John D. Oil and Gas Company Legal Life Plans, Inc. Powder River Coal Corp. N/A AP-4089 https://www.sec.gov/alj/aljorders/2016/ap-4089.pdf 3-17184 2016-08-24 Order Following Second Prehearing Conference Orders Gibson, Christopher M. N/A AP-4090 https://www.sec.gov/alj/aljorders/2016/ap-4090.pdf 3-17228 2016-08-24 Order as to Hearing Time and Location Orders Hall, David S. CPA Helterbran, Michelle L. CPA Cisneros, Susan A. N/A AP-4091 https://www.sec.gov/alj/aljorders/2016/ap-4091.pdf 3-17104 2016-08-24 Stay Order Orders Bedwell, Robert P. CPA N/A AP-4092 https://www.sec.gov/alj/aljorders/2016/ap-4092.pdf 3-17352 2016-08-24 Order/Order Orders Saving2Retire, LLc N/A AP-4093 https://www.sec.gov/alj/aljorders/2016/ap-4093.pdf 3-17375 2016-08-25 Order Postponing Hearing and Scheduling Prehearing Conference Orders Ameralink, Inc. Basin Industries, Inc. Claire Coast Corporation Clinicorp, Inc. (n/k/a Trident Medical Concepts, Inc.) N/A AP-4094 https://www.sec.gov/alj/aljorders/2016/ap-4094.pdf 3-17387 2016-08-25 Order Postponing Hearing and Scheduling Prehearing Conference Orders Lathen, Donald F. ("Jay") JR. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4095 https://www.sec.gov/alj/aljorders/2016/ap-4095.pdf 3-17218 2016-08-26 Order Granting Motion to Amend the Order Instituting Proceedings Orders Powell, Daniel Christian Stanlley N/A AP-4096 https://www.sec.gov/alj/aljorders/2016/ap-4096.pdf 3-17180 2016-08-26 Order Granting Stay Orders Berman, Elliott R. CPA Berman & Company, P.A. N/A AP-4097 https://www.sec.gov/alj/aljorders/2016/ap-4097.pdf 3-17123 2016-08-26 Order Granting Motion for Reconsideration and Postponing Prehearing Conference Orders Ceyoniq AG (N/K/A Ceyoniq, Inc.) Market Data Consultants, Inc. Mentergy Ltd. (A/K/A Gilat Communications Ltd.) Mid-AM Systems, Inc. Nu Energy Inc. N/A AP-4098 https://www.sec.gov/alj/aljorders/2016/ap-4098.pdf 3-17352 2016-08-26 Scheduling Order Orders Saving2Retire, LLC Young, Marian P. N/A AP-4099 https://www.sec.gov/alj/aljorders/2016/ap-4099.pdf 3-17398 2016-08-29 Order Postponing Hearing and Directing the Parties to Hold an Initial Prehearing Conference Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4100 https://www.sec.gov/alj/aljorders/2016/ap-4100.pdf 3-17366 2016-08-29 Order to Show Cause as to Three Respondents Orders Capital City Bancshares, Inc. Chang-on International, Inc. Computer Graphics International Inc. John D. Oil and Gas Company Legal Life Plans, Inc. Powder River Coal Corp. N/A AP-4101 https://www.sec.gov/alj/aljorders/2016/ap-4101.pdf 3-16229 3-16227 2016-08-30 Notice Orders Osborn, Gregory Middlebury Securities, LLC N/A AP-4102 https://www.sec.gov/alj/aljorders/2016/ap-4102.pdf 3-17104 2016-08-30 Order Regarding Respondents' Motion in Limine Orders St. John's, LLC Whelan, Andrew J. CPA Whelan, Kelly A. CPA Bedwell, Robert P. CPA Bioelectronics Corp. IBEX, LLC N/A AP-4103 https://www.sec.gov/alj/aljorders/2016/ap-4103.pdf 3-17228 2016-08-30 Order Changing Hearing Location Orders Hall, David S. CPA David S. Hall, P.C. d/b/a The Hall Group CPAs Helterbran Cochran, Michelle L. CPA Cisneros, Susan A. N/A AP-4104 https://www.sec.gov/alj/aljorders/2016/ap-4104.pdf 3-16462 2016-08-30 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4105 https://www.sec.gov/alj/aljorders/2016/ap-4105.pdf 3-17511 2016-08-30 Order Scheduling Hearing and Designating Presiding Judge Orders Watson, Pamella B. N/A AP-4106 https://www.sec.gov/alj/aljorders/2016/ap-4106.pdf 3-17395 2016-08-31 Postponement Order Orders Jones, Anthony Tyrone Jr. N/A AP-4107 https://www.sec.gov/alj/aljorders/2016/ap-4107.pdf 3-16509 2016-08-31 Order Orders Daspin, Edward M. Agostini, Luigi Lux, Lawerence R. N/A AP-4108 https://www.sec.gov/alj/aljorders/2016/ap-4108.pdf 3-17376 2016-08-31 Order to Show Cause Orders Eastland Financial Corp. Granite Cliffs, Incorporated Greater Asia Realty Holdings, Ltd N/A AP-4109 https://www.sec.gov/alj/aljorders/2016/ap-4109.pdf 3-17383 2016-08-31 Order Postponing Hearing and Scheduling Prehearing Conference Orders Dynamic Ventures Corp. N/A AP-4110 https://www.sec.gov/alj/aljorders/2016/ap-4110.pdf 3-17513 2016-09-01 Order Scheduling Hearing and Designating Presiding Judge Orders Fairfield Minerals, LTD Metal Storm Limited N/A AP-4111 https://www.sec.gov/alj/aljorders/2016/ap-4111.pdf 3-17514 2016-09-01 Order Scheduling Hearing and Designating Presiding Judge Orders ILIO, Inc. Industrial Imaging Corportation Jackray Corporation N/A AP-4112 https://www.sec.gov/alj/aljorders/2016/ap-4112.pdf 3-17518 2016-09-01 Order Scheduling Hearing and Designating Presiding Judge Orders Multi-Corp. International, Inc. Pan American Goldfields LTD Sky Harvest Energy Corp. N/A AP-4113 https://www.sec.gov/alj/aljorders/2016/ap-4113.pdf 3-17519 2016-09-01 Order Scheduling Hearing and Designating Presiding Judge Orders Grace Development, Inc. Luxeyard, Inc. Super Directories, Inc. N/A AP-4114 https://www.sec.gov/alj/aljorders/2016/ap-4114.pdf 3-17393 2016-09-01 Order Scheduling Hearing and Designating Presiding Judge Orders Peterson, Curtis A. N/A AP-4115 https://www.sec.gov/alj/aljorders/2016/ap-4115.pdf 3-16229 3-16227 2016-09-01 Order Granting Motion for Extension Orders Osborn, Gregory Middlebury Securities, LLC N/A AP-4116 https://www.sec.gov/alj/aljorders/2016/ap-4116.pdf 3-16462 2016-09-01 Order Orders Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners VIII, XIV, LLC Patriarch Partners XV, LLC Tilton, Lynn N/A AP-4117 https://www.sec.gov/alj/aljorders/2016/ap-4117.pdf 3-15764 2016-09-01 Order Granting Motion for Extension of Time to File Responsive Post-Hearing Briefs Orders McDuff, Gary L. N/A AP-4118 https://www.sec.gov/alj/aljorders/2016/ap-4118.pdf 3-16462 2016-09-01 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4119 https://www.sec.gov/alj/aljorders/2016/ap-4119.pdf 3-17104 2016-09-02 Order Denying without Prejudice Respondents Motion to Continue Trial Date and for Leave to file Amended Expert Reports Orders BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan, Kelly A. Bedwell, Robert P. N/A AP-4120 https://www.sec.gov/alj/aljorders/2016/ap-4120.pdf 3-16509 2016-09-02 Order Scheduling Prehearing Conference Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4121 https://www.sec.gov/alj/aljorders/2016/ap-4121.pdf 3-17525 2016-09-02 Order Scheduling Hearing and Designating Presiding Judge Orders Milligan, Robert D. N/A AP-4122 https://www.sec.gov/alj/aljorders/2016/ap-4122.pdf 3-17228 2016-09-02 Order on Motions for Summary Disposition Orders Hall, David S. CPA David S. Hall, P.C. d/b/a The Hall Group CPAs Helterbran Cochran, Michelle L. CPA Cisneros, Susan A. N/A AP-4123 https://www.sec.gov/alj/aljorders/2016/ap-4123.pdf 3-17398 2016-09-02 Order Granting Extension of Time to File Answers Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4124 https://www.sec.gov/alj/aljorders/2016/ap-4124.pdf 3-16462 2016-09-02 Order Orders Tllton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4125 https://www.sec.gov/alj/aljorders/2016/ap-4125.pdf 3-17381 2016-09-06 Show Cause Order/Order Postponing Hearing and Scheduling Prehearing Conference Orders Safecode Drug Technologies Corp N/A AP-4126 https://www.sec.gov/alj/aljorders/2016/ap-4126.pdf 3-17365 2016-09-06 Order Postponing Hearing, Directing the Parties to Hold an Initial Prehearing Conference, and Extending Answer Deadline Orders Alison, LLC Alison, Stephen D. N/A AP-4127 https://www.sec.gov/alj/aljorders/2016/ap-4127.pdf 3-17104 2016-09-06 Order Granting Joint Motion For Continuance of the Hearing Date Orders Bioelectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4128 https://www.sec.gov/alj/aljorders/2016/ap-4128.pdf 3-17527 2016-09-07 Order Scheduling Hearing and Designating Presiding Judge Orders Hahn, Karl E. N/A AP-4129 https://www.sec.gov/alj/aljorders/2016/ap-4129.pdf 3-16229 3-16227 2016-09-07 Order Orders Middlebury Securities, LLC Osborn, Gregory N/A AP-4130 https://www.sec.gov/alj/aljorders/2016/ap-4130.pdf 3-17374 2016-09-07 Show Cause Order Orders Dominion Minerals Corp. Foxwedge, Inc. Harrington Resources, Inc. Juniper Acquisition Corporation Nexus Data Security Corp. N/A AP-4131 https://www.sec.gov/alj/aljorders/2016/ap-4131.pdf 3-17253 2016-09-07 Order Redesignating Presiding Judge Orders Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A AP-4132 https://www.sec.gov/alj/aljorders/2016/ap-4132.pdf 3-15764 2016-09-07 Order Denying Motion to Compel or Alternatively, Motion to Strike Orders McDuff, Gary L. N/A AP-4133 https://www.sec.gov/alj/aljorders/2016/ap-4133.pdf 3-17366 2016-09-07 Stay Order Orders Legal Life Plans, Inc. John D. Oil and Gas Company N/A AP-4134 https://www.sec.gov/alj/aljorders/2016/ap-4134.pdf 3-17408 2016-09-08 Order Postponing Hearing and Scheduling Prehearing Conference Orders Global Earth Energy, Inc. N/A AP-4135 https://www.sec.gov/alj/aljorders/2016/ap-4135.pdf 3-17375 2016-09-08 Show Cause Order Orders Ameralink, Inc. Basin Industries, Inc. Claire Coast Corporation Clinicorp, Inc. (N/K/A Trident Medical Concepts, Inc.) N/A AP-4136 https://www.sec.gov/alj/aljorders/2016/ap-4136.pdf 3-17217 2016-09-08 Order Modifying Scheduling Order Orders TPG Advisors LLC (D/B/A The Phillips Group Advisors) Phillips, Larry M. N/A AP-4137 https://www.sec.gov/alj/aljorders/2016/ap-4137.pdf 3-16462 2016-09-08 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4138 https://www.sec.gov/alj/aljorders/2016/ap-4138.pdf 3-17353 2016-09-08 Order Setting Summary Disposition Briefing Schedule as to Starinvest Group, Inc. Orders Starinvest Group, Inc. N/A AP-4139 https://www.sec.gov/alj/aljorders/2016/ap-4139.pdf 3-17528 2016-09-08 Order Scheduling Hearing and Designating Presiding Judge Orders Kazinec, Aaron Nash N/A AP-4140 https://www.sec.gov/alj/aljorders/2016/ap-4140.pdf 3-16509 2016-09-08 Order Following Prehearing Conference Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4141 https://www.sec.gov/alj/aljorders/2016/ap-4141.pdf 3-17184 2016-09-09 Order Denying Motion to Exclude Testimony Orders Gibson, Christopher M. N/A AP-4142 https://www.sec.gov/alj/aljorders/2016/ap-4142.pdf 3-17519 2016-09-09 Postponement Order Orders Grace Development, Inc. Luxeyard, Inc. SuperDirectories, Inc. N/A AP-4143 https://www.sec.gov/alj/aljorders/2016/ap-4143.pdf 3-16227 3-16229 2016-09-09 Order Setting Prehearing Conference Orders Middlebury Securities, LLC Osborn, Gregory N/A AP-4144 https://www.sec.gov/alj/aljorders/2016/ap-4144.pdf 3-17253 2016-09-09 Order Rescheduling Prehearing Conference Orders Winkelmann, James A. SR Blue Ocean Portfolios, LLC N/A AP-4145 https://www.sec.gov/alj/aljorders/2016/ap-4145.pdf 3-16462 2016-09-09 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4146 https://www.sec.gov/alj/aljorders/2016/ap-4146.pdf 3-16509 2016-09-12 Stay Order Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4147 https://www.sec.gov/alj/aljorders/2016/ap-4147.pdf 3-17353 2016-09-12 Order Canceling Prehearing Conference Orders Seville Ventures Corp. Starinvest Group, Inc. The Digital Development Group Corp. Scanner Technologies Corp. N/A AP-4148 https://www.sec.gov/alj/aljorders/2016/ap-4148.pdf 3-17408 2016-09-12 Stay Order Policy Statement Global Earth Energy, Inc. N/A AP-4149 https://www.sec.gov/alj/aljorders/2016/ap-4149.pdf 3-17387 2016-09-13 Order Following Prehearing Conference Orders Lathen, Donald F. JR Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4150 https://www.sec.gov/alj/aljorders/2016/ap-4150.pdf 3-17398 2016-09-13 Order Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4151 https://www.sec.gov/alj/aljorders/2016/ap-4151.pdf 3-17405 2016-09-13 Order Postponing Hearing and Scheduling Prehearing Conference Orders Bay City Transfer Agency and Registrar, Inc. Amersey, Nitin M. N/A AP-4152 https://www.sec.gov/alj/aljorders/2016/ap-4152.pdf 3-16229 3-16227 2016-09-14 Order Orders Middlebury Securities, LLC Osborn, Gregory N/A AP-4153 https://www.sec.gov/alj/aljorders/2016/ap-4153.pdf 3-16462 2016-09-14 Order Orders Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC Tilton, Lynn N/A AP-4154 https://www.sec.gov/alj/aljorders/2016/ap-4154.pdf 3-17372 2016-09-14 Order Postponing Hearing and Scheduling Prehearing Conference Opinions Island Trader LLC Nickles, Richard H. N/A AP-4155 https://www.sec.gov/alj/aljorders/2016/ap-4155.pdf 3-17528 2016-09-14 Order Postponing Hearing and Scheduling Prehearing Conference Orders Kazinec, Aaron Nash N/A AP-4156 https://www.sec.gov/alj/aljorders/2016/ap-4156.pdf 3-17395 2016-09-16 Order Orders Jones, Anthony Tyrone JR N/A AP-4157 https://www.sec.gov/alj/aljorders/2016/ap-4157.pdf 3-16462 2016-09-16 Order Orders Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC Tilton, Lynn N/A AP-4158 https://www.sec.gov/alj/aljorders/2016/ap-4158.pdf 3-16349 2016-09-16 Order Scheduling Prehearing Conference Orders Duka, Barbara N/A AP-4159 https://www.sec.gov/alj/aljorders/2016/ap-4159.pdf 3-16462 2016-09-16 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4160 https://www.sec.gov/alj/aljorders/2016/ap-4160.pdf 3-17514 2016-09-16 Order Postponing Hearing and Scheduling Prehearing Conference/Show Cause Order Orders Ilio, Inc. Industrial Imaging Corporation Jackray Corporation N/A AP-4161 https://www.sec.gov/alj/aljorders/2016/ap-4161.pdf 3-16462 2016-09-16 Order Orders Lynn Tilton et al N/A AP-4162 https://www.sec.gov/alj/aljorders/2016/ap-4162.pdf 3-16462 2016-09-16 Order Orders Lynn Tilton et al. N/A AP-4163 https://www.sec.gov/alj/aljorders/2016/ap-4163.pdf 3-16229 3-16227 2016-09-16 Order Following Prehearing Conference Orders Middlebury Securities LLC Osborn, Gregory N/A AP-4164 https://www.sec.gov/alj/aljorders/2016/ap-4164.pdf 3-17525 2016-09-16 Order Postponing Hearing and Scheduling Prehearing Conference Orders Milligan, Robert D. N/A AP-4165 https://www.sec.gov/alj/aljorders/2016/ap-4165.pdf 3-17184 2016-09-16 Post-Hearing Order Orders Gibson, Christopher M. N/A AP-4166 https://www.sec.gov/alj/aljorders/2016/ap-4166.pdf 3-17542 2016-09-19 Order Scheduling Hearing and Designating Presiding Judge Orders All Energy Corp. As Seen On TV, Inc. N/A AP-4167 https://www.sec.gov/alj/aljorders/2016/ap-4167.pdf 3-17543 2016-09-19 Order Scheduling Hearing and Designating Presiding Judge Orders Affordable Green Homes International Jilco Industries, Inc. TMP Land Mortgage Fund, Ltd. N/A AP-4168 https://www.sec.gov/alj/aljorders/2016/ap-4168.pdf 3-17387 2016-09-19 Order Denying Leave for Summary Disposition Orders Lathan, Donald Jay Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4169 https://www.sec.gov/alj/aljorders/2016/ap-4169.pdf 3-17550 2016-09-19 Order Scheduling Hearing and Designating Presiding Judge Orders Ditommaso, Tod A. Esq N/A AP-4170 https://www.sec.gov/alj/aljorders/2016/ap-4170.pdf 3-17545 2016-09-19 Order Designating Presiding Judge Opinions Fusion Pharm, Inc. N/A AP-4171 https://www.sec.gov/alj/aljorders/2016/ap-4171.pdf 3-17546 2016-09-19 Order Designating Presiding Judge Orders Dittman, Scott M. CPA N/A AP-4172 https://www.sec.gov/alj/aljorders/2016/ap-4172.pdf 3-17547 2016-09-19 Order Designating Presiding Judge Orders Sears, William J. N/A AP-4173 https://www.sec.gov/alj/aljorders/2016/ap-4173.pdf 3-17548 2016-09-19 Order Designating Presiding Judge Orders Microcap Management, LLC Microcap Management LLC Bayside Realty Holdings LLC Meadpoint Venture Partners LLC N/A AP-4174 https://www.sec.gov/alj/aljorders/2016/ap-4174.pdf 3-17549 2016-09-19 Order Designating Presiding Judge Orders Bodden, Cliffe R. N/A AP-4175 https://www.sec.gov/alj/aljorders/2016/ap-4175.pdf 3-17405 2016-09-19 Order Postponing Prehearing Conference Orders Amersey, Nitin M. Bay City Transfer Agency and Registrar, Inc. N/A AP-4176 https://www.sec.gov/alj/aljorders/2016/ap-4176.pdf 3-16383 2016-09-19 Order Scheduling Prehearing Conference Orders Hill, Charles L. Jr. N/A AP-4177 https://www.sec.gov/alj/aljorders/2016/ap-4177.pdf 3-16554 2016-09-19 Order Scheduling Second Prehearing Conference Orders Gray, Laurence O. Gray Financial Group, Inc. Hubbard, Robert C. IV N/A AP-4178 https://www.sec.gov/alj/aljorders/2016/ap-4178.pdf 3-17518 2016-09-19 Order Postponing Hearing Orders Multi-Corp. International, Inc. Pan American Goldfields Ltd. Sky Harvest Energy Corp. N/A AP-4179 https://www.sec.gov/alj/aljorders/2016/ap-4179.pdf 3-17513 2016-09-19 Order Postponing Hearing and Scheduling Prehearing Conference Orders Fairfield Minerals, Ltd. Metal Storm Limited N/A AP-4180 https://www.sec.gov/alj/aljorders/2016/ap-4180.pdf 3-16228 2016-09-20 Stay Order Orders Navagate, Inc. Rorke, Gregory N/A AP-4181 https://www.sec.gov/alj/aljorders/2016/ap-4181.pdf 3-17393 2016-09-20 Order Postponing Hearing and Directing the Parties to Hold an Initial Prehearing Conference Orders Peterson, Curtis A. N/A AP-4182 https://www.sec.gov/alj/aljorders/2016/ap-4182.pdf 3-17511 2016-09-20 Order Postponing Hearing Orders Watson, Pamella B. N/A AP-4183 https://www.sec.gov/alj/aljorders/2016/ap-4183.pdf 3-17527 2016-09-20 Order Postponing Hearing and Scheduling Prehearing Conference Orders Hahn, Karl E. N/A AP-4184 https://www.sec.gov/alj/aljorders/2016/ap-4184.pdf 3-16509 2016-09-21 Order Orders Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A AP-4185 https://www.sec.gov/alj/aljorders/2016/ap-4185.pdf 3-16349 2016-09-14 Order Following Prehearing Conference and Setting Procedural Schedule Orders Duka, Barbara N/A AP-4186 https://www.sec.gov/alj/aljorders/2016/ap-4186.pdf 3-17383 2016-09-21 Show Cause Order Orders Dynamic Ventures Corp. N/A AP-4187 https://www.sec.gov/alj/aljorders/2016/ap-4187.pdf 3-17398 2016-09-22 Scheduling Order Orders Kass, Ian C. Delaney Equity Group LLC Delaney, David C. N/A AP-4188 https://www.sec.gov/alj/aljorders/2016/ap-4188.pdf 3-17365 2016-09-22 Order Scheduling Prehearing Conference Orders Alison, LLC Alison, Stephen D. N/A AP-4189 https://www.sec.gov/alj/aljorders/2016/ap-4189.pdf 3-17253 2016-09-23 Order Following Final Prehearing Conference Orders Winkelmann, James A. SR Blue Ocean Portfolios, LLC N/A AP-4190 https://www.sec.gov/alj/aljorders/2016/ap-4190.pdf 3-17518 2016-09-23 Show Cause Order Orders Multi-Corp. International, Inc. Pan American Goldfields Ltd. Sky Harvest Energy Corp. N/A AP-4191 https://www.sec.gov/alj/aljorders/2016/ap-4191.pdf 3-15764 2016-09-26 Order Regarding Transcript Corrections Orders McDuff, Gary L. N/A AP-4192 https://www.sec.gov/alj/aljorders/2016/ap-4192.pdf 3-17558 2016-09-26 Order Scheduling Hearing and Designating Presiding Judge Orders BluForest, Inc. N/A AP-4193 https://www.sec.gov/alj/aljorders/2016/ap-4193.pdf 3-17563 2016-09-26 Order Scheduling Hearing and Designating Presiding Judge Orders AIC International Resources Corp. Stellar Metals, Inc. N/A AP-4194 https://www.sec.gov/alj/aljorders/2016/ap-4194.pdf 3-17564 2016-09-26 Order Scheduling Hearing and Designating Presiding Judge Orders Amarillo Mesquite Grill, Inc. Global Opportunity Fund LP Healthrenu Medical, Inc. Hynes & Howes Insurance Counselors, Inc. N/A AP-4195 https://www.sec.gov/alj/aljorders/2016/ap-4195.pdf 3-17565 2016-09-26 Order Scheduling Hearing and Designating Presiding Judge Orders Capital Preferred Yield Fund-III, LP Clearly Canadian Beverage Corp. Diversinet Corp. N/A AP-4196 https://www.sec.gov/alj/aljorders/2016/ap-4196.pdf 3-17570 2016-09-26 Order Scheduling Hearing and Designating Presiding Judge Orders Medient Studios, Inc., a/k/a Moon River Studios, Inc. N/A AP-4197 https://www.sec.gov/alj/aljorders/2016/ap-4197.pdf 3-17571 2016-09-26 Order Scheduling Hearing and Designating Presiding Judge Orders Mellon, Matthew T. II N/A AP-4198 https://www.sec.gov/alj/aljorders/2016/ap-4198.pdf 3-17366 2016-09-26 Order Extending Stay Orders Capitol City Bancshares, Inc. Chang-On International, Inc. Computer Graphics International, Inc. John D. Oil and Gas Company Legal Life Plans, Inc. Powder River Coal Corp. N/A AP-4199 https://www.sec.gov/alj/aljorders/2016/ap-4199.pdf 3-17398 2016-09-26 Order Granting Second Extension of Time to File Answer Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4200 https://www.sec.gov/alj/aljorders/2016/ap-4200.pdf 3-17217 2016-09-26 Second Order Modifying Scheduling Order Orders Phillips, Larry M. TPG Advisors LLC d/b/a The Phillips Group Advisors N/A AP-4201 https://www.sec.gov/alj/aljorders/2016/ap-4201.pdf 3-17574 2016-09-27 Order Scheduling Hearing and Designating Presiding Judge Orders Accel Brands, Inc. N/A AP-4202 https://www.sec.gov/alj/aljorders/2016/ap-4202.pdf 3-17577 2016-09-27 Order Scheduling Hearing and Designating Presiding Judge Orders Seibert, Robert N/A AP-4203 https://www.sec.gov/alj/aljorders/2016/ap-4203.pdf 3-17511 2016-09-27 Order Scheduling Prehearing Conference Orders Watson, Pamella B. N/A AP-4204 https://www.sec.gov/alj/aljorders/2016/ap-4204.pdf 3-17319 2016-09-27 Order on Motion Orders Helen, Jan E. N/A AP-4205 https://www.sec.gov/alj/aljorders/2016/ap-4205.pdf 3-17104 2016-09-28 Post Hearing Scheduling Order Orders BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. CPA Whelan, Kelly A. CPA N/A AP-4206 https://www.sec.gov/alj/aljorders/2016/ap-4206.pdf 3-17228 2016-09-28 Order on Witness Lists Orders Helterbran Cochran, Michelle L. CPA Hall, David S. CPA David S. Hall, P.C. d/b/a the Hall Group, CPAs Cisneros, Susan A. N/A AP-4207 https://www.sec.gov/alj/aljorders/2016/ap-4207.pdf 3-16227 3-16229 2016-09-28 Order Orders Middlebury Securities, LLC Osborn, Gregory N/A AP-4208 https://www.sec.gov/alj/aljorders/2016/ap-4208.pdf 3-17405 2016-09-29 Order Following Prehearing Conference Orders Bay City Transfer Agency and Registrar, Inc. Amersey, Nitin M. N/A AP-4209 https://www.sec.gov/alj/aljorders/2016/ap-4209.pdf 3-17559 2016-09-30 Order Scheduling Hearing and Designating Presiding Judge Orders Rose, Sheldon MKJJ Consulting LLC N/A AP-4210 https://www.sec.gov/alj/aljorders/2016/ap-4210.pdf 3-17589 2016-09-30 Order Scheduling Hearing and Designating Presiding Judge Orders Cantab Pharmaceuticals PLC Internaitonal Panorama Resource Corp. Zealous, Inc. (n/k/a Corestream Energy, Inc.) N/A AP-4211 https://www.sec.gov/alj/aljorders/2016/ap-4211.pdf 3-17590 2016-09-30 Order Scheduling Hearing and Designating Presiding Judge Orders Telestone Technologies Corp. US Fuel Corp. Victory Eagle Resources Corp. N/A AP-4212 https://www.sec.gov/alj/aljorders/2016/ap-4212.pdf 3-17591 2016-09-30 Order Scheduling Hearing and Designating Presiding Judge Orders Sierra Resource Group, Inc. N/A AP-4213 https://www.sec.gov/alj/aljorders/2016/ap-4213.pdf 3-17217 2016-09-30 Stay Order Orders TPG Advisors LLC D/B/A The Phillips Group Advisors Phillips, Larry M. N/A AP-4214 https://www.sec.gov/alj/aljorders/2016/ap-4214.pdf 3-17527 2016-09-30 Extension Order Orders Hahn, Karl E. N/A AP-4215 https://www.sec.gov/alj/aljorders/2016/ap-4215.pdf 3-17395 2016-09-30 Order Orders Jones, Anthony Tyrone Jr. N/A AP-4216 https://www.sec.gov/alj/aljorders/2016/ap-4216.pdf 3-17365 2016-09-30 Scheduling Order Orders Alison, Stephen D. Alison, LLC N/A AP-4217 https://www.sec.gov/alj/aljorders/2016/ap-4217.pdf 3-17372 2016-10-03 Order Following Prehearing Conference Orders Island Trader LLC Nickles, Richard H. N/A AP-4218 https://www.sec.gov/alj/aljorders/2016/ap-4218.pdf 3-17387 2016-10-03 Order Revising Procedural Schedule and Hearing Date Orders Lathen, Donald "Jay" Jr. EDEN ARC CAPITAL MANAGEMENT, LLC EDEN ARC CAPITAL ADVISORS, LLC N/A AP-4219 https://www.sec.gov/alj/aljorders/2016/ap-4219.pdf 3-17595 2016-10-04 Order Designating Presiding Judge Orders Och-Ziff Capital Management Group LLC OZ Management LP Och, Daniel S. Frank, Joel M. N/A AP-4220 https://www.sec.gov/alj/aljorders/2016/ap-4220.pdf 3-17543 2016-10-04 Order to Show Cause and Postponement Order Orders Affordable Green Homes International Jilco Industries, Inc. TMP Land Mortgage Fund, Ltd., a California Limited Partnership N/A AP-4221 https://www.sec.gov/alj/aljorders/2016/ap-4221.pdf 3-17542 2016-10-04 Order to Show Cause and Postponement Order Orders All Energy Corp. As Seen On TV, Inc. N/A AP-4222 https://www.sec.gov/alj/aljorders/2016/ap-4222.pdf 3-17614 2016-10-04 Order Scheduling Hearing and Designating Presiding Judge Orders Laurence I. Balter d/b/a Oracle Investment Research N/A AP-4223 https://www.sec.gov/alj/aljorders/2016/ap-4223.pdf 3-17228 2016-10-04 Order Setting Prehearing Conference Orders HALL, DAVID S. CPA Hall, David S. PC Helterbran Cochran, Michelle L. CPA Cisneros, Susan A. ( d/p/a The Hail Group CPA's ) N/A AP-4224 https://www.sec.gov/alj/aljorders/2016/ap-4224.pdf 3-16554 2016-10-04 Order Following Prehearing Conference Orders GRAY FINANCIAL GROUP, INC., Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4225 https://www.sec.gov/alj/aljorders/2016/ap-4225.pdf 3-17519 2016-10-05 Order to Show Cause Orders Grace Development, Inc. Luxeyard, Inc. SuperDirectories, Inc. N/A AP-4226 https://www.sec.gov/alj/aljorders/2016/ap-4226.pdf 3-17570 2016-10-05 Order Postponing Hearing and Scheduling Prehearing Conference Orders Medient Studios, Inc. a/k/a Moon River Studios, Inc. N/A AP-4227 https://www.sec.gov/alj/aljorders/2016/ap-4227.pdf 3-16649 2016-10-05 Order Scheduling Prehearing Conference Orders Ironridge Global Partners, LLC Ironridge Global IV, Ltd N/A AP-4228 https://www.sec.gov/alj/aljorders/2016/ap-4228.pdf 3-16554 2016-10-05 Order Adopting Joint Proposed Scheduling Order Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4229 https://www.sec.gov/alj/aljorders/2016/ap-4229.pdf 3-17558 2016-10-05 Order Postponing Hearing Orders Blueforest, Inc. N/A AP-4230 https://www.sec.gov/alj/aljorders/2016/ap-4230.pdf 3-17564 2016-10-06 Order Postponing Hearing and Scheduling Prehearing Conference Orders Amarillo Mesquite Grill, Inc. global Opportunity Fund LP HealthRenu Medical, Inc. Hynes & Howes Insurance Counselors, Inc. N/A AP-4231 https://www.sec.gov/alj/aljorders/2016/ap-4231.pdf 3-17393 2016-10-06 Scheduling Order Orders Peterson, Curtis A. N/A AP-4232 https://www.sec.gov/alj/aljorders/2016/ap-4232.pdf 3-16383 2016-10-06 Order Following Prehearing Conference Orders Hill, Charles L. Jr. N/A AP-4233 https://www.sec.gov/alj/aljorders/2016/ap-4233.pdf 3-17313 2016-10-06 Order Following Prehearing Conference Orders Tirrell, William N/A AP-4234 https://www.sec.gov/alj/aljorders/2016/ap-4234.pdf 3-17563 2016-10-06 Order Postponing Hearing and Scheduling Prehearing Conference Orders AIC International Resources Corp. Stellar Metals, Inc. N/A AP-4235 https://www.sec.gov/alj/aljorders/2016/ap-4235.pdf 3-15936 2016-09-30 Postponement Order Orders Pedras (a/k/a Chris Pedras a/k/a Antone Thomas Ped, Christopher A.T N/A AP-4236 https://www.sec.gov/alj/aljorders/2016/ap-4236.pdf 3-17565 2016-10-07 Order Postponing Hearing and Scheduling Prehearing Conference Orders Capital Preferred Yield Fund-III, LP Clearly Canadian Beverage Corp. Diversinet Corp. N/A AP-4237 https://www.sec.gov/alj/aljorders/2016/ap-4237.pdf 3-17342 2016-10-07 Scheduling Order Orders RD Legal Capital, LLC Dersovitz, Roni N/A AP-4238 https://www.sec.gov/alj/aljorders/2016/ap-4238.pdf 3-17184 2016-10-11 Order Extending Briefing Deadlines Orders Gibson, Christopher M. N/A AP-4239 https://www.sec.gov/alj/aljorders/2016/ap-4239.pdf 3-17615 2016-10-11 Order Scheduling Hearing and Designating Presiding Judge Orders Boreal Water Collection, Inc. N/A AP-4240 https://www.sec.gov/alj/aljorders/2016/ap-4240.pdf 3-17621 2016-10-11 Order Scheduling Hearing and Designating Presiding Judge Orders Stitt, Andrew N/A AP-4241 https://www.sec.gov/alj/aljorders/2016/ap-4241.pdf 3-17589 2016-10-11 Order Orders Cantab Pharmaceuticals PLC International Panorama Resources Corp Zealous, Inc. (n/k/a Corestream Energy, Inc.) N/A AP-4242 https://www.sec.gov/alj/aljorders/2016/ap-4242.pdf 3-17228 2016-10-11 Order Following Prehearing Conference Orders David S. Hall, P.C. d/b/a The Hall Group CPAs Hall, David S. CPA Helterban Cochran, Michelle L. CPA Cisneros, Susan A. N/A AP-4243 https://www.sec.gov/alj/aljorders/2016/ap-4243.pdf 3-17595 2016-10-11 Order Orders Och-Ziff Capital Management Group LLC OZ Management LP Och, Daniel S. Frank, Joel M. N/A AP-4244 https://www.sec.gov/alj/aljorders/2016/ap-4244.pdf 3-17513 2016-10-12 Order Following Prehearing Conference and to Show Cause Orders Fairfield Minerals, Ltd Metal Storm Limited N/A AP-4245 https://www.sec.gov/alj/aljorders/2016/ap-4245.pdf 3-16462 2016-10-12 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4246 https://www.sec.gov/alj/aljorders/2016/ap-4246.pdf 3-17564 2016-10-12 Order to Show Cause Orders Amarillo Mesquite Grill, Inc. Global Opportunity Fund LP Healthrenu Medical, Inc. Hynes & Howes Insurance Counselors, Inc. N/A AP-4247 https://www.sec.gov/alj/aljorders/2016/ap-4247.pdf 3-17387 2016-10-12 Order on Motion to Quash Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4248 https://www.sec.gov/alj/aljorders/2016/ap-4248.pdf 3-15764 2016-10-12 Order Denying Exceptions to the Record Index Orders McDuff, Gray L. N/A AP-4249 https://www.sec.gov/alj/aljorders/2016/ap-4249.pdf 3-17123 2016-10-12 Order to Show Cause as to Ceyoniq AG Orders Ceyoniq AG (N/K/A Ceyoniq, Inc.) Mentergy Ltd. (A/K/A Gilat Communications Ltd.) Mid-Am Systems, Inc. Nu Energy Inc. N/A AP-4250 https://www.sec.gov/alj/aljorders/2016/ap-4250.pdf 3-17525 2016-10-12 Prehearing Order Orders Milligan, Robert D. N/A AP-4251 https://www.sec.gov/alj/aljorders/2016/ap-4251.pdf 3-17365 2016-10-12 Order Designating Settlement ALJ and Scheduling Confidential Settlement Conference Orders Alison, LLC Alison, Stephen D. N/A AP-4252 https://www.sec.gov/alj/aljorders/2016/ap-4252.pdf 3-17352 2016-10-13 Order on Subpoena Request Orders Saving2Retire, LLC Young, Marian P. N/A AP-4253 https://www.sec.gov/alj/aljorders/2016/ap-4253.pdf 3-16383 2016-10-14 Order Denying Subpoena Request Orders Hill, Charles L. Jr. N/A AP-4254 https://www.sec.gov/alj/aljorders/2016/ap-4254.pdf 3-17590 2016-10-14 Order Postponing Hearing and Regarding Service Orders Telestone Technologies Corp. US Fuel Corp. Victory Eagle Resources Corp. N/A AP-4255 https://www.sec.gov/alj/aljorders/2016/ap-4255.pdf 3-17228 2016-10-14 Order on Division of Enforcement's Motions in Limine Orders Hall, David S. P.C. Hall, David S. CPA Helterbran Cochran, Michelle L. CPA Cisneros, Susan A. N/A AP-4256 https://www.sec.gov/alj/aljorders/2016/ap-4256.pdf 3-17527 2016-10-14 Order Following Prehearing Conference Orders Hahn, Karl E. N/A AP-4257 https://www.sec.gov/alj/aljorders/2016/ap-4257.pdf 3-17352 2016-10-14 Order Denying Marian P. Young's Request to Quash Subpoena Orders Savings2Retire, LLC Young, Marian P. N/A AP-4258 https://www.sec.gov/alj/aljorders/2016/ap-4258.pdf 3-16462 2016-10-14 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4259 https://www.sec.gov/alj/aljorders/2016/ap-4259.pdf 3-17565 2016-10-14 Show Cause Order Orders Capital Preferred Yield Fund-III, LP Clearly Canadian Beverage Corp. Diversinet Corp. N/A AP-4260 https://www.sec.gov/alj/aljorders/2016/ap-4260.pdf 3-17570 2016-10-14 Order Following Prehearing Conference and to Show Cause Orders Medient Studios, Inc. a/k/a Moon River Studios, Inc. N/A AP-4261 https://www.sec.gov/alj/aljorders/2016/ap-4261.pdf 3-17591 2016-10-14 Order Postponing Hearing and Scheduling Prehearing Conference Orders Sierra Resource Group, Inc. N/A AP-4262 https://www.sec.gov/alj/aljorders/2016/ap-4262.pdf 3-17551 2016-10-14 Order Scheduling Hearing and Designating Presiding Judge Orders Med-X, Inc. N/A AP-4263 https://www.sec.gov/alj/aljorders/2016/ap-4263.pdf 3-17571 2016-10-17 Order Postponing Hearing and Scheduling Prehearing Conference Orders Mellon, Matthew T. II N/A AP-4264 https://www.sec.gov/alj/aljorders/2016/ap-4264.pdf 3-16383 2016-10-17 Scheduling Order Orders Hill, Charles L. Jr. N/A AP-4265 https://www.sec.gov/alj/aljorders/2016/ap-4265.pdf 3-17313 2016-10-17 Order Setting Prehearing Schedule Orders Tirrell, William N/A AP-4266 https://www.sec.gov/alj/aljorders/2016/ap-4266.pdf 3-17398 2016-10-17 Order Granting Third Extension of Time to File Answer Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4267 https://www.sec.gov/alj/aljorders/2016/ap-4267.pdf 3-17551 2016-10-17 Order Directing Parties to Hold a Prehearing Conference Orders Med-X, Inc. N/A AP-4268 https://www.sec.gov/alj/aljorders/2016/ap-4268.pdf 3-17550 2016-10-17 Order Orders Ditommaso, Tod A. Esq. N/A AP-4269 https://www.sec.gov/alj/aljorders/2016/ap-4269.pdf 3-17563 2016-10-18 Order to Show Cause Orders AIC International Resource Corp. Stellar Metals, Inc. N/A AP-4270 https://www.sec.gov/alj/aljorders/2016/ap-4270.pdf 3-17253 2016-10-18 Post-Hearing Order Orders Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A AP-4271 https://www.sec.gov/alj/aljorders/2016/ap-4271.pdf 3-16462 2016-10-18 Order Orders Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC Tilton, Lynn N/A AP-4272 https://www.sec.gov/alj/aljorders/2016/ap-4272.pdf 3-17387 2016-10-18 Order on Motion to Preclude Advice-of-Counsel Defense Orders Lathen, Donald F. ("Jay") Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4273 https://www.sec.gov/alj/aljorders/2016/ap-4273.pdf 3-17574 2016-10-18 Order Postponing Hearing Orders Accel Brands, Inc. N/A AP-4274 https://www.sec.gov/alj/aljorders/2016/ap-4274.pdf 3-16462 2016-10-18 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4275 https://www.sec.gov/alj/aljorders/2016/ap-4275.pdf 3-17519 2016-10-18 Postponement Order Orders Grace Development, Inc. Luxeyard, Inc. Superdirectories, Inc. N/A AP-4276 https://www.sec.gov/alj/aljorders/2016/ap-4276.pdf 3-17313 2016-10-19 Order Setting Hearing Guidelines Orders Tirrell, William N/A AP-4277 https://www.sec.gov/alj/aljorders/2016/ap-4277.pdf 3-15619 2016-10-19 Order Scheduling Prehearing Conference Orders Doxey, Joseph P. N/A AP-4278 https://www.sec.gov/alj/aljorders/2016/ap-4278.pdf 3-17519 2016-10-19 Order Orders Grace Development, Inc. Luxeyard, Inc., SuperDirectories, Inc. N/A AP-4279 https://www.sec.gov/alj/aljorders/2016/ap-4279.pdf 3-17559 2016-10-19 Order Postponing Hearing Orders Rose, Sheldon MKJJ Consulting LLC N/A AP-4280 https://www.sec.gov/alj/aljorders/2016/ap-4280.pdf 3-16462 2016-10-19 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4281 https://www.sec.gov/alj/aljorders/2016/ap-4281.pdf 3-17632 2016-10-19 Order Scheduling Hearing and Designating Presiding Judge Orders Leonard, John M. N/A AP-4282 https://www.sec.gov/alj/aljorders/2016/ap-4282.pdf 3-17615 2016-10-20 Stay Order Orders Boreal Water Collection, Inc. N/A AP-4283 https://www.sec.gov/alj/aljorders/2016/ap-4283.pdf 3-17528 2016-10-20 Order Following Prehearing Conference Orders Kazinec, Aaron Nash N/A AP-4284 https://www.sec.gov/alj/aljorders/2016/ap-4284.pdf 3-17589 2016-10-20 Order to Show Cause Orders Cantab Pharmaceuticals PLC, International Panorama Resource Corp., Zealous, Inc. (n/k/a Corestream Energy, Inc.) N/A AP-4285 https://www.sec.gov/alj/aljorders/2016/ap-4285.pdf 3-17633 2016-10-20 Order Scheduling Hearing and Designating Presiding Judge Orders Aronson, David A. CPA N/A AP-4286 https://www.sec.gov/alj/aljorders/2016/ap-4286.pdf 3-16349 2016-10-20 Order Regarding Hearing Location Orders Duka, Barbara N/A AP-4287 https://www.sec.gov/alj/aljorders/2016/ap-4287.pdf 3-16649 2016-10-20 Order Regarding Hearing Location Orders Ironridge Global Partners, LLC Ironridge Global IV, Ltd. N/A AP-4288 https://www.sec.gov/alj/aljorders/2016/ap-4288.pdf 3-17590 2016-10-20 Order Scheduling Prehearing Conference Orders Telestone Technologies Corp. US Fuel Corp. victory Eagle Resources Corp. N/A AP-4289 https://www.sec.gov/alj/aljorders/2016/ap-4289.pdf 3-17352 2016-10-20 Order Rescheduling Hearing Orders Saving2Retire, LLC Young, Marian P. N/A AP-4290 https://www.sec.gov/alj/aljorders/2016/ap-4290.pdf 3-17398 2016-10-21 Order on Subpoena Orders Delaney Equity Group LLC Delaney, David C. Kass, Ian C. N/A AP-4291 https://www.sec.gov/alj/aljorders/2016/ap-4291.pdf 3-17590 2016-10-21 Order Rescheduling Prehearing Conference Orders Telestone Technologies Corp., US Fuel Corp., Victory Eagle Resources Corp. N/A AP-4292 https://www.sec.gov/alj/aljorders/2016/ap-4292.pdf 3-17621 2016-10-21 Postponement Order Orders Stitt, Andrew N/A AP-4293 https://www.sec.gov/alj/aljorders/2016/ap-4293.pdf 3-16462 2016-10-21 Postponement Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4294 https://www.sec.gov/alj/aljorders/2016/ap-4294.pdf 3-17577 2016-10-21 Order Orders Siebert, Robert N/A AP-4295 https://www.sec.gov/alj/aljorders/2016/ap-4295.pdf 3-17614 2016-10-21 Postponement Order Orders Laurence I. Balter d/b/a Oracle Investment Research N/A AP-4296 https://www.sec.gov/alj/aljorders/2016/ap-4296.pdf 3-16462 2016-10-21 Order Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC N/A AP-4297 https://www.sec.gov/alj/aljorders/2016/ap-4297.pdf 3-17641 2016-10-24 Order Scheduling Hearing and Designating Presiding Judge Orders Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A AP-4298 https://www.sec.gov/alj/aljorders/2016/ap-4298.pdf 3-17642 2016-10-24 Order Scheduling Hearing and Designating Presiding Judge Orders CALA Corporation China Huaren Organic Products, Inc. Hangover Joe's Holding Corp. Daystar Technologies, Inc. N/A AP-4299 https://www.sec.gov/alj/aljorders/2016/ap-4299.pdf 3-17398 2016-10-25 Stay Order Orders Delaney Equity Group LLC, Delaney, David C. Kass, Ian C. N/A AP-4300 https://www.sec.gov/alj/aljorders/2016/ap-4300.pdf 3-15619 2016-10-25 Order as to Hearing Time and Location Orders Doxey, Joseph P. N/A AP-4301 https://www.sec.gov/alj/aljorders/2016/ap-4301.pdf 3-17408 2016-10-26 Order Lifting Stay and Directing Parties to Hold a Prehearing Conference Orders Global Earth Energy, Inc. N/A AP-4302 https://www.sec.gov/alj/aljorders/2016/ap-4302.pdf 3-17184 2016-10-26 Order Extending Date for Response to Motion to Correct Transcripts Orders Gibson, Christopher M. N/A AP-4303 https://www.sec.gov/alj/aljorders/2016/ap-4303.pdf 3-15619 2016-10-26 Order Designating Settlement ALJ Orders Doxey, Joseph P. N/A AP-4304 https://www.sec.gov/alj/aljorders/2016/ap-4304.pdf 3-17551 2016-10-27 Scheduling Order Orders Med-X, Inc. N/A AP-4305 https://www.sec.gov/alj/aljorders/2016/ap-4305.pdf 3-17507 2016-10-28 Order Scheduling Hearing and Designating Presiding Judge Orders Pittera, Joseph L. Esq. N/A AP-4306 https://www.sec.gov/alj/aljorders/2016/ap-4306.pdf 3-17645 2016-10-28 Order Scheduling Hearing and Designating Presiding Judge Orders Snisky, Gary C. N/A AP-4307 https://www.sec.gov/alj/aljorders/2016/ap-4307.pdf 3-17648 2016-10-28 Order Scheduling Hearing and Designating Presiding Judge Orders Q Lotus Holdings, Inc. Spare Backup, Inc. N/A AP-4308 https://www.sec.gov/alj/aljorders/2016/ap-4308.pdf 3-17649 2016-10-28 Order Scheduling Hearing and Designating Presiding Judge Orders BioNovo, Inc. Interamerican Gaming, Inc. Spot Mobile International Ltd. N/A AP-4309 https://www.sec.gov/alj/aljorders/2016/ap-4309.pdf 3-17527 2016-10-28 Order to Show Cause and Scheduling Brief Orders Hahn, Karl E. N/A AP-4310 https://www.sec.gov/alj/aljorders/2016/ap-4310.pdf 3-17104 2016-10-28 Protective Order Orders BioElectronics Corp. Ibex, LLC St. Johns LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4311 https://www.sec.gov/alj/aljorders/2016/ap-4311.pdf 3-17590 2016-10-28 Show Cause Order Orders Telestone Technologies Corp. US Fuel Corp. Victory Eagle Resources Corp. N/A AP-4312 https://www.sec.gov/alj/aljorders/2016/ap-4312.pdf 3-17319 2016-10-28 Order Following Second Prehearing Conference Orders Helen, Jan E. N/A AP-4313 https://www.sec.gov/alj/aljorders/2016/ap-4313.pdf 3-16462 2016-10-31 Protective Order Orders Tilton, Lynn Patriarch Partners, LLC; Patriarch Partners VIII, LLC; Patriarch Partners XIV, LLC; Patriarch Partners XV, LLC N/A AP-4314 https://www.sec.gov/alj/aljorders/2016/ap-4314.pdf 3-16462 2016-10-31 Order Orders Tilton, Lynn Patriarch Partners, LLC; Patriarch Partners VIII, LLC; Patriarch Partners XIV, LLC; Patriarch Partners XV, LLC N/A AP-4315 https://www.sec.gov/alj/aljorders/2016/ap-4315.pdf 3-17228 2016-10-31 Post-Hearing Scheduling Order Orders Hall, David S. P.C. Hall, David S. CPA Helterbran Cochran, Michelle L. CPA Cisneros, Susan A. N/A AP-4316 https://www.sec.gov/alj/aljorders/2016/ap-4316.pdf 3-17591 2016-10-31 Order to Show Cause Orders Sierra Resource Group, Inc. N/A AP-4317 https://www.sec.gov/alj/aljorders/2016/ap-4317.pdf 3-17387 2016-11-02 Order on the Division's Disclosures Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4318 https://www.sec.gov/alj/aljorders/2016/ap-4318.pdf 3-17574 2016-11-02 Order Regarding Service Orders Accel Brands, Inc. N/A AP-4319 https://www.sec.gov/alj/aljorders/2016/ap-4319.pdf 3-17408 2016-11-02 Order Scheduling Motion for Default Orders Global Earth Energy, Inc. N/A AP-4320 https://www.sec.gov/alj/aljorders/2016/ap-4320.pdf 3-17365 2016-11-02 Revised Scheduling Order Orders Alison, LLC Alison, Stephen D. N/A AP-4321 https://www.sec.gov/alj/aljorders/2016/ap-4321.pdf 3-17253 2016-11-03 Order Extending Date to File Transcript Corrections Orders Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A AP-4322 https://www.sec.gov/alj/aljorders/2016/ap-4322.pdf 3-17387 2016-11-04 Order Requiring In Camera Submission Orders Lathen, Donald F. (Jay) Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4323 https://www.sec.gov/alj/aljorders/2016/ap-4323.pdf 3-17319 2016-11-04 Order Staying Proceeding Orders Helen, Jan E. N/A AP-4324 https://www.sec.gov/alj/aljorders/2016/ap-4324.pdf 3-16349 2016-11-04 Order on Motions to Exclude Orders Duka, Barbara N/A AP-4325 https://www.sec.gov/alj/aljorders/2016/ap-4325.pdf 3-17665 3-17666 3-17667 3-17664 2016-11-07 Order Consolidating Proceedings and Designating Presiding Judge Orders iLoan Inc. Zubra Inc. Instride, Inc. Flaster Corporation N/A AP-4326 https://www.sec.gov/alj/aljorders/2016/ap-4326.pdf 3-17650 2016-11-07 Order Scheduling Hearing and Designating Presiding Judge Orders Lawler, Joe N/A AP-4327 https://www.sec.gov/alj/aljorders/2016/ap-4327.pdf 3-17651 2016-11-07 Order Scheduling Hearing and Designating Presiding Judge Orders Beamish, Adrian D. CPA N/A AP-4328 https://www.sec.gov/alj/aljorders/2016/ap-4328.pdf 3-17657 2016-11-07 Order Scheduling Hearing and Designating Presiding Judge Orders Smith, Gregory J. N/A AP-4329 https://www.sec.gov/alj/aljorders/2016/ap-4329.pdf 3-17659 2016-11-07 Order Scheduling Hearing and Designating Presiding Judge Orders Bill The Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A AP-4330 https://www.sec.gov/alj/aljorders/2016/ap-4330.pdf 3-17661 2016-11-07 Order Scheduling Hearing and Designating Presiding Judge Orders Altholtz, Harvey N/A AP-4331 https://www.sec.gov/alj/aljorders/2016/ap-4331.pdf 3-17507 2016-11-08 Order Directing Parties to Hold a Prehearing Conference Orders Pittera, Joseph L. N/A AP-4332 https://www.sec.gov/alj/aljorders/2016/ap-4332.pdf 3-17559 2016-11-08 Order Orders Rose, Sheldon MKJJ Consulting LLC N/A AP-4333 https://www.sec.gov/alj/aljorders/2016/ap-4333.pdf 3-17104 2016-11-08 Order Regarding Exhibits Orders BioElectronics Corp. Ibex, LLC St. John's, LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4334 https://www.sec.gov/alj/aljorders/2016/ap-4334.pdf 3-17571 2016-11-08 Order Staying Proceeding Orders Mellon, Matthew T. Jr. N/A AP-4335 https://www.sec.gov/alj/aljorders/2016/ap-4335.pdf 3-17558 2016-11-08 Order Regarding Service Orders BluForest, Inc. N/A AP-4336 https://www.sec.gov/alj/aljorders/2016/ap-4336.pdf 3-16349 2016-11-09 Order Following Prehearing Conference Orders Duka, Barbara N/A AP-4337 https://www.sec.gov/alj/aljorders/2016/ap-4337.pdf 3-15619 2016-11-09 Stay Order Orders Doxey, Joseph P. N/A AP-4338 https://www.sec.gov/alj/aljorders/2016/ap-4338.pdf 3-16462 2016-11-09 Order Orders Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLC Tilton, Lynn N/A AP-4339 https://www.sec.gov/alj/aljorders/2016/ap-4339.pdf 3-17184 2016-11-10 Order on Proposed Corrections To Hearing Transcript and Exhibits Orders Gibson, Christopher M. N/A AP-4340 https://www.sec.gov/alj/aljorders/2016/ap-4340.pdf 3-17372 2016-11-10 Order to Show Cause Orders Island Trader LLC Nickles, Richard H. N/A AP-4341 https://www.sec.gov/alj/aljorders/2016/ap-4341.pdf 3-17387 2016-11-10 Order on Privilege Waiver Orders Lathen, Donald ("Jay") F. JR Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4342 https://www.sec.gov/alj/aljorders/2016/ap-4342.pdf 3-17649 2016-11-10 Order Postponing Hearing and Scheduling Prehearing Conference Orders BioNovo, Inc. Interamerican Gaming, Inc. Spot Mobile International Ltd. N/A AP-4343 https://www.sec.gov/alj/aljorders/2016/ap-4343.pdf 3-17642 2016-11-10 Order Postponing Hearing Orders CALA Corporation China Huaren Organic Products, Inc. Daystar Technologies, Inc. Hangover Joe's Holding Corp. N/A AP-4344 https://www.sec.gov/alj/aljorders/2016/ap-4344.pdf 3-17664 3-17665 3-17666 3-17667 2016-11-14 Prehearing Order Finding Service Orders Flaster Corporation iLoan Inc. Zubra Inc. Instride, Inc. N/A AP-4345 https://www.sec.gov/alj/aljorders/2016/ap-4345.pdf 3-17104 2016-11-14 Order Admitting RX 1C and RX 1D Orders BioElectronics Corp. IBEX, LLC St. John's, LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4346 https://www.sec.gov/alj/aljorders/2016/ap-4346.pdf 3-17528 2016-11-14 Order Setting Date for Answer Orders Kazinec, Aaron Nash N/A AP-4347 https://www.sec.gov/alj/aljorders/2016/ap-4347.pdf 3-17525 2016-11-14 Stay Order Orders Milligan, Robert D. N/A AP-4348 https://www.sec.gov/alj/aljorders/2016/ap-4348.pdf 3-17217 2016-11-14 Stay Extension Order Orders TPG Advisors LLC d/b/a The Phillips Group Advisors Phillips, Larry M. N/A AP-4349 https://www.sec.gov/alj/aljorders/2016/ap-4349.pdf 3-17633 2016-11-14 Order Directing Parties to Hold a Prehearing Conference Orders Aronson, David A. CPA N/A AP-4350 https://www.sec.gov/alj/aljorders/2016/ap-4350.pdf 3-17253 2016-11-15 Order on Stipulations Orders Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A AP-4351 https://www.sec.gov/alj/aljorders/2016/ap-4351.pdf 3-16383 2016-11-15 Notice of Hearing Location Orders Hill, Charles L. Jr. N/A AP-4352 https://www.sec.gov/alj/aljorders/2016/ap-4352.pdf 3-17642 2016-11-15 Order to Show Cause Orders Cala Corporation China Huaren Organic Products, Inc. Hangover Joe's Holding Corp. Daystar Techologies, Inc. N/A AP-4353 https://www.sec.gov/alj/aljorders/2016/ap-4353.pdf 3-17228 2016-11-16 Order Granting Motion for Extension of Time to File Post-Hearing Briefs Orders Hall, David S. The Hall Group CPAs Hall, David S. CPA Helterbran Cochran, Michelle L. CPA Cisneros, Susan A. N/A AP-4354 https://www.sec.gov/alj/aljorders/2016/ap-4354.pdf 3-17648 2016-11-16 Order to Show Cause and Postponement Order Orders Q Lotus Holdings, Inc., Spare Backup, Inc N/A AP-4355 https://www.sec.gov/alj/aljorders/2016/ap-4355.pdf 3-17676 2016-11-16 Order Scheduling Hearing and Designating Presiding Judge Orders OTC Global Partners, LLC Dias, Raimundo N/A AP-4356 https://www.sec.gov/alj/aljorders/2016/ap-4356.pdf 3-17395 2016-11-16 Order to Show Cause Orders Jones, Anthony Tyrone JR. N/A AP-4357 https://www.sec.gov/alj/aljorders/2016/ap-4357.pdf 3-15936 2016-11-16 Order to Show Cause Orders Christopher A.T. Pedras (a/k/a/ Chris Pedras a/k/a Antone Thomas Pedras) N/A AP-4358 https://www.sec.gov/alj/aljorders/2016/ap-4358.pdf 3-17674 2016-11-16 Order Scheduling Hearing and Designating Presiding Judge Orders Kon, Alexander N/A AP-4359 https://www.sec.gov/alj/aljorders/2016/ap-4359.pdf 3-17680 2016-11-16 Order Postponing Hearing and Scheduling Prehearing Conference Orders Kogeto, Inc. Lustros. Inc. Med-X Systems, Inc. N/A AP-4360 https://www.sec.gov/alj/aljorders/2016/ap-4360.pdf 3-17632 2016-11-16 Order Postponing Hearing and Scheduling Prehearing Conference Orders Leonard, John M. N/A AP-4361 https://www.sec.gov/alj/aljorders/2016/ap-4361.pdf 3-17659 2016-11-16 Order Postponing Hearing and Scheduling Prehearing Conference Orders Bill The Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A AP-4362 https://www.sec.gov/alj/aljorders/2016/ap-4362.pdf 3-15764 2016-11-16 Order Denying Motions for Leave to Supplement the Record and for Leave to File Sur-reply Orders McDuff, Gary L. N/A AP-4363 https://www.sec.gov/alj/aljorders/2016/ap-4363.pdf 3-17641 2016-11-16 Order Postponing Hearing and Requesting Updated Service Declaration Orders Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A AP-4364 https://www.sec.gov/alj/aljorders/2016/ap-4364.pdf 3-17679 2016-11-17 Order Scheduling Hearing and Designating Presiding Judge Orders Questrust Ventures, Inc. Zaring Homes, Inc. N/A AP-4365 https://www.sec.gov/alj/aljorders/2016/ap-4365.pdf 3-17681 2016-11-17 Order Scheduling Hearing and Designating Presiding Judge Orders Anderson, Bryan Wayne N/A AP-4366 https://www.sec.gov/alj/aljorders/2016/ap-4366.pdf 3-17550 2016-11-17 Prehearing Order Orders Ditommaso, Tod A. Esq. N/A AP-4367 https://www.sec.gov/alj/aljorders/2016/ap-4367.pdf 3-17507 2016-11-17 Order Postponing Hearing Orders Pittera, Joseph L. Esq. N/A AP-4368 https://www.sec.gov/alj/aljorders/2016/ap-4368.pdf 3-17393 2016-11-17 Protective Order Orders Peterson, Curtis A. N/A AP-4369 https://www.sec.gov/alj/aljorders/2016/ap-4369.pdf 3-17683 2016-11-18 Order Scheduling Hearing and Designating Presiding Judge Orders Harvey Westbury Corp. Intercore, Inc Kalex Corp. N/A AP-4370 https://www.sec.gov/alj/aljorders/2016/ap-4370.pdf 3-17685 2016-11-18 Order Scheduling Hearing and Designating Presiding Judge Orders Holt, Mark D. Holthusen, Mark D. N/A AP-4371 https://www.sec.gov/alj/aljorders/2016/ap-4371.pdf 3-17387 2016-11-18 Order Denying the Division's Second Motion to Preclude Respondents' Advice-of-Counsel Defense Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4372 https://www.sec.gov/alj/aljorders/2016/ap-4372.pdf 3-17661 2016-11-18 Order Postponing Hearing and Scheduling Prehearing Conference Orders Altholtz, Harvey N/A AP-4373 https://www.sec.gov/alj/aljorders/2016/ap-4373.pdf 3-17651 2016-11-18 Order Postponing Hearing Orders Beamish, Adrian D. CPA N/A AP-4374 https://www.sec.gov/alj/aljorders/2016/ap-4374.pdf 3-17686 2016-11-18 Order Scheduling Hearing and Designating Presiding Judge Orders Lee, James Y. N/A AP-4375 https://www.sec.gov/alj/aljorders/2016/ap-4375.pdf 3-17577 2016-11-18 Show Cause Order Orders Siebert, Robert N/A AP-4376 https://www.sec.gov/alj/aljorders/2016/ap-4376.pdf 3-17614 2016-11-21 Post-Hearing Order Orders Balter, Laurence I. d/b/a Oracle Investment Research N/A AP-4377 https://www.sec.gov/alj/aljorders/2016/ap-4377.pdf 3-17645 2016-11-21 Order Postponing Hearing and Requesting Date for Prehearing Conference Orders Snisky, Gary C. N/A AP-4378 https://www.sec.gov/alj/aljorders/2016/ap-4378.pdf 3-17253 2016-11-21 Order on Transcripts Orders Winkelmann, James A. Sr. Blue Ocean Portfolios, LLC N/A AP-4379 https://www.sec.gov/alj/aljorders/2016/ap-4379.pdf 3-17387 2016-11-21 Order Regarding Motion For Reconsideration Orders Lathen, Donald F. ("Jay") Jr. Eden Arc Capital Management, LLC, Eden Arc Capital Advisors, LLC N/A AP-4380 https://www.sec.gov/alj/aljorders/2016/ap-4380.pdf 3-17690 2016-11-21 Order Scheduling Hearing and Designating Presiding Judge Orders MGN Technologies, Inc. N/A AP-4381 https://www.sec.gov/alj/aljorders/2016/ap-4381.pdf 3-17104 2016-11-21 Order Admitting DX 43 and DX 44 Orders Bioelectronics Corp., Ibex, LLC St. John's, LLC, Whelan, Andew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4382 https://www.sec.gov/alj/aljorders/2016/ap-4382.pdf 3-17650 2016-11-22 Postponement and Protective Order Orders Lawler, Joe N/A AP-4383 https://www.sec.gov/alj/aljorders/2016/ap-4383.pdf 3-17692 2016-11-22 Order Scheduling Hearing and Designating Presiding Judge Orders All-Pro Products, Inc. Cashtek Corp. Gotham Apparel Corp. LaFayette Industries, Inc. N/A AP-4384 https://www.sec.gov/alj/aljorders/2016/ap-4384.pdf 3-17693 2016-11-22 Order Scheduling Hearing and Designating Presiding Judge Orders Finn, Sean P. M. Dwyer LLC N/A AP-4385 https://www.sec.gov/alj/aljorders/2016/ap-4385.pdf 3-17507 2016-11-22 Order on Parties' Joint Prehearing Statement and Proposed Schedule Orders Pittera, Joseph L. Esq. N/A AP-4386 https://www.sec.gov/alj/aljorders/2016/ap-4386.pdf 3-17313 2016-11-23 Order Granting Division's Motion for Extension of Time to Respond to Subpoena Orders Tirrell, William N/A AP-4387 https://www.sec.gov/alj/aljorders/2016/ap-4387.pdf 3-17342 2016-11-23 Order Orders RD Legal Capital, LLC Dersovitz, Roni N/A AP-4388 https://www.sec.gov/alj/aljorders/2016/ap-4388.pdf 3-17651 2016-11-25 Order Deeming Service Effective and Setting Prehearing Conference Orders Beamish, Adrian D. CPA N/A AP-4389 https://www.sec.gov/alj/aljorders/2016/ap-4389.pdf 3-17184 2016-11-28 Order Extending Briefing Deadlines Orders Gibson, Christopher M. N/A AP-4390 https://www.sec.gov/alj/aljorders/2016/ap-4390.pdf 3-17551 2016-11-28 Order Regarding Withdrawal Orders Med-X, Inc. N/A AP-4391 https://www.sec.gov/alj/aljorders/2016/ap-4391.pdf 3-17679 2016-11-28 Order Postponing Hearing and Scheduling Prehearing Conference Orders Questrust Ventures, Inc. Zaring Homes, Inc. N/A AP-4392 https://www.sec.gov/alj/aljorders/2016/ap-4392.pdf 3-17574 2016-11-28 Show Cause Order Orders Accel Brands, Inc. N/A AP-4393 https://www.sec.gov/alj/aljorders/2016/ap-4393.pdf 3-16649 2016-11-29 Order Redesignating Presiding Judge Orders Ironridge Global Partners, LLC, Ironridge Global IV, Ltd N/A AP-4394 https://www.sec.gov/alj/aljorders/2016/ap-4394.pdf 3-16383 2016-11-29 Order Scheduling Prehearing Conference Orders Hill, Charles L. Jr. N/A AP-4395 https://www.sec.gov/alj/aljorders/2016/ap-4395.pdf 3-17387 2016-11-29 Order Redesignating Presiding Judge Orders Lathen, Donald F. ("Jay") Jr. Eden Arc Capital Management LLC, Eden Arc Capital Advisors, LLC N/A AP-4396 https://www.sec.gov/alj/aljorders/2016/ap-4396.pdf 3-17633 2016-11-29 StayOrder Orders Aronson, David A. CPA N/A AP-4397 https://www.sec.gov/alj/aljorders/2016/ap-4397.pdf 3-17651 2016-11-29 Order Denying in Part Respondent's Motion for More Definite Statement Orders Beamish, Adriand D. N/A AP-4398 https://www.sec.gov/alj/aljorders/2016/ap-4398.pdf 3-17664 3-17665 3-17666 3-17667 2016-11-29 Post-Hearing Order to Show Cause Orders Flaster Corporation iLoan Inc. Zubra Inc. Instride Inc. N/A AP-4399 https://www.sec.gov/alj/aljorders/2016/ap-4399.pdf 3-16383 2016-11-29 Order Granting Motion in Limine Orders Hill, Charles L. Jr N/A AP-4400 https://www.sec.gov/alj/aljorders/2016/ap-4400.pdf 3-17649 2016-11-29 Order Following Prehearing Conference and to Show Cause Orders Bionovo, Inc. Interamerican Gaming, Inc. Spot Mobile International Ltd. N/A AP-4401 https://www.sec.gov/alj/aljorders/2016/ap-4401.pdf 3-17659 2016-11-29 Order Following Prehearing Conference and to Show Cause Orders Bill the Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A AP-4402 https://www.sec.gov/alj/aljorders/2016/ap-4402.pdf 3-16554 2016-11-29 Order Regarding Motion to Quash Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4403 https://www.sec.gov/alj/aljorders/2016/ap-4403.pdf 3-17698 2016-11-30 Order Scheduling Hearing and Designating Presiding Judge Orders Odyssey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A AP-4404 https://www.sec.gov/alj/aljorders/2016/ap-4404.pdf 3-17651 2016-11-30 Order Following Prehearing Conference Orders Beamish, Adrian D. CPA N/A AP-4405 https://www.sec.gov/alj/aljorders/2016/ap-4405.pdf 3-17657 2016-12-01 Order Directing Parties to Hold a Prehearing Conference Orders Smith, Gregory J. N/A AP-4406 https://www.sec.gov/alj/aljorders/2016/ap-4406.pdf 3-17387 2016-12-01 Second Order Procedural Schedule and Hearing Date Orders Lathen, Donald ("Jay") F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4407 https://www.sec.gov/alj/aljorders/2016/ap-4407.pdf 3-17387 2016-12-01 Order Following In Camera Review of Documents Withheld By The Division Orders Lathen ("Jay"), Donald F. Jr. Eden Arc Capital management, LLC Eden Arc Capital Advisors, LLC N/A AP-4408 https://www.sec.gov/alj/aljorders/2016/ap-4408.pdf 3-17674 2016-12-01 Order Postponing Hearing and Scheduling Prehearing Conference Orders Kon, Alexander N/A AP-4409 https://www.sec.gov/alj/aljorders/2016/ap-4409.pdf 3-16649 2016-12-02 Order Granting In Part Motions In Limine Regarding The Expert Reports of Robert Lowry and James Burns Orders Ironridge Global Partners, LLC Ironridge Global IV, Ltd. N/A AP-4410 https://www.sec.gov/alj/aljorders/2016/ap-4410.pdf 3-17699 2016-12-02 Order Scheduling Hearing and Designating Presiding Judge Orders Neman, Shervin Neman Financial, Inc. N/A AP-4411 https://www.sec.gov/alj/aljorders/2016/ap-4411.pdf 3-17700 2016-12-02 Order Scheduling Hearing and Designating Presiding Judge Orders Mars Acquisitions, Inc. Softnet Technology Corp. N/A AP-4412 https://www.sec.gov/alj/aljorders/2016/ap-4412.pdf 3-17551 2016-12-02 Order On Revised Schedule And Advice-of-Counsel Defense Orders Med-X, Inc. N/A AP-4413 https://www.sec.gov/alj/aljorders/2016/ap-4413.pdf 3-17210 2016-12-02 Order denying Motion to Correct Orders White, Paul Leon II N/A AP-4414 https://www.sec.gov/alj/aljorders/2016/ap-4414.pdf 3-17559 2016-12-05 Order Granting Respondent's Unopposed Motion for Extension. Orders MKJJ Consulting LLC. Rose, Sheldon N/A AP-4415 https://www.sec.gov/alj/aljorders/2016/ap-4415.pdf 3-17641 2016-12-05 Show Cause Order Orders Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A AP-4416 https://www.sec.gov/alj/aljorders/2016/ap-4416.pdf 3-17680 2016-12-05 Order Postponing Hearing, Scheduling Prehearing Conference, and to Show Cause Orders Kogeto, Inc. Lustros, Inc. Med-X Systems, Inc. N/A AP-4417 https://www.sec.gov/alj/aljorders/2016/ap-4417.pdf 3-17519 2016-12-05 Order Orders Grace Development, Inc. Luxeyard, Inc. SuperDirectories, Inc. N/A AP-4418 https://www.sec.gov/alj/aljorders/2016/ap-4418.pdf 3-17681 2016-12-05 Postponement Order Orders Anderson, Bryan Wayne N/A AP-4419 https://www.sec.gov/alj/aljorders/2016/ap-4419.pdf 3-17683 2016-12-06 Order to Show Cause/Order Postponing Hearing and Scheduling Prehearing Conference Orders Harvey Westbury Corp. Intercore, Inc. Kalex Corp. N/A AP-4420 https://www.sec.gov/alj/aljorders/2016/ap-4420.pdf 3-17679 2016-12-07 Order Following Prehearing Conference and to Show Cause Orders Questrust Ventures, Inc. Zaring Homes, Inc. N/A AP-4421 https://www.sec.gov/alj/aljorders/2016/ap-4421.pdf 3-17711 2016-12-07 Order Scheduling Hearing and Designating Presiding Judge Orders Aquanatural Co. Bullet Sports International Inc. Pearce Systems International, Inc. N/A AP-4422 https://www.sec.gov/alj/aljorders/2016/ap-4422.pdf 3-16383 2016-12-07 Order Following Prehearing Conference Orders Hill, Charles L. Jr. N/A AP-4423 https://www.sec.gov/alj/aljorders/2016/ap-4423.pdf 3-17661 2016-12-08 Order Staying Proceeding and Canceling Prehearing Conference Orders Altholtz, Harvey N/A AP-4424 https://www.sec.gov/alj/aljorders/2016/ap-4424.pdf 3-16227 3-16229 2016-12-08 Order Orders Middlebury Securities, LLC Osborn, Gregory N/A AP-4425 https://www.sec.gov/alj/aljorders/2016/ap-4425.pdf 3-17693 2016-12-08 Postponement Order Orders Finn, Sean P. M. Dwyer LLC N/A AP-4426 https://www.sec.gov/alj/aljorders/2016/ap-4426.pdf 3-17698 2016-12-08 Order Postponing Hearing Orders Odyssey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A AP-4427 https://www.sec.gov/alj/aljorders/2016/ap-4427.pdf 3-17507 2016-12-09 Stay Order Orders Pittera, Joseph L. Esq. N/A AP-4428 https://www.sec.gov/alj/aljorders/2016/ap-4428.pdf 3-16554 2016-12-09 Order Granting in Part Motion to Quash Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4429 https://www.sec.gov/alj/aljorders/2016/ap-4429.pdf 3-17651 2016-12-09 Order on Joint Request for Extension of Time Orders Beamish, Adrian D. CPA N/A AP-4430 https://www.sec.gov/alj/aljorders/2016/ap-4430.pdf 3-17715 2016-12-12 Order Scheduling Hearing and Designating Presiding Judge Orders Sen Yu International Holding, Inc. N/A AP-4431 https://www.sec.gov/alj/aljorders/2016/ap-4431.pdf 3-17716 2016-12-12 Order Scheduling Hearing and Designating Presiding Judge Orders Baker, Robert Herrera, Jacob B. Bowen, Michael D. Ballard, Terrence A. N/A AP-4432 https://www.sec.gov/alj/aljorders/2016/ap-4432.pdf 3-17692 2016-12-12 Order to Show Cause, Postponing Hearing and Scheduling Prehearing Conference Orders All-Pro Products, Inc. Cashtek Corp. Gotham Apparel Corp. Lafayette Industries, Inc. N/A AP-4433 https://www.sec.gov/alj/aljorders/2016/ap-4433.pdf 3-17690 2016-12-12 Order to Show Cause, Postponing Hearing, and Scheduling Prehearing Conference Orders MGN Techonologies, Inc. N/A AP-4434 https://www.sec.gov/alj/aljorders/2016/ap-4434.pdf 3-17574 2016-12-12 Order Following Prehearing Conference Orders Accel Brands, Inc. N/A AP-4435 https://www.sec.gov/alj/aljorders/2016/ap-4435.pdf 3-17686 2016-12-12 Order Postponing Hearing and Scheduling Prehearing Conference Orders Lee, James Y. N/A AP-4436 https://www.sec.gov/alj/aljorders/2016/ap-4436.pdf 3-17676 2016-12-12 Order Orders OTC Global Partners, LLC N/A AP-4437 https://www.sec.gov/alj/aljorders/2016/ap-4437.pdf 3-17674 2016-12-12 Order Granting Motion to Extend Filing Orders Kon, Alexander N/A AP-4438 https://www.sec.gov/alj/aljorders/2016/ap-4438.pdf 3-17650 2016-12-12 Scheduling Order Orders Lawler, Joe N/A AP-4439 https://www.sec.gov/alj/aljorders/2016/ap-4439.pdf 3-17528 2016-12-12 Order Scheduling Prehearing Conference Orders Kazinec, Aaron Nash N/A AP-4440 https://www.sec.gov/alj/aljorders/2016/ap-4440.pdf 3-17387 2016-12-13 Order Regarding Mediation Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4441 https://www.sec.gov/alj/aljorders/2016/ap-4441.pdf 3-17559 2016-12-13 Order Granting Respondents' Unopposed Motion for Extension Orders Rose, Sheldon MKJJ Consulting LLC N/A AP-4442 https://www.sec.gov/alj/aljorders/2016/ap-4442.pdf 3-16554 2016-12-13 Order Denying Without Prejudice Respondents' Motion to Reconsider Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4443 https://www.sec.gov/alj/aljorders/2016/ap-4443.pdf 3-17699 2016-12-13 Order Postponing Hearing and Directing Division to Confer with Respondent's Counselor Orders Neman, Shervin Neman Financial, Inc. N/A AP-4444 https://www.sec.gov/alj/aljorders/2016/ap-4444.pdf 3-17698 2016-12-13 Order Scheduling Prehearing Conference Orders Odessey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A AP-4445 https://www.sec.gov/alj/aljorders/2016/ap-4445.pdf 3-17721 2016-12-14 Order Scheduling Hearing and Designating Presiding Judge Orders Ben Franklin Retail Stores, Inc. Enrotek Corp. Spectre Gaming, Inc. N/A AP-4446 https://www.sec.gov/alj/aljorders/2016/ap-4446.pdf 3-17550 2016-12-14 Scheduling Order Orders Ditommaso, Tod A. N/A AP-4447 https://www.sec.gov/alj/aljorders/2016/ap-4447.pdf 3-17387 2016-12-14 Order Denying Reconsideration And Regarding Defense-Strategy Documents Orders Lathen, Donald F. (Jay) Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4448 https://www.sec.gov/alj/aljorders/2016/ap-4448.pdf 3-16649 2016-12-14 Order Granting Part Division's Motion in Limine Regarding Investigation and Due Process Evidence Orders Ironridge Global Partners, LLC Ironridge Global IV, LTD. N/A AP-4449 https://www.sec.gov/alj/aljorders/2016/ap-4449.pdf 3-16649 2016-12-14 Order Denying Respondents' Combined Motions in Limine and Denying the Division's Motion in Limine Regarding Rebuttal Experts Orders Ironridge Global Partners, LLC Ironridge Global IV, Ltd N/A AP-4450 https://www.sec.gov/alj/aljorders/2016/ap-4450.pdf 3-17528 2016-12-14 Order Following Prehearing Conference Orders Kazinec, Aaron Nash N/A AP-4451 https://www.sec.gov/alj/aljorders/2016/ap-4451.pdf 3-17657 2016-12-14 Order on Prehearing Schedule Orders Smith, Gregory J. N/A AP-4452 https://www.sec.gov/alj/aljorders/2016/ap-4452.pdf 3-16649 2016-12-14 Order Scheduling Prehearing Conference Orders Ironridge Global Partners, LLC Ironridge Global IV, LLC N/A AP-4453 https://www.sec.gov/alj/aljorders/2016/ap-4453.pdf 3-17685 2016-12-14 Order Postponing Hearing and Scheduling Prehearing Conference Orders Holt, Mark D. N/A AP-4454 https://www.sec.gov/alj/aljorders/2016/ap-4454.pdf 3-17716 2016-12-15 Protective Order Orders Baker, Robert L. Herrear, Jacob B. Bowen, Michael D. Ballard, Terrence A. N/A AP-4455 https://www.sec.gov/alj/aljorders/2016/ap-4455.pdf 3-16349 2016-12-16 Order Regarding Hearing Location Orders Duka, Barbara N/A AP-4456 https://www.sec.gov/alj/aljorders/2016/ap-4456.pdf 3-17387 2016-12-16 Order Granting Joint Motion for Mediation Orders Lathen, Donald F. ("Jay") Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4457 https://www.sec.gov/alj/aljorders/2016/ap-4457.pdf 3-17393 2016-12-16 Order Scheduling Oral Argument Orders Peterson, Curtis A. N/A AP-4458 https://www.sec.gov/alj/aljorders/2016/ap-4458.pdf 3-17558 2016-12-16 Order Directing Parties to Confer and File Stipulation Orders Bluforest, Inc. N/A AP-4459 https://www.sec.gov/alj/aljorders/2016/ap-4459.pdf 3-17157 2016-12-16 Order on Continued Stay Orders Zoernack, Steven Equitystar Capital Management, LLC N/A AP-4460 https://www.sec.gov/alj/aljorders/2016/ap-4460.pdf 3-17387 2016-12-16 Third Order Revising Procedural Schedule Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4461 https://www.sec.gov/alj/aljorders/2016/ap-4461.pdf 3-17683 2016-12-19 Order Following Prehearing Conference Orders Intercore, Inc. Harvey Westbury Corp. Kalex Corp. N/A AP-4462 https://www.sec.gov/alj/aljorders/2016/ap-4462.pdf 3-16383 2016-12-19 Post-Hearing Order Orders Hill, Charles L. Jr. N/A AP-4463 https://www.sec.gov/alj/aljorders/2016/ap-4463.pdf 3-17405 2016-12-19 Order Granting Request for More Time Orders Bay City Transfer Agency and Registrar, Inc. Amersey, Nitin M. N/A AP-4464 https://www.sec.gov/alj/aljorders/2016/ap-4464.pdf 3-17650 2016-12-19 Prehearing Order Orders Lawler, Joe N/A AP-4465 https://www.sec.gov/alj/aljorders/2016/ap-4465.pdf 3-17674 2016-12-19 Order Following Prehearing Conference Orders Kon, Alexander N/A AP-4466 https://www.sec.gov/alj/aljorders/2016/ap-4466.pdf 3-16554 2016-12-19 Order Denying Respondents' Motion to Compel Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4467 https://www.sec.gov/alj/aljorders/2016/ap-4467.pdf 3-17651 2016-12-19 Order Denying Respondent's Motion For More Definite Statement Orders Beamish, Adrian D. CPA N/A AP-4468 https://www.sec.gov/alj/aljorders/2016/ap-4468.pdf 3-17733 2016-12-20 Order Scheduling Hearing and Designating Presiding Judge Orders Wilson-Davis & Company, Inc. N/A AP-4469 https://www.sec.gov/alj/aljorders/2016/ap-4469.pdf 3-17700 2016-12-20 Order to Show Cause and Postponing Hearing Orders Mars Acquisitions, Inc. Softnet Technology Corp. N/A AP-4470 https://www.sec.gov/alj/aljorders/2016/ap-4470.pdf 3-17685 2016-12-20 Order Following Prehearing Conference Orders Holt, Mark D. Holthusen, Mark D. N/A AP-4471 https://www.sec.gov/alj/aljorders/2016/ap-4471.pdf 3-17657 2016-12-20 Stay Order Orders Smith, Gregory J. N/A AP-4472 https://www.sec.gov/alj/aljorders/2016/ap-4472.pdf 3-17676 2016-12-20 Order Orders OTC Global Partners, LLC Dias, Raimundo N/A AP-4473 https://www.sec.gov/alj/aljorders/2016/ap-4473.pdf 3-16554 2016-12-20 Order Granting in Part Respondents' Motion for Production Orders Gray Financial Group, Inc. Gray, Laurence O. Hubbard, Robert C. IV N/A AP-4474 https://www.sec.gov/alj/aljorders/2016/ap-4474.pdf 3-17342 2016-12-20 Order Orders RD Legal Capital, LLC Dersovitz, Roni N/A AP-4475 https://www.sec.gov/alj/aljorders/2016/ap-4475.pdf 3-17740 2016-12-21 Order Scheduling Hearing and Designating Presiding Judge Orders Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.) Porter, John T. Duszynski, Thomas F. CPA N/A AP-4476 https://www.sec.gov/alj/aljorders/2016/ap-4476.pdf 3-17685 2016-12-21 Order Scheduling Prehearing Conference Orders Holt, Mark D. Holthusen, Mark D. N/A AP-4477 https://www.sec.gov/alj/aljorders/2016/ap-4477.pdf 3-17527 2016-12-22 Order Staying Proceeding Orders Hahn, Karl E. N/A AP-4478 https://www.sec.gov/alj/aljorders/2016/ap-4478.pdf 2016-12-22 Order Following Prehearing Conference Orders Snisky, Gary C. N/A AP-4479 https://www.sec.gov/alj/aljorders/2016/ap-4479.pdf 3-17387 2016-12-22 Order Regarding the Division's Motion to Compel Orders Eden Arc Capital Management, LLC, Eden Arc Capital Advisors, LLC Lathen, Donald F. Jr. N/A AP-4480 https://www.sec.gov/alj/aljorders/2016/ap-4480.pdf 3-17743 2016-12-23 Order Scheduling Hearing and Designating Presiding Judge Orders AFN, Inc. Allen Energy Company American Cascade Energy, Inc, Millenia Hope, Inc. Clubs Choice Holdings, Inc N/A AP-4481 https://www.sec.gov/alj/aljorders/2016/ap-4481.pdf 3-17744 2016-12-23 Order Scheduling Hearing and Designating Presiding Judge Orders Pab Bankshares, Inc. USABG Corp. N/A AP-4482 https://www.sec.gov/alj/aljorders/2016/ap-4482.pdf 3-17372 2016-12-23 Order Orders Island Trader LLC Nickles, Richard H. N/A AP-4483 https://www.sec.gov/alj/aljorders/2016/ap-4483.pdf 3-17387 2016-12-23 Clarification Order Orders Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-4484 https://www.sec.gov/alj/aljorders/2016/ap-4484.pdf 3-17104 2016-12-27 Order Regarding Motion to Correct Manifest Errors of Fact Orders BioElectronics Corp. IBEX St. John's LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A AP-4485 https://www.sec.gov/alj/aljorders/2016/ap-4485.pdf 3-17747 2016-12-28 Order Scheduling Hearing and Designating Presiding Judge Orders Rose, Brian C. N/A AP-4486 https://www.sec.gov/alj/aljorders/2016/ap-4486.pdf 2016-12-28 Order Scheduling Hearing and Designating Presiding Judge Orders McGregor, Robert S. N/A AP-4487 https://www.sec.gov/alj/aljorders/2016/ap-4487.pdf 2016-12-28 Order Scheduling Hearing and Designating Presiding Judge Orders Smith, Jason B. N/A AP-4488 https://www.sec.gov/alj/aljorders/2016/ap-4488.pdf 3-17686 2016-12-28 Order Following Prehearing Conference Orders Lee, James Y. N/A AP-4489 https://www.sec.gov/alj/aljorders/2016/ap-4489.pdf 3-17751 2016-12-28 Order Scheduling Hearing and Designating Presiding Judge Orders Dekel, Roy N/A AP-4490 https://www.sec.gov/alj/aljorders/2016/ap-4490.pdf 3-17698 2016-12-29 Order Following Prehearing Conference and to Show Cause Orders Odyssey Pictures Corporation Portus Corporation Vampt America, Inc. Westport Energy Holdings, Inc. N/A AP-4491 https://www.sec.gov/alj/aljorders/2016/ap-4491.pdf 3-17651 2016-12-29 Scheduling and General Prehearing Order Opinions Beamish, Adrian D. CPA N/A AP-4492 https://www.sec.gov/alj/aljorders/2016/ap-4492.pdf 3-17711 2016-12-29 Order to Show Cause and Postponement Order Orders AquaNatural Co. Bullet Sports International Inc. Pearce Systems International, Inc. N/A AP-4493 https://www.sec.gov/alj/aljorders/2016/ap-4493.pdf 3-17393 2016-12-29 Order Following Oral Argument Orders Peterson, Curtis A. N/A AP-4494 https://www.sec.gov/alj/aljorders/2016/ap-4494.pdf 3-17558 2016-12-29 Order Regarding Service and Answer Date Orders Bluforest, Inc. N/A AP-4495 https://www.sec.gov/alj/aljorders/2016/ap-4495.pdf 3-17387 2016-12-29 Order Regarding the Division's Motion to Compel Hinckley Allen Orders Lathen, Donald F. (Jay) Jr. Eden Arc Capital Advisors, LLC Eden Arc Capital Management, LLC N/A AP-4496 https://www.sec.gov/alj/aljorders/2016/ap-4496.pdf 3-17733 2016-12-30 Order Postponing Hearing and Scheduling Prehearing Conference Orders Wilson-Davis & Company, Inc. N/A IA-4305 https://www.sec.gov/litigation/admin/2016/34-76838.pdf 34-76838 3-17035 2016-01-05 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Desai, Shreyans N/A IA-4306 https://www.sec.gov/litigation/admin/2016/33-10001.pdf 33-10001 34-76839 3-17036 2016-01-06 Order Instituting Administrative And Cease-And-Desist AP Settled J.P. Morgan Securities LLC N/A IA-4307 https://www.sec.gov/litigation/admin/2016/ia-4307.pdf 3-15382 2016-01-08 Order Making Findings and Imposing Remedial Sanctions AP Settled Cohen, Steven A. N/A IA-4308 https://www.sec.gov/rules/other/2016/ia-4308.pdf NO FILE NUMBER 2016-01-08 Order Order Order Cancelling Registration of Certain Investment Advisors N/A IA-4309 https://www.sec.gov/litigation/admin/2016/ia-4309.pdf 3-16766 2016-01-11 Order Making Findings and Imposing Sanctions AP Settled Price, Aubrey Lee N/A IA-4310 https://www.sec.gov/litigation/admin/2016/34-76878.pdf 34-76878 3-17046 2016-01-12 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Higgins, Richard M. N/A IA-4311 https://www.sec.gov/litigation/admin/2016/34-76885.pdf 34-76885 3-17049 2016-01-13 Order Instituting Administrative Proceedings And Notice of Hearing AP Litigated RAHFCO Management Group, LLC N/A IA-4312 https://www.sec.gov/litigation/admin/2016/ia-4312.pdf 3-17050 2016-01-13 Order Instituting Administrative Proceedings And Notice of Hearing AP Litigated Hudson Capital Partners Corporation N/A IA-4313 https://www.sec.gov/litigation/admin/2016/34-76896.pdf 34-76896 3-16936 2016-01-13 Order Making Findings and Imposing Remedial Sanctions AP Settled Brooks, Jonathan Warren N/A IA-4314 https://www.sec.gov/litigation/admin/2016/34-76897.pdf 34-76897 3-17051 2016-01-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Everhart Financial Group, Inc. Everhart, Richard Scott Romeo, Matthew James N/A IA-4315 https://www.sec.gov/litigation/admin/2016/33-10004.pdf 33-10004 34-76927 3-17057 2016-01-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist order AP Settled Equinox Fund Management, LLC N/A IA-4316 https://www.sec.gov/litigation/admin/2016/34-76928.pdf 34-76928 3-17058 2016-01-19 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Barclays Capital Inc. N/A IA-4317 https://www.sec.gov/litigation/admin/2016/34-76932.pdf 34-76932 3-17059 2016-01-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Snedeker, Michael T. N/A IA-4318 https://www.sec.gov/litigation/opinions/2016/33-10005.pdf 33-10005 34-76933 IC-31962 3-15967 2016-01-19 Order Granting Motion for Extension Order Labine, Lawrence M. N/A IA-4319 https://www.sec.gov/litigation/opinions/2016/34-76934.pdf 34-76934 3-14655 2016-01-19 Order Vacating Municipal Advisor Bar Order Pinard, Dean Zenon N/A IA-4320 https://www.sec.gov/litigation/admin/2016/33-10006.pdf 33-10006 34-76948 IC-31971 3-15003 2016-01-21 Order Scheduling Oral Argument Order Young, Bernerd E. N/A IA-4321 https://www.sec.gov/litigation/admin/2016/ia-4321.pdf 3-17067 2016-01-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Malik, Moazzam "Mark" N/A IA-4322 https://www.sec.gov/litigation/admin/2016/33-10008.pdf 33-10008 34-76976 IC-31972 3-15446 2016-01-27 Order Scheduling Oral Argument Order J.S. Oliver Capital Management, L.P. Mausner, Ian O. N/A IA-4323 https://www.sec.gov/litigation/admin/2016/33-10009.pdf 33-10009 34-76991 IC-31973 3-17075 2016-01-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled QED Benchmark Management, L.L.C. Kuperman, Peter N/A IA-4324 https://www.sec.gov/litigation/admin/2016/34-77017.pdf 34-77017 3-17083 2016-02-02 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Beckman, Jason Bo-Alan N/A IA-4325 https://www.sec.gov/litigation/admin/2016/33-10033.pdf 33-10033 34-77040 IC-31979 3-16202 2016-02-03 Notice That Initial Decision Has Become Final Notice Krisnos Holdings, Inc. Fordgate Acquisition Corp. Krinos, George N. N/A IA-4326 https://www.sec.gov/litigation/admin/2016/34-77048.pdf 34-77048 IC-31983 3-15471 2016-02-03 Order Approving Plan of Distribution Order Sarkauskas and Associates, Inc. Sarkauskas, James M. N/A IA-4327 https://www.sec.gov/litigation/admin/2016/34-77052.pdf 34-77052 3-17098 2016-02-04 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Donnelly, Michael N/A IA-4328 https://www.sec.gov/litigation/admin/2016/34-77059.pdf 34-77059 IC-31984 3-15141 2016-02-04 Order Scheduling Oral Argument Order Riad, Mohammed Swanson, Kevin Timothy N/A IA-4329 https://www.sec.gov/litigation/opinions/2016/33-10035.pdf 33-10035 34-77068 IC-31985 3-15842 2016-02-05 Order Dismissing Untimely Petition For Review Order Cooper, Jacob Keith N/A IA-4330 https://www.sec.gov/alj/aljdec/2016/ia-4330.pdf 3-16706 2016-02-05 Notice That Initial Decision Has Become Final Notice Uppal, Sachin K. N/A IA-4331 https://www.sec.gov/litigation/admin/2016/ia-4331.pdf IC-31987 3-16037 2016-02-05 Order Scheduling Oral Argument Order PageOne Financial, Inc. Page, Edgar R. N/A IA-4332 https://www.sec.gov/litigation/admin/2016/ia-4332.pdf 3-16155 2016-02-09 Corrected Order Making Findings and Imposing Remedial Sanctions AP Settled Rowe, Nicholas N/A IA-4333 https://www.sec.gov/litigation/admin/2016/34-77115.pdf 34-77115 IC-31994 3-16463 2016-02-11 Extension Order Order Osunkwo, David I. Aegis Capital, LLC Lamm, Diane W. Circle One Wealth Management, LLC Strategic Consulting Advisors, LLC N/A IA-4334 https://www.sec.gov/litigation/admin/2016/34-77136.pdf 34-77136 3-17117 2016-02-12 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Merrick, Gregory L. N/A IA-4335 https://www.sec.gov/litigation/admin/2016/34-77150.pdf 34-77150 IC-31997 3-17119 2016-02-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing remedial Sanctions and a Cease-and-Desist Order AP Settled Grom, Charles P. N/A IA-4336 https://www.sec.gov/litigation/opinions/2016/33-10044.pdf 33-10044 34-77201 IC-31999 3-16311 2016-02-22 Order Granting Petition for Review and Scheduling Briefs Order Dembski, Timothy S. N/A IA-4337 https://www.sec.gov/rules/ia/2016/ia-4337.pdf 803-00222 2016-02-22 Notice Notice Brookfield Asset Management Private Institutional Capital Adviser US, LLC et al. http://www.federalregister.gov/citation/81-FR-9898 81-FR-9898 IA-4338 https://www.sec.gov/litigation/admin/2016/ia-4338.pdf 3-17127 2016-02-23 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Cantella & Co. N/A IA-4339 https://www.sec.gov/litigation/opinions/2016/ia-4339.pdf 3-15323 2016-02-23 Order Vacating Bar Order Order Goyal, Sandeep N/A IA-4340 https://www.sec.gov/litigation/admin/2016/33-10045.pdf 33-10045 34-77215 3-16354 2016-02-23 Notice That Initial Decision Has Become Final Notice RTAG Inc. d/b/a Retirement Tax Advisory Group Scurlock, Riichard Hampton, III N/A IA-4341 https://www.sec.gov/alj/aljdec/2016/33-10046.pdf 33-10046 34-77216 3-16354 2016-02-23 Notice That Initial Decision Has Become Final Notice Karaski, Dennis K. Carrio, Jose F. Carrio, Karasik & Associates, LLP N/A IA-4342 https://www.sec.gov/alj/aljdec/2016/33-10047.pdf 33-10047 34-77217 3-16354 2016-02-23 Notice That Initial Decision Has Become Final Notice Salovay, Michael J. N/A IA-4343 https://www.sec.gov/litigation/admin/2016/ia-4343.pdf 3-17129 2016-02-24 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Sarris, Emanuel L., Sr. N/A IA-4344 https://www.sec.gov/litigation/admin/2016/34-77224.pdf 34-77224 AAER-3747 3-17130 2016-02-24 Order Instituting Administrative Proceedings, Making Findings, and Imposing remedial Sanctions AP Settled Lee, David S., CPA N/A IA-4345 https://www.sec.gov/litigation/admin/2016/34-77244.pdf 34-77244 3-17137 2016-02-26 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Giordano, Joseph A. N/A IA-4346 https://www.sec.gov/litigation/admin/2016/34-77253.pdf 34-77253 IC-32012 3-17139 2016-02-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Santos, Maximillian N/A IA-4347 https://www.sec.gov/litigation/admin/2016/33-10049.pdf 33-10049 34-77263 IC-32016 3-15446 2016-03-01 Order Rescheduling Oral Argument Order Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A IA-4348 https://www.sec.gov/litigation/admin/2016/ia-4348.pdf 3-17150 2016-03-02 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders AP Settled Marco Investment Management, LLC Marco, Steven S. N/A IA-4349 https://www.sec.gov/litigation/admin/2016/33-10051.pdf 33-10051 34-77318 IC-32024 3-17157 812-14574 2016-03-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Zoernack, Steven Invesco Distributors, Inc. EquityStar Capital Management, LLC N/A IA-4350 https://www.sec.gov/litigation/admin/2016/34-77347.pdf 34-77347 3-17168 2016-03-10 Order Instituting Administrative Proceedings, Investment Advisers, Making Findings, and Imposing Remedial Sanctions AP Settled Stephens, Steele V. N/A IA-4351 https://www.sec.gov/litigation/admin/2016/34-77362.pdf 34-77362 3-17169 2016-03-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled FSC Securities Corporation SagePoint Financial, Inc. Royal Alliance Associates, Inc. N/A IA-4352 https://www.sec.gov/litigation/admin/2016/34-77369.pdf 34-77369 IC-32027 3-17170 2016-03-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Malone, David K. Detter, Mark R. Central States Capital Markets, LLC Stepp, John D. N/A IA-4353 https://www.sec.gov/litigation/admin/2016/34-77393.pdf 34-77393 3-17174 2016-03-17 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Dowd, Kevin L. N/A IA-4354 https://www.sec.gov/rules/other/2016/33-10056.pdf 33-10056 34-77408 IC-32031 S7-04-16 2016-03-18 Semiannual Regulatory Agenda Notice Semiannual Regulatory Agenda http://www.federalregister.gov/citation/81-FR-37470 81-FR-37470 IA-4355 https://www.sec.gov/rules/ia/2016/ia-4355.pdf 803-00222 2016-03-21 Order Order Brookfield Asset Management Private Institutional Capital Adviser US, LLC N/A IA-4356 https://www.sec.gov/litigation/opinions/2016/34-77411.pdf 34-77411 3-16374 2016-03-21 Opinion Opinion Wulf, David R. N/A IA-4357 https://www.sec.gov/litigation/admin/2016/ia-4357.pdf 3-17067 2016-03-23 Order Making Findings and Imposing Remedial Sanctions AP Settled Malik, Moazzam "Mark" N/A IA-4358 https://www.sec.gov/litigation/opinions/2016/33-10060.pdf 33-10060 34-77442 IC-32050 3-15003 2016-03-24 Opinion Opinion Young, Bernerd E. N/A IA-4359 https://www.sec.gov/litigation/admin/2016/34-77466.pdf 34-77466 IC-32059 3-17184 2016-03-29 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Gibson, Christopher M. N/A IA-4360 https://www.sec.gov/litigation/admin/2016/34-77473.pdf 34-77473 AAER-3761 IC-32060 3-17186 2016-03-30 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Sen, Helena C., CPA Burrill, G. Steven, CPA Burill Capital Management, LLC Hebert, Victor A., Esq. N/A IA-4361 https://www.sec.gov/litigation/admin/2016/ia-4361.pdf 3-17195 2016-04-05 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Cambridge Investment Research Advisors, Inc. N/A IA-4362 https://www.sec.gov/litigation/admin/2016/34-77528.pdf 34-77528 3-17196 2016-04-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Bastron, Alexander R. N/A IA-4363 https://www.sec.gov/litigation/admin/2016/ia-4363.pdf 3-17199 2016-04-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Rivera, Daniel N/A IA-4364 https://www.sec.gov/litigation/admin/2016/34-77566.pdf 34-77566 3-17205 2016-04-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Ragas, Jabari W. N/A IA-4365 https://www.sec.gov/alj/aljdec/2016/ia-4365.pdf 3-16668 2016-04-08 Notice that Initial Decision has Become Final Notice Davey, Jonathan D., CPA N/A IA-4366 https://www.sec.gov/litigation/admin/2016/34-77598.pdf 34-77598 3-17117 2016-04-13 Order Making Findings and Imposing Remedial Sanctions AP Settled Merrick, Gregory L. N/A IA-4367 https://www.sec.gov/litigation/admin/2016/34-77618.pdf 34-77618 IC-32072 3-16883 2016-04-14 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Jacob, Arthur F., CPA Innovative Business Solutions, LLC N/A IA-4368 https://www.sec.gov/litigation/admin/2016/34-77625.pdf 34-77625 IC-32073 3-16730 2016-04-14 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Johnson, Reid S. N/A IA-4369 https://www.sec.gov/litigation/admin/2016/34-77630.pdf 34-77630 3-17210 2016-04-15 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated White, Paul Leon, II N/A IA-4370 https://www.sec.gov/litigation/admin/2016/ia-4370.pdf 3-17050 2016-04-15 Order Making Findings and Imposing Remedial Sanctions AP Settled Hudson Capital Partners Corporation N/A IA-4371 https://www.sec.gov/litigation/admin/2016/34-77648.pdf 34-77648 IC-32075 3-17216 2016-04-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hartshorn, Bruce A. N/A IA-4372 https://www.sec.gov/litigation/admin/2016/34-77649.pdf 34-77649 IC-32076 3-17217 2016-04-19 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Phillips, Larry M. TPG Advisors LLC d/b/a The Phillips Group Advisors N/A IA-4373 https://www.sec.gov/litigation/admin/2016/34-77663.pdf 34-77663 3-17219 2016-04-20 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Jackson, JoAnn N/A IA-4374 https://www.sec.gov/litigation/admin/2016/ia-4374.pdf IC-32089 3-17220 2016-04-20 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ginsparg, Daniel N. N/A IA-4375 https://www.sec.gov/alj/aljdec/2016/34-77664.pdf 34-77664 3-16917 2016-04-20 Notice That Initial Decision Has Become Final Notice Taylor, Garfield M. N/A IA-4376 https://www.sec.gov/alj/aljdec/2016/33-10072.pdf 33-10072 34-77697 IC-32092 3-15967 2016-04-22 Notice That Initial Decision Has Become Final Notice Labine, Lawrence M. N/A IA-4377 https://www.sec.gov/litigation/admin/2016/34-77702.pdf 34-77702 3-17225 2016-04-25 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Segal, Malcolm N/A IA-4378 https://www.sec.gov/litigation/admin/2016/ia-4378.pdf 3-17234 2016-04-27 Corrected Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Professional Investment Management, Inc. N/A IA-4379 https://www.sec.gov/litigation/admin/2016/ia-4379.pdf 3-17235 2016-04-27 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Bliss, Roger S. N/A IA-4380 https://www.sec.gov/litigation/admin/2016/34-77745.pdf 34-77745 AAER-3772 3-17238 2016-04-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Santos, Postal & Company, P.C. Scolaro, Joseph A., CPA N/A IA-4381 https://www.sec.gov/alj/aljdec/2016/ia-4381.pdf 3-16552 2016-05-02 Notice that Initial Decision Has Become Final Notice Thompson, Gedrey N/A IA-4382 https://www.sec.gov/litigation/opinions/2016/34-77772.pdf 34-77772 IC-32108 3-16463 2016-05-05 Order Denying Motion to Sever Order Osunkwo, David I. Strategic Consulting Advisors, LLC N/A IA-4383 https://www.sec.gov/rules/proposed/2016/34-77776.pdf 34-77776 S7-07-16 2016-05-06 Proposed rule Proposed Rule Incentive-based Compensation Arrangements http://www.federalregister.gov/citation/81-FR-37670 81-FR-37670 IA-4384 https://www.sec.gov/litigation/admin/2016/ia-4384.pdf 3-17245 2016-05-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Brochu, David N/A IA-4385 https://www.sec.gov/litigation/opinions/2016/34-77825.pdf 34-77825 IC-32114 3-15215 2016-05-12 Order Granting Petition for Review and Scheduling Briefs Order Tagliaferri, James S. N/A IA-4386 https://www.sec.gov/litigation/admin/2016/34-77826.pdf 34-77826 3-17251 2016-05-12 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Blount, John Steven N/A IA-4387 https://www.sec.gov/litigation/admin/2016/34-77832.pdf 34-77832 3-17252 2016-05-13 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Von Hase, Stephan N/A IA-4388 https://www.sec.gov/rules/other/2016/ia-4388.pdf S7-08-16 2016-05-18 Notice of Intent to Issue Order Notice Performance-Based Investment Advisory Fees http://www.federalregister.gov/citation/81-FR-32686 81-FR-32686 IA-4389 https://www.sec.gov/litigation/admin/2016/33-10080.pdf 33-10080 34-77862 IC-32118 3-17253 2016-05-19 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Blue Ocean Portfolios, LLC Winkelmann, James A., Sr. N/A IA-4390 https://www.sec.gov/litigation/admin/2016/34-77863.pdf 34-77863 3-16824 2016-05-19 Notice That Initial Decision Has Become Final Notice Paez, Daniel N/A IA-4391 https://www.sec.gov/litigation/admin/2016/ia-4391.pdf IC-32119 3-16590 2016-05-19 Order Directing the Filing of Briefs Order Ourand, Brian J. N/A IA-4392 https://www.sec.gov/alj/aljdec/2016/ia-4392.pdf 3-16914 2016-05-24 Notice That Initial Decision Has Become Final Notice Litwok, Evelyn N/A IA-4393 https://www.sec.gov/alj/aljdec/2016/ia-4393.pdf 3-16943 2016-05-20 Notice That Initial Decision Has Become Final Notice Bernath, Lonny S. N/A IA-4394 https://www.sec.gov/litigation/admin/2016/ia-4394.pdf 3-17261 2016-05-26 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Stanfill, Jacqueline J. N/A IA-4395 https://www.sec.gov/litigation/admin/2016/33-10083.pdf 33-10083 IC-32128 3-15574 2016-05-26 Order Scheduling Oral Argument Order Chau, Wing F. Harding Advisory LLC N/A IA-4396 https://www.sec.gov/litigation/opinions/2016/ia-4396.pdf 3-15631 2016-05-26 Order Vacating Nationally Recongized Statistical Rating Organization and Municipal Advisor Bars Order Ribotsky, Corey N/A IA-4397 https://www.sec.gov/litigation/opinions/2016/34-77933.pdf 34-77933 3-15405 2016-05-26 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Musich, Ronald N/A IA-4398 https://www.sec.gov/litigation/opinions/2016/ia-4398.pdf 3-16641 2016-05-26 Order Vacating Nationally Recognizied Statistical Rating Organization and Municipal Bars Order Teeple, Matthew G. N/A IA-4399 https://www.sec.gov/litigation/admin/2016/ia-4399.pdf IC-32130 3-17263 2016-05-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Weisson, Ernesto H. Cortes, Roberto G. Cortes, Juan Carlos Biscayne Capital International, LLC Chatburn, Frank R. N/A IA-4400 https://www.sec.gov/litigation/opinions/2016/ia-4400.pdf IC-32131 3-16037 2016-05-27 Opinion Opinion Page, Edgar R. PageOne Financial, Inc. N/A IA-4401 https://www.sec.gov/litigation/admin/2016/ia-4401.pdf 3-17264 2016-05-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Federated Global Investment Management Corp. N/A IA-4402 https://www.sec.gov/litigation/opinions/2016/ia-4402.pdf 3-14162 2016-05-27 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Lawton, John W. N/A IA-4403 https://www.sec.gov/litigation/opinions/2016/34-77946.pdf 34-77946 3-15376 2016-05-27 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Cotellessa-Pitz, Enrica N/A IA-4404 https://www.sec.gov/litigation/opinions/2016/ia-4404.pdf 3-16642 2016-05-27 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Johnson, John V. N/A IA-4405 https://www.sec.gov/litigation/opinions/2016/ia-4405.pdf 3-15285 2016-05-27 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Whitman, Douglas F. N/A IA-4406 https://www.sec.gov/litigation/admin/2016/ia-4406.pdf 3-17265 2016-05-31 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Markusen, Steven R. Cope, Jay C. N/A IA-4407 https://www.sec.gov/litigation/opinions/2016/34-77954.pdf 34-77954 3-14951 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Daifotis, Kimon P. N/A IA-4408 https://www.sec.gov/litigation/opinions/2016/34-77955.pdf 34-77955 3-14963 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Madoff, Peter B. N/A IA-4409 https://www.sec.gov/litigation/opinions/2016/ia-4409.pdf 3-15054 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Bars Order Zarefsky, Evan Andrew N/A IA-4410 https://www.sec.gov/litigation/opinions/2016/ia-4410.pdf 3-15055 2016-05-31 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Rubin, David N/A IA-4411 https://www.sec.gov/litigation/admin/2016/34-77959.pdf 34-77959 3-17267 2016-06-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Blackstreet Capital Management, LLC Gunty, Murry N. N/A IA-4412 https://www.sec.gov/litigation/opinions/2016/33-10084.pdf 33-10084 34-77964 IC-32137 3-14404 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Deru, Terry M. N/A IA-4413 https://www.sec.gov/litigation/admin/2016/ia-4413.pdf 3-17276 2016-06-03 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled James Caird Asset Management LLP Leslie, Timothy G. N/A IA-4414 https://www.sec.gov/litigation/admin/2016/34-78020.pdf 34-78020 3-17279 2016-06-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Marsh, Galen J. N/A IA-4415 https://www.sec.gov/litigation/admin/2016/34-78021.pdf 34-78021 3-17280 2016-06-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Morgan Stanley Smith Barney LLC N/A IA-4416 https://www.sec.gov/litigation/opinions/2016/ia-4416.pdf IC-32143 3-16037 2016-06-08 Order Denying Stay in Light of Pending Consideration Motion Order PageOne Financial Inc. Page, Edgar R. N/A IA-4417 https://www.sec.gov/litigation/opinions/2016/ia-4417.pdf 3-15263 2016-06-09 Order Denying Motion for Reconsideration Order ZPR Investment Management, Inc. Zavanelli, Max E. N/A IA-4418 https://www.sec.gov/rules/ia/2016/ia-4418.pdf 803-00227 2016-06-10 Notice Notice Angelo, Gordo & Co., LP http://www.federalregister.gov/citation/81-FR-39292 81-FR-39292 IA-4419 https://www.sec.gov/litigation/admin/2016/ia-4419.pdf 3-17284 2016-06-10 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Thibeault, Daniel N/A IA-4420 https://www.sec.gov/litigation/opinions/2016/34-78049.pdf 34-78049 IC-32146 3-15141 2016-06-13 Opinion Opinion Swanson, Kevin Timothy Riad, Mohammed N/A IA-4420A https://www.sec.gov/litigation/opinions/2016/34-78049a.pdf 34-78049 IC-32146 3-15141 2016-07-07 Opinion Opinion Swanson, Kevin Timothy Riad, Mohammed N/A IA-4421 https://www.sec.gov/rules/other/2016/ia-4421.pdf NO FILE NUMBER 2016-06-14 Order Order Order Approving Adjustment for Inflation of the Dollar Amount Tests in Rule 205 3 under the Investment Advisers Act of 1940 http://www.federalregister.gov/citation/81-FR-39985 81-FR-39985 IA-4422 https://www.sec.gov/litigation/admin/2016/ia-4422.pdf 3-17289 2016-06-14 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Gold, Alan H. N/A IA-4423 https://www.sec.gov/litigation/admin/2016/ia-4423.pdf 3-17295 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Davis, Richard W., Jr. N/A IA-4424 https://www.sec.gov/litigation/admin/2016/33-10096.pdf 33-10096 34-78082 IC-32149 3-15737 2016-06-15 Order Scheduling Oral Argument Order Gonnella, Thomas C. N/A IA-4425 https://www.sec.gov/litigation/admin/2016/34-78084.pdf 34-78084 3-17297 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Rosenberg, Jonathan E. N/A IA-4426 https://www.sec.gov/litigation/admin/2016/34-78085.pdf 34-78085 3-17298 2016-06-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Gardner, Clark S. N/A IA-4427 https://www.sec.gov/litigation/admin/2016/33-10097.pdf 33-10097 IC-32150 3-15574 2016-06-15 Order Rescheduling Oral Argument Order Harding Advisory LLC Chau, Wing F. N/A IA-4428 https://www.sec.gov/litigation/admin/2016/ia-4428.pdf 3-17299 2016-06-16 Order Instituting Cease-and-Desist Proceedings, Making Findings and Imposing a Cease-and-Desist Order AP Settled Apex Fund Services (US), Inc. (Clearpath) N/A IA-4429 https://www.sec.gov/litigation/admin/2016/ia-4429.pdf 3-17300 2016-06-16 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Apex Fund Services (US), Inc. (EquityStar) N/A IA-4430 https://www.sec.gov/litigation/admin/2016/34-78087.pdf 34-78087 3-17301 2016-06-16 Order Instituting Administrative Proceedings, Making findings, and Imposing Remedial Sanctions AP Settled Bansal, Rohit N/A IA-4431 https://www.sec.gov/litigation/opinions/2016/33-10100.pdf 33-10100 34-78098 IC-32152 3-15446 2016-06-17 Opinion Opinion Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A IA-4432 https://www.sec.gov/litigation/admin/2016/33-10101.pdf 33-10101 34-78099 IC-32153 3-15617 2016-06-17 Order Scheduling Oral Argument Order Grossman, Larry C. N/A IA-4433 https://www.sec.gov/litigation/admin/2016/34-78128.pdf 34-78128 IC-32158 3-17308 2016-06-22 Order Instituting Administrative and Cease-and-Desist Procedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders AP Settled Simpson, Mark C. Simpson Hughes Financial, LLC N/A IA-4434 https://www.sec.gov/litigation/admin/2016/34-78142.pdf 34-78142 IC-32159 3-17313 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Tirrell, William N/A IA-4435 https://www.sec.gov/litigation/admin/2016/34-78147.pdf 34-78147 IC-32160 3-17315 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ross, Sinclaire & Associates, LLC Sinclaire, Murray, Jr. N/A IA-4436 https://www.sec.gov/alj/aljdec/2016/ia-4436.pdf 3-16893 2016-06-24 Notice That Initial Decision Has Become Final Notice Evans, James A., Jr. N/A IA-4437 https://www.sec.gov/rules/interim/2016/33-10104.pdf 33-10104 34-78156 IC-32162 S7-11-16 2016-06-27 Interim Final Rule; request for comment Final Rule Adjustments to Civil Monetary Penalty Amounts http://www.federalregister.gov/citation/81-FR-43042 81-FR-43042 IA-4438 https://www.sec.gov/litigation/admin/2016/34-78170.pdf 34-78170 3-17318 2016-06-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mackaronis, Patrick G. N/A IA-4439 https://www.sec.gov/rules/proposed/2016/ia-4439.pdf S7-13-16 2016-06-28 Proposed rule Proposed Rule Adviser Business Continuity and Transition Plans http://www.federalregister.gov/citation/81-FR-43530 81-FR-43530 IA-4440 https://www.sec.gov/litigation/admin/2016/33-10108.pdf 33-10108 34-78185 IC-32165 3-17319 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Helen, Jan E. N/A IA-4441 https://www.sec.gov/litigation/admin/2016/34-78189.pdf 34-78189 3-17320 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled WFG Advisors, L.P. N/A IA-4442 https://www.sec.gov/litigation/admin/2016/34-78197.pdf 34-78197 3-17321 2016-06-29 Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Weiss, Lee D. N/A IA-4443 https://www.sec.gov/litigation/opinions/2016/ia-4443.pdf IC-32169 3-15519 2016-07-05 Order Scheduling Briefs Order Shapiro, Barth Joel Jones, Gordon, II Zell, Donald David, Jr. Timbervest, LLC Boden, Walter William Anthony, III N/A IA-4444 https://www.sec.gov/rules/ia/2016/ia-4444.pdf 803-00227 2016-07-06 Order Order Angelo, Gordon & Co., L.P. N/A IA-4445 https://www.sec.gov/litigation/opinions/2016/34-78252.pdf 34-78252 IC-32172 3-15141 2016-07-07 Order Amending Opinion Order Riad, Mohammed Swanson, Kevin Timothy N/A IA-4446 https://www.sec.gov/litigation/opinions/2016/34-78272.pdf 34-78272 IC-32174 3-15141 2016-07-08 Partial Stay Order Order Swanson, Kevin Timothy Riad, Mohammed N/A IA-4447 https://www.sec.gov/litigation/admin/2016/34-78273.pdf 34-78273 AAER-3788 3-17332 2016-07-11 Order Institutung Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Ackman, Blair D., CPA N/A IA-4448 https://www.sec.gov/litigation/admin/2016/34-78274.pdf 34-78274 3-17333 2016-07-11 Order Instituting Administrative Proceedings, Making Findings, and Imposng Remedial Sanctions AP Settled Diaz, Alicia M., Esq. N/A IA-4449 https://www.sec.gov/litigation/admin/2016/ia-4449.pdf 3-17334 2016-07-11 Order Instituting Adminstrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Matthews, William Emery N/A IA-4450 https://www.sec.gov/litigation/admin/2016/34-78275.pdf 34-78275 3-17083 2016-07-11 Order Making Findings and Imposing Remedial Sanctions AP Settled Beckman, Jason Bo-Alan N/A IA-4451 https://www.sec.gov/litigation/admin/2016/34-78322.pdf 34-78322 3-17341 2016-07-14 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hamels, Gavin L. N/A IA-4452 https://www.sec.gov/litigation/admin/2016/33-10111.pdf 33-10111 34-78325 IC-32176 3-17342 2016-07-14 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled RD Legal Capital, LLC Dersovitz, Roni N/A IA-4453 https://www.sec.gov/litigation/admin/2016/ia-4453.pdf 3-17343 2016-07-14 Order Imstituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled RiverFront Investment Group, LLC N/A IA-4454 https://www.sec.gov/litigation/opinions/2016/ia-4454.pdf IC-32177 3-16037 2016-07-14 Order Denying Motion for Reconsideration Order Page, Edgar R. PageOne Financial, Inc. N/A IA-4455 https://www.sec.gov/litigation/admin/2016/ia-4455.pdf 3-17348 2016-07-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing Remedial Sanctions and a Cease-and-Desist AP Settled Advantage Investment Management, LLC N/A IA-4456 https://www.sec.gov/litigation/admin/2016/ia-4456.pdf 3-17349 2016-07-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Washington Wealth Management, LLC N/A IA-4457 https://www.sec.gov/litigation/admin/2016/ia-4457.pdf 3-17352 2016-07-19 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated Young, Marian P. Saving2Retire, LLC N/A IA-4458 https://www.sec.gov/litigation/opinions/2016/33-10112.pdf 33-10112 34-78364 IC-32178 3-12116 2016-07-19 Order Granting Motion to Modify Order Millennium International Management, L.L.C. Millennium Management, L.L.C., et al. Millennium Partners, L.P. N/A IA-4459 https://www.sec.gov/litigation/admin/2016/33-10113.pdf 33-10113 3-17354 2016-07-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Concert Wealth Management, Inc. Concert Global Group Limited Luna, Felipe N/A IA-4460 https://www.sec.gov/litigation/admin/2016/33-10114.pdf 33-10114 3-17355 2016-07-21 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist AP Settled Navarra, Dennis N/A IA-4461 https://www.sec.gov/litigation/opinions/2016/ia-4461.pdf 3-16946 2016-07-21 Order Granting Petition for Review and Scheduling Briefs Order Price, George Charles Cody N/A IA-4462 https://www.sec.gov/litigation/admin/2016/34-78398.pdf 34-78398 3-17251 2016-07-22 Order Making Findings and Imposing Remedial Sanctions AP Settled Blount, John Steven N/A IA-4463 https://www.sec.gov/litigation/opinions/2016/33-10115.pdf 33-10115 34-78429 IC-32194 3-15918 2016-07-27 Opinion Opinion Malouf, Dennis J. N/A IA-4464 https://www.sec.gov/alj/aljdec/2016/ia-4464.pdf 3-16926 2016-07-27 Notice That Initial Decision Has Become Final Notice Burton, Robert N/A IA-4465 https://www.sec.gov/litigation/admin/2016/ia-4465.pdf 3-17364 2016-07-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Blazer, Louis Martin, III N/A IA-4466 https://www.sec.gov/litigation/opinions/2016/33-10116.pdf 33-10116 34-78440 IC-32199 3-15003 2016-07-29 Partial Stay Order Order Young, Bernerd E. N/A IA-4467 https://www.sec.gov/litigation/admin/2016/33-10117.pdf 33-10117 IC-32200 3-15574 2016-07-29 Corrected Order Denying Motion for Additional Time for Oral Argument Orders Harding Advisory LLc Chau, Wing F. N/A IA-4468 https://www.sec.gov/litigation/admin/2016/34-78457.pdf 34-78457 IC-32202 3-17365 2016-08-02 Order Instituting Administrative and Cease-and-Desist Proceedings, AP Litigated Alison, Stephen D. Alison, LLC N/A IA-4469 https://www.sec.gov/litigation/opinions/2016/ia-4469.pdf IC-32203 3-15157 2016-08-02 Order Denying Request to Vacate Bars Order Eisnaugle, Jeffry C. N/A IA-4470 https://www.sec.gov/litigation/opinions/2016/ia-4470.pdf 3-14552 2016-08-02 Order Denying Request to Vacate Bars Order Gowrish, Vinayak S. N/A IA-4471 https://www.sec.gov/litigation/opinions/2016/ia-4471.pdf 3-15263 2016-08-04 Order Granting Partial Stay and Denying Motion to Adduce Additional Evidence Order ZPR Investment Management, Inc. Zavanelli, Max E. N/A IA-4472 https://www.sec.gov/litigation/admin/2016/ia-4472.pdf 3-17289 2016-08-08 Order Making Findings and Imposing Remedial Sanctions AP Settled Gold, Alan H. N/A IA-4473 https://www.sec.gov/litigation/admin/2016/ia-4473.pdf 3-17368 2016-08-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Sawano, Perry S. N/A IA-4474 https://www.sec.gov/litigation/admin/2016/34-78516.pdf 34-78516 3-17369 2016-08-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Gray, David R., II N/A IA-4475 https://www.sec.gov/litigation/admin/2016/34-78518.pdf 34-78518 3-17370 2016-08-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Walter, Merle G. N/A IA-4476 https://www.sec.gov/litigation/opinions/2016/33-10119.pdf 33-10119 34-78532 IC-32210 3-15737 2016-08-10 Opinion Opinion Gonnella, Thomas C. N/A IA-4477 https://www.sec.gov/litigation/admin/2016/34-78537.pdf 34-78537 3-17372 2016-08-10 Order Instituting Administrative and Cease-and-Desist Proceedings, and Notice of Hearing AP Litigated Island Trader LLC Nickles, Richard H. N/A IA-4478 https://www.sec.gov/litigation/admin/2016/ia-4478.pdf 3-17373 2016-08-10 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Hawkins, Brad H. N/A IA-4479 https://www.sec.gov/litigation/admin/2016/ia-4479.pdf 3-17377 2016-08-11 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled McKee, Randall W. N/A IA-4480 https://www.sec.gov/litigation/admin/2016/34-78551.pdf 34-78551 3-17378 2016-08-11 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Meyer, Ricky T. N/A IA-4481 https://www.sec.gov/litigation/admin/2016/34-78559.pdf 34-78559 3-17380 2016-08-11 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Wilshinsky, Stephen N/A IA-4482 https://www.sec.gov/litigation/opinions/2016/ia-4482.pdf IC-32211 3-16590 2016-08-12 Order Dismissing Untimely Petition for Review Order Ourand, Brian J. N/A IA-4483 https://www.sec.gov/litigation/admin/2016/ia-4483.pdf IC-32212 3-17385 2016-08-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bollinger, Jeff M. Fortius Financial Advisors, LLC Oliver, Gary E. N/A IA-4484 https://www.sec.gov/litigation/admin/2016/34-78571.pdf 34-78571 IC-32213 3-17386 2016-08-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled Zhou, Tianyu N/A IA-4485 https://www.sec.gov/litigation/admin/2016/33-10120.pdf 33-10120 34-78572 IC-32214 3-17387 2016-08-15 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Eden Arc Capital Advisors, LLC Lathen, Donald F., Jr. Eden Arc Capital Management, LLC N/A IA-4486 https://www.sec.gov/litigation/opinions/2016/33-10121.pdf 33-10121 34-78575 IC-32216 3-15446 2016-08-15 Partial Stay Order Order Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A IA-4487 https://www.sec.gov/litigation/admin/2016/34-78585.pdf 34-78585 IC-32217 3-17394 2016-08-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Chin, Edwin K. N/A IA-4488 https://www.sec.gov/litigation/admin/2016/ia-4488.pdf 3-17395 2016-08-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Jones, Anthony Tyrone, Jr. N/A IA-4489 https://www.sec.gov/litigation/admin/2016/34-78591.pdf 34-78591 3-17397 2016-08-16 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Oppenheim, Michael J. N/A IA-4490 https://www.sec.gov/litigation/admin/2016/ia-4490.pdf 3-17401 2016-08-17 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Jackson, Paul J. N/A IA-4491 https://www.sec.gov/litigation/opinions/2016/33-10126.pdf 33-10126 34-78637 IC-32222 3-16801 2016-08-22 Order Granting Petition for Review and Scheduling Briefs Orders Bennett Group Financial Services, LLC Bennett, Dawn J. N/A IA-4492 https://www.sec.gov/litigation/opinions/2016/ia-4492.pdf IC-32223 3-15519 2016-08-22 Recommendation Regarding Disgorgement Orders Timbervest, LLC Shapiro, Joel Barth Boden, III, Walter William Anthony Jones, II, Gordon Zell, Jr., Donald David N/A IA-4493 https://www.sec.gov/litigation/admin/2016/ia-4493.pdf 3-17409 2016-08-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Apollo Management V, L.P. Apollo Management VI, L.P. Apollo Management VII, L.P. Apollo Commodities Management, L.P. N/A IA-4494 https://www.sec.gov/litigation/admin/2016/ia-4494.pdf 3-17491 2016-08-24 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled WL Ross & Co. LLC N/A IA-4495 https://www.sec.gov/litigation/opinions/2016/ia-4495.pdf AAER-3796 IC-32236 3-16462 2016-08-24 Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLc N/A IA-4496 https://www.sec.gov/litigation/admin/2016/ia-4496.pdf 3-17492 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Shamrock Asset Management LLC N/A IA-4497 https://www.sec.gov/litigation/admin/2016/ia-4497.pdf 3-17493 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Schneider Downs Wealth Management Advisors, LP N/A IA-4498 https://www.sec.gov/litigation/admin/2016/ia-4498.pdf 3-17494 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Prospera Financial Services, Inc. N/A IA-4499 https://www.sec.gov/litigation/admin/2016/ia-4499.pdf 3-17495 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Banyan Partners, LLC N/A IA-4500 https://www.sec.gov/litigation/admin/2016/ia-4500.pdf 3-17496 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled HT Partners LLC N/A IA-4501 https://www.sec.gov/litigation/admin/2016/ia-4501.pdf 3-17497 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled Ladenburg Thalmann Asset Management Inc. N/A IA-4502 https://www.sec.gov/litigation/admin/2016/ia-4502.pdf 3-17498 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled J.J.B Hilliard, W.L. Lyons LLC N/A IA-4503 https://www.sec.gov/litigation/admin/2016/ia-4503.pdf 3-17499 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled Executive Monetary Management, LLC N/A IA-4504 https://www.sec.gov/litigation/admin/2016/ia-4504.pdf 3-17500 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist AP Settled Risk Paradigm Group, LLC N/A IA-4505 https://www.sec.gov/litigation/admin/2016/ia-4505.pdf 3-17501 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Constellation Wealth Advisors LLC N/A IA-4506 https://www.sec.gov/litigation/admin/2016/ia-4506.pdf 3-17502 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled BB&T Securities, LLC N/A IA-4507 https://www.sec.gov/litigation/admin/2016/ia-4507.pdf 3-17503 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Congress Wealth Management LLC N/A IA-4508 https://www.sec.gov/litigation/admin/2016/ia-4508.pdf 3-17504 2016-08-25 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled AssetMark, Inc. N/A IA-4509 https://www.sec.gov/rules/final/2016/ia-4509.pdf S7-09-15 2016-08-25 Final Rule Final Rule Form ADV and Investment Advisers Act Rules http://www.federalregister.gov/citation/81-FR-60418 81-FR-60418 IA-4510 2016-08-25 INTENTIONALLY OMITTED IA-4511 https://www.sec.gov/rules/other/2016/ia-4511.pdf S7-16-16 2016-08-25 of Order with respect to MSRB Rule G-37/Notice of Intent to Issue Orders Notice Political Contributions by Certain Investment Advisers: Ban FINRA Rule 2030 http://www.federalregister.gov/citation/81-FR-60651 81-FR-60651 IA-4512 https://www.sec.gov/rules/other/2016/ia-4512.pdf S7-16-17 2016-08-25 Notice of intent to issue order/with respect to MSRB Rule G-37 Notice Political Contributions by Certain Investment Advisers: Ban MSRB Rule G-37 http://www.federalregister.gov/citation/81-FR-60653 81-FR-60653 IA-4513 https://www.sec.gov/litigation/admin/2016/ia-4513.pdf IC-32238 3-17506 2016-08-25 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Orinda Asset Management, LLC N/A IA-4514 https://www.sec.gov/alj/aljdec/2016/33-10199.pdf 33-10199 34-78705 IC-32240 3-15446 2016-08-26 Notice that Initial Decision has Become Final Notice Drennan, Douglas F. N/A IA-4515 https://www.sec.gov/litigation/admin/2016/34-78717.pdf 34-78717 3-17511 2016-08-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Watson, Pamella B. N/A IA-4516 https://www.sec.gov/litigation/admin/2016/ia-4516.pdf 3-17521 2016-08-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Pincheira, Mario N/A IA-4517 https://www.sec.gov/litigation/admin/2016/ia-4517.pdf 3-17522 2016-08-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Kayatta, David N/A IA-4518 https://www.sec.gov/litigation/admin/2016/34-78736.pdf 34-78736 3-17523 2016-08-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Mata, Paul N/A IA-4519 https://www.sec.gov/litigation/opinions/2016/33-10202.pdf 33-10202 34-78739 IC-32250 3-15918 2016-08-31 Order Granting Partial Stay Orders Malouf, Dennis J. N/A IA-4520 https://www.sec.gov/litigation/opinions/2016/ia-4520.pdf 3-16946 2016-09-02 Extension Order Orders Price, George Charles Cody N/A IA-4521 https://www.sec.gov/rules/other/2016/33-10203.pdf 33-10203 34-78769 IC-32251 S7-20-16 2016-09-02 Semiannual Regulatory Agenda Orders Semiannual Regulatory Agenda http://www.federalregister.gov/citation/81-FR-94898 81-FR-94898 IA-4522 2016-09-06 INTENTIONALLY OMITTED IA-4523 https://www.sec.gov/litigation/admin/2016/34-78775.pdf 34-78775 3-17528 2016-09-07 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Kazinec, Aaron Nash N/A IA-4524 https://www.sec.gov/litigation/admin/2016/34-78776.pdf 34-78776 3-17529 2016-09-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Diaz, Eduardo Guillermo N/A IA-4525 https://www.sec.gov/litigation/admin/2016/ia-4525.pdf 3-17531 2016-09-08 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Raymond James & Associates, Incorporated N/A IA-4526 https://www.sec.gov/litigation/admin/2016/ia-4526.pdf 3-17532 2016-09-08 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled Robert W. Baird & Co. Incorporated N/A IA-4527 https://www.sec.gov/litigation/admin/2016/ia-4527.pdf 3-16946 2016-09-12 Order Denying Second Motion for Extension of Briefing Schedule Orders Price, George Charles Cody N/A IA-4528 https://www.sec.gov/litigation/opinions/2016/33-10207.pdf 33-10207 34-78822 IC-32258 3-15918 2016-09-13 Corrected Order Imposing Remedial Sanctions Orders Malouf, Dennis J. N/A IA-4529 https://www.sec.gov/litigation/admin/2016/ia-4529.pdf 3-17538 2016-09-14 Order Instituting Cease-and-Desist Proceedings, Making Findings, and Imposing a Cease-and-Desist Order AP Settled First Reserve Management, L.P. N/A IA-4530 https://www.sec.gov/rules/other/2016/33-10209.pdf 33-10209 34-78845 39-2511 IC-32263 S7-21-16 2016-09-15 Publication of list of rules scheduled for review Notice Regulatory Flexibility Act Rule Review List http://www.federalregister.gov/citation/81-FR-64364 81-FR-64364 IA-4531 https://www.sec.gov/rules/other/2016/ia-4531.pdf S7-17-16 2016-09-20 Order Orders Political Contributions by Certain Investment Advisers: Ban on Third-Party http://www.federalregister.gov/citation/81-FR-66526 81-FR-66526 IA-4532 https://www.sec.gov/rules/other/2016/ia-4532.pdf S7-16-16 2016-09-20 Order Orders Political Contributions by Certain Investment Advisers: Ban on Third-Party http://www.federalregister.gov/citation/81-FR-66526 81-FR-66526 IA-4533 https://www.sec.gov/litigation/admin/2016/34-78895.pdf 34-78895 3-17527 2016-09-21 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing/Corrected AP Litigated Hahn, Karl E. N/A IA-4534 https://www.sec.gov/litigation/admin/2016/ia-4534.pdf IC-32280 3-17567 2016-09-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Aviva Investors Americas, LLC N/A IA-4535 https://www.sec.gov/litigation/admin/2016/34-78927.pdf 34-78927 3-17572 2016-09-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Tagliaferro, Jack N/A IA-4536 https://www.sec.gov/litigation/admin/2016/34-78929.pdf 34-78929 3-17573 2016-09-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Merrill Lynch, Pierce, Fenner & Smith Incorporated N/A IA-4537 https://www.sec.gov/litigation/admin/2016/ia-4537.pdf 3-17588 2016-09-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Gleisner, Jan Pagan, Keith D. N/A IA-4538 https://www.sec.gov/litigation/admin/2016/ia-4538.pdf 3-17592 2016-09-29 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Whelehan, Colin N/A IA-4539 https://www.sec.gov/litigation/admin/2016/ia-4539.pdf 3-17593 2016-09-29 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Tsai, Sheren N/A IA-4540 https://www.sec.gov/litigation/admin/2016/34-78989.pdf 34-78989 3-17595 2016-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, Imposing Remedial Sanctions, and a Cease-and-Desist Order, and Notice of Hearing AP Settled Och-Ziff Capital Management Group LLC OZ Management LP Och, Daniel S. Frank, Joel M. N/A IA-4541 https://www.sec.gov/litigation/opinions/2016/33-10225.pdf 33-10225 34-78990 IC-32294 3-15737 2016-09-29 Order Granting Partial Stay Orders Gonnella, Thomas C. N/A IA-4542 https://www.sec.gov/litigation/admin/2016/34-79003.pdf 34-79003 3-17604 2016-09-30 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Moloney Securities Co., Inc. Medley, Joseph Ronald N/A IA-4543 https://www.sec.gov/litigation/opinions/2016/33-10227.pdf 33-10227 34-79009 IC-32298 3-15617 2016-09-30 Opinion Opinions Grossman, Larry C. N/A IA-4544 https://www.sec.gov/litigation/admin/2016/34-79020.pdf 34-79020 AAER-3812 3-17612 2016-09-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Duban, Dennis N/A IA-4545 https://www.sec.gov/litigation/admin/2016/33-10228.pdf 33-10228 34-79031 IC-32301 3-17614 2016-10-04 Order Instituting Administrative and Cease-and-Desist Proceeding AP Litigated Laurence I. Balter (d/b/a Oracle Investment Research) N/A IA-4546 https://www.sec.gov/litigation/admin/2016/ia-4546.pdf 3-17616 2016-10-05 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Dupree Financial Group, LLC N/A IA-4547 https://www.sec.gov/litigation/admin/2016/34-79079.pdf 34-79079 3-17511 2016-10-11 Order Making Findings, and Imposing Remedial Sanctions AP Settled Watson, Pamella B. N/A IA-4548 https://www.sec.gov/litigation/admin/2016/34-79083.pdf 34-79083 3-17622 2016-10-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Certain Deutsche Bank Securities, Inc. Research N/A IA-4549 https://www.sec.gov/litigation/admin/2016/ia-4549.pdf 3-17623 2016-10-12 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Savva, Nicholas S. N/A IA-4550 https://www.sec.gov/litigation/admin/2016/ia-4550.pdf 3-17624 2016-10-13 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Artis Capital Management, L.P. Harden, Michael W. N/A IA-4551 https://www.sec.gov/litigation/admin/2016/34-79102.pdf 34-79102 3-17626 2016-10-14 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Rogers, Keith Michael N/A IA-4552 https://www.sec.gov/litigation/admin/2016/ia-4552.pdf 3-17627 2016-10-17 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Haab, Matthew D. CPA N/A IA-4553 https://www.sec.gov/litigation/admin/2016/33-10236.pdf 33-10236 34-79112 IC-32320 3-17629 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lebel, Paul T. N/A IA-4554 https://www.sec.gov/litigation/admin/2016/ia-4554.pdf IC-32321 3-17630 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Calvert Investment Management, Inc. N/A IA-4555 https://www.sec.gov/litigation/admin/2016/34-79113.pdf 34-79113 3-17631 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bank Leumi le-Israel B.M. Leumi Private Bank Bank Leumi (Luxembourg) S.A. N/A IA-4556 https://www.sec.gov/litigation/admin/2016/ia-4556.pdf 3-17634 2016-10-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Aubry, Mark J. N/A IA-4557 https://www.sec.gov/litigation/admin/2016/34-79126.pdf 34-79126 3-17638 2016-10-20 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Valentine, John Leo N/A IA-4558 https://www.sec.gov/litigation/opinions/2016/34-79128.pdf 34-79128 3-17115 2016-10-20 Order Directing Filings Orders Schooler, Louis V. N/A IA-4559 https://www.sec.gov/litigation/opinions/2016/ia-4559.pdf 3-16937 2016-10-24 Order Granting Petition for Review and Scheduling Briefs Orders Murray, James Michael N/A IA-4560 https://www.sec.gov/litigation/admin/2016/34-79169.pdf 34-79169 3-17645 2016-10-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Snisky, Gary C. N/A IA-4561 https://www.sec.gov/alj/aljdec/2016/34-79191.pdf 34-79191 IC-32343 3-16463 2016-10-28 Notice That Initial Decision Has Become Final Notice Aegis Capital, LLC Circle One Wealth Management, LLC N/A IA-4562 https://www.sec.gov/litigation/admin/2016/34-79199.pdf 34-79199 3-17655 2016-10-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Lawrence, Wade James N/A IA-4563 https://www.sec.gov/litigation/opinions/2016/33-10244.pdf 33-10244 34-79217 IC-32352 3-15617 2016-11-01 Order Granting Partial Stay Orders Grossman, Larry C. N/A IA-4564 https://www.sec.gov/litigation/admin/2016/ia-4564.pdf 3-17661 2016-11-03 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Altholtz, Harvey N/A IA-4565 https://www.sec.gov/litigation/admin/2016/34-79254.pdf 34-79254 3-17669 2016-11-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Moriarty, Philip E. II N/A IA-4566 https://www.sec.gov/litigation/opinions/2016/ia-4566.pdf 3-16047 2016-11-07 Opinion Opinions The Robare Group, Ltd. Robare, Marc L. Jones, Jack L. Jr. N/A IA-4567 https://www.sec.gov/litigation/admin/2016/33-10250.pdf 33-10250 34-79280 IC-32356 3-17672 2016-11-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Todd, Derik J. Madison Capital Energy Income Fund II GP LLC Big Horn Minerals LLC Madison Capital Investments LLC Madison Royalty Management LLC N/A IA-4568 https://www.sec.gov/litigation/admin/2016/34-79325.pdf 34-79325 3-17681 2016-11-16 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Anderson, Bryan W. N/A IA-4569 https://www.sec.gov/litigation/admin/2016/34-79338.pdf 34-79338 3-17685 2016-11-17 Order Instituting Administrative Proceedings and Notice of Hearing / Order of Suspension AP Litigated Holt (aka Holthusen), Mark D. N/A IA-4570 https://www.sec.gov/litigation/admin/2016/ia-4570.pdf 3-15390 2016-11-17 Order Granting Consent Orders Ruhl, Randy G. N/A IA-4571 https://www.sec.gov/litigation/admin/2016/ia-4571.pdf 3-17686 2016-11-17 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Lee, James Y. N/A IA-4572 https://www.sec.gov/litigation/admin/2016/34-79368.pdf 34-79368 AAER-3826 3-17694 2016-11-21 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Grassi & Co., CPAs, P.C. N/A IA-4573 https://www.sec.gov/litigation/admin/2016/34-79369.pdf 34-79369 AAER-3827 3-17695 2016-11-21 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Purwin, Gary R. CPA N/A IA-4574 https://www.sec.gov/litigation/admin/2016/ia-4574.pdf 3-16937 2016-11-28 Order Extending Time to File Brief in Support of Petition for Review Orders Murray, James Michael N/A IA-4575 https://www.sec.gov/litigation/admin/2016/ia-4575.pdf 3-17699 2016-11-29 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Neman, Shervin Newman Financial Inc. N/A IA-4576 https://www.sec.gov/rules/other/2016/ia-4576.pdf 801-99358 2016-11-29 Notice of Intention to Cancel Registration Notice Ajenifuja Investments, LLC http://www.federalregister.gov/citation/81-FR-87606 81-FR-87606 IA-4577 https://www.sec.gov/litigation/admin/2016/ia-4577.pdf IC-32376 3-17701 2016-12-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Pacific Investment Management Company LLC N/A IA-4578 https://www.sec.gov/rules/ia/2016/ia-4578.pdf 803-00236 2016-12-01 Notice of Application Notice Merrill Lynch, Pierce, Fenner & Smith Incorporated http://www.federalregister.gov/citation/81-FR-88294 81-FR-88294 IA-4579 https://www.sec.gov/rules/ia/2016/ia-4579.pdf 803-00237 2016-12-01 Notice of Application Notice Robert W. Baird & Co. Incorporated http://www.federalregister.gov/citation/81-FR-88308 81-FR-88308 IA-4580 https://www.sec.gov/rules/ia/2016/ia-4580.pdf 803-00235 2016-12-01 Notice of Application Notice UBS Financial Services Inc. http://www.federalregister.gov/citation/81-FR-88286 81-FR-88286 IA-4581 https://www.sec.gov/rules/ia/2016/ia-4581.pdf 803-00234 2016-12-01 Notice of Application Notice Wells Fargo Advisors, LLC Wells Fargo Advisors Financial Network, LLC http://www.federalregister.gov/citation/81-FR-88297 81-FR-88297 IA-4582 https://www.sec.gov/litigation/admin/2016/34-79453.pdf 34-79453 3-17704 2016-12-02 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled McKelvey, Daniel P. N/A IA-4583 https://www.sec.gov/litigation/opinions/2016/34-79482.pdf 34-79482 3-17210 2016-12-06 Order Granting Motion to Extend Time Orders White, Paul Leon II N/A IA-4584 https://www.sec.gov/litigation/admin/2016/ia-4584.pdf IC-32380 3-17713 2016-12-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Garrison, Harold N/A IA-4585 https://www.sec.gov/litigation/admin/2016/34-79503.pdf 34-79503 3-17714 2016-12-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Noack , David W. N/A IA-4586 https://www.sec.gov/litigation/admin/2016/34-79521.pdf 34-79521 IC-32388 3-17718 2016-12-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Stuthers, Donald M. N/A IA-4587 https://www.sec.gov/litigation/admin/2016/ia-4587.pdf 3-17722 2016-12-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled New Silk Route Advisors, L.P. N/A IA-4588 https://www.sec.gov/litigation/admin/2016/34-79568.pdf 34-79568 IC-32394 3-17217 2016-12-15 Order Making Findings, and Imposing Remedial Sanctions AP Settled TPG Advisors, LLC (d/b/a The Phillips Group Advisors) Phillips, Larry M. N/A IA-4589 https://www.sec.gov/litigation/admin/2016/ia-4589.pdf 3-17725 2016-12-15 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Narayan, Ash N/A IA-4590 https://www.sec.gov/litigation/admin/2016/33-10272.pdf 33-10272 34-79576 3-17730 2016-12-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Deutsche Bank Securities Inc. N/A IA-4591 https://www.sec.gov/litigation/admin/2016/ia-4591.pdf IC-32397 3-17740 2016-12-20 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated Augustine Capital Management, LLC f/k/a Augustine Capital Management, Inc. Porter, John T. Duszynski, Thomas F. CPA N/A IA-4592 https://www.sec.gov/litigation/admin/2016/ia-4592.pdf 3-12837 2016-12-22 Order Granting Consent to Associate and to Serve Or Act in Certain Capacities Orders Sapio, Richard N/A IA-4593 https://www.sec.gov/litigation/admin/2016/34-79689.pdf 34-79689 3-17372 2016-12-23 Order Making Findings, and Imposing Remedial Sanctions AP Settled Nickles, Richard H. Island Trader LLC N/A IA-4594 https://www.sec.gov/litigation/admin/2016/ia-4594.pdf 3-17751 2016-12-27 Order Instituting Administrative Proceedings and Notice of Hearing AP Litigated Dekel, Roy N/A IA-4595 https://www.sec.gov/rules/ia/2016/ia-4595.pdf 803-00236 2016-12-28 Order Granting an Exemption Orders Merrill Lynch, Pierce, Fenner & Smith N/A IA-4596 https://www.sec.gov/rules/ia/2016/ia-4596.pdf 803-00237 2016-12-28 Order Granting an Exemption Orders Robert W. Baird & Co. Incorporated N/A IA-4597 https://www.sec.gov/rules/ia/2016/ia-4597.pdf 803-00235 2016-12-28 Order Granting an Exemption Orders UBS Financial Services Inc. N/A IA-4598 https://www.sec.gov/rules/ia/2016/ia-4598.pdf 803-00234 2016-12-28 Order Granting an Exemption Orders Wells Fargo Advisors, LLC Wells Fargo Advisors Financial Network, LLC N/A IC-31952 https://www.sec.gov/rules/ic/2016/ic-31952.pdf 812-14519 2016-01-04 Notice Notice Northern Lights Fund Trust, et al. http://www.federalregister.gov/citation/81-FR-1244 81-FR-1244 IC-31953 https://www.sec.gov/rules/ic/2016/ic-31953.pdf 812-14411 2016-01-07 Notice Notice Columbia Funds Series Trust I, et al. http://www.federalregister.gov/citation/81-FR-1656 81-FR-1656 IC-31954 https://www.sec.gov/rules/ic/2016/ic-31954.pdf 812-14478 2016-01-11 Notice Notice Investment Managers Series Trust, et al. http://www.federalregister.gov/citation/81-FR-2273 81-FR-2273 IC-31955 https://www.sec.gov/rules/ic/2016/ic-31955.pdf 812-14415 2016-01-12 Order Order Altegris Investments, L.L.C. Altegris KKR Commitments Master Fund Altegris Advisors, L.L.C. N/A IC-31956 https://www.sec.gov/rules/ic/2016/ic-31956.pdf 812-13761 2016-01-14 Notice Notice J.P. Morgan Exchange-Traded Fund Trust, et al. http://www.federalregister.gov/citation/81-FR-3520 81-FR-3520 IC-31957 https://www.sec.gov/litigation/admin/2016/34-76916.pdf 34-76916 3-17056 2016-01-14 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Invent Ventures, Inc. Knight, Bryce M. N/A IC-31958 https://www.sec.gov/rules/ic/2016/ic-31958.pdf 812-14449 2016-01-15 Notice Notice Guardian Insurance & Annuity Company, Inc. http://www.federalregister.gov/citation/81-FR-3847 81-FR-3847 IC-31959 https://www.sec.gov/rules/ic/2016/ic-31959.pdf 812-14473 2016-01-15 Notice Notice Leaning Pine II, LLC http://www.federalregister.gov/citation/81-FR-3853 81-FR-3853 IC-31960 https://www.sec.gov/rules/icdereg/2016/ic-31960.pdf 811-8025 2016-01-19 Order Order Self Storage Group, Inc. N/A IC-31961 https://www.sec.gov/rules/ic/2016/ic-31961.pdf 812-14461 2016-01-19 Order Order Recon Capital Advisors, LLC Recon Capital Series Trust Recon Capital Partners, LLC N/A IC-31962 https://www.sec.gov/litigation/opinions/2016/33-10005.pdf 33-10005 34-76933 IA-4318 3-15967 2016-01-19 Order Granting Motion for Extension Order Labine, Lawrence M. N/A IC-31963 https://www.sec.gov/rules/icdereg/2016/ic-31963.pdf 811-05291 2016-01-20 Order Order College and University Faculty Loan Trust One N/A IC-31964 https://www.sec.gov/rules/icdereg/2016/ic-31964.pdf 811-22494 2016-01-20 Order Order Ramius IDF LLC N/A IC-31965 https://www.sec.gov/rules/icdereg/2016/ic-31965.pdf 811-22493 2016-01-20 Order Order Ramius IDF Master Fund LLC N/A IC-31966 https://www.sec.gov/rules/icdereg/2016/ic-31966.pdf 811-21259 2016-01-20 Order Order GMAM Absolute Return Strategies Fund, LLC N/A IC-31967 https://www.sec.gov/rules/icdereg/2016/ic-31967.pdf 811-22909 2016-01-20 Order Order Outlook Funds Trust N/A IC-31968 https://www.sec.gov/rules/icdereg/2016/ic-31968.pdf 811-08346 2016-01-20 Order Order Morgan Stanley Eastern Europe Fund, Inc. N/A IC-31969 https://www.sec.gov/rules/icdereg/2016/ic-31969.pdf 811-07978 2016-01-20 Order Order ING Mayflower Trust N/A IC-31970 https://www.sec.gov/rules/icdereg/2016/ic-31970.pdf 811-22257 2016-01-20 Order Order Hatteras Global Private Equity Partners Institutional, LLC N/A IC-31971 https://www.sec.gov/litigation/admin/2016/33-10006.pdf 33-10006 34-76948 IA-4320 3-15003 2016-01-21 Order Scheduling Oral Argument Order Young, Bernerd E. N/A IC-31972 https://www.sec.gov/litigation/admin/2016/33-10008.pdf 33-10008 34-76976 IA-4322 3-15446 2016-01-27 Order Scheduling Oral Argument Order J.S. Oliver Capital Management, L.P. Mausner, Ian O. N/A IC-31973 https://www.sec.gov/litigation/admin/2016/33-10009.pdf 33-10009 34-76991 IA-4323 3-17075 2016-01-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled QED Benchmark Management, L.L.C. Kuperman, Peter N/A IC-31974 https://www.sec.gov/rules/icdereg/2016/ic-31974.pdf 811-22782 811-10253 811-22098 811-22221 2016-01-29 Notice Notice EGA Frontier Diversified Core Fund Nuveen New York Dividend Advantage Municipal Fund 2 Federated Enhanced Treasury Income Fund GAI Mesirow Insight Fund, LLC http://www.federalregister.gov/citation/81-FR-6084 81-FR-6084 IC-31975 https://www.sec.gov/rules/ic/2016/ic-31975.pdf 812-14518 2016-01-29 Notice Notice Susa Registered Fund, L.L.C. Susa Fund Management LLP http://www.federalregister.gov/citation/81-FR-6064 81-FR-6064 IC-31976 https://www.sec.gov/rules/ic/2016/ic-31976.pdf 812-14530 2016-02-01 Notice Notice PNC Funds, et al. http://www.federalregister.gov/citation/81-FR-6317 81-FR-6317 IC-31977 https://www.sec.gov/rules/ic/2016/ic-31977.pdf 812-14458 2016-02-01 Notice Notice Medallion Financial Corp. http://www.federalregister.gov/citation/81-FR-6322 81-FR-6322 IC-31978 https://www.sec.gov/rules/ic/2016/ic-31978.pdf 812-14519 2016-02-02 Order Order Northern Lights Fund Trust Ascendant Advisors, LLC Northern Lights Distributors, LLC N/A IC-31979 https://www.sec.gov/litigation/admin/2016/33-10033.pdf 33-10033 34-77040 IA-4325 3-16202 2016-02-03 Notice That Initial Decision Has Become Final Notice Krisnos Holdings, Inc. Fordgate Acquisition Corp. Krinos, George N. N/A IC-31980 https://www.sec.gov/rules/ic/2016/ic-31980.pdf 812-14433 2016-02-03 Notice Notice Medallion Financial Corp. http://www.federalregister.gov/citation/81-FR-6905 81-FR-6905 IC-31981 https://www.sec.gov/rules/ic/2016/ic-31981.pdf 812-14411 2016-02-03 Order Order Columbia Management Investment Distributors, Inc. Columbia Funds Variable Insurance Trust Columbia Funds Series Trust I Columbia Management Investment Advisers, LLC N/A IC-31982 https://www.sec.gov/rules/ic/2016/ic-31982.pdf 812-14376 2016-02-03 Notice Notice MassMutual Premiere Funds, et al. http://www.federalregister.gov/citation/81-FR-6904 81-FR-6904 IC-31983 https://www.sec.gov/litigation/admin/2016/34-77048.pdf 34-77048 IA-4326 3-15471 2016-02-03 Order Approving Plan of Distribution Order Sarkauskas and Associates, Inc. Sarkauskas, James M. N/A IC-31984 https://www.sec.gov/litigation/admin/2016/34-77059.pdf 34-77059 IA-4328 3-15141 2016-02-04 Order Scheduling Oral Argument Order Riad, Mohammed Swanson, Kevin Timothy N/A IC-31985 https://www.sec.gov/litigation/opinions/2016/33-10035.pdf 33-10035 34-77068 IA-4329 3-15842 2016-02-05 Order Dismissing Untimely Petition For Review Order Cooper, Jacob Keith N/A IC-31986 https://www.sec.gov/rules/ic/2016/ic-31986.pdf 812-14505 2016-02-05 Notice Notice Good Hill ETF Trust Good Hill Partners LP http://www.federalregister.gov/citation/81-FR-7391 81-FR-7391 IC-31987 https://www.sec.gov/litigation/admin/2016/ia-4331.pdf IA-4331 3-16037 2016-02-05 Order Scheduling Oral Argument Order PageOne Financial, Inc. Page, Edgar R. N/A IC-31988 https://www.sec.gov/rules/ic/2016/ic-31988.pdf 812-14558 2016-02-08 Notice Notice State Farm Associates' Funds Trust, et al. http://www.federalregister.gov/citation/81-FR-7619 81-FR-7619 IC-31989 https://www.sec.gov/rules/ic/2016/ic-31989.pdf 812-14478 2016-02-08 Order Order Ramius Trading Strategies LLC Investment Managers Series Trust Ramius Trading Strategies MF Ltd. N/A IC-31990 https://www.sec.gov/rules/ic/2016/ic-31990.pdf 812-13761 2016-02-09 Order Order SEI Investments Distribution Co. J.P. Morgan Exchange-Traded Fund Trust J.P. Morgan Investment Management Inc. N/A IC-31991 https://www.sec.gov/litigation/admin/2016/34-77099.pdf 34-77099 3-16888 2016-02-09 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Roberts, Phillip Cory Bay Peak, LLC N/A IC-31992 https://www.sec.gov/rules/ic/2016/ic-31992.pdf 812-14473 2016-02-10 Order Order Leaning Pine II, LLC N/A IC-31993 https://www.sec.gov/rules/ic/2016/ic-31993.pdf 812-14449 2016-02-10 Order Order The Guardian Separate Account N The Guardian Separate Account R The Guardian Insurance & Annuity Company The Guardian Separate Account M The Guardian Separate Account K N/A IC-31994 https://www.sec.gov/litigation/admin/2016/34-77115.pdf 34-77115 IA-4333 3-16463 2016-02-11 Extension Order Order Osunkwo, David I. Aegis Capital, LLC Lamm, Diane W. Circle One Wealth Management, LLC Strategic Consulting Advisors, LLC N/A IC-31995 https://www.sec.gov/rules/ic/2016/ic-31995.pdf 812-14574 2016-02-11 Notice Notice PowerShares Exchange-Traded Self-Indexed Fund Trust, et al. http://www.federalregister.gov/citation/81-FR-8282 81-FR-8282 IC-31996 https://www.sec.gov/rules/ic/2016/ic-31996.pdf 812-14532 2016-02-12 Notice Notice Innovator Management LLC http://www.federalregister.gov/citation/81-FR-8573 81-FR-8573 IC-31997 https://www.sec.gov/litigation/admin/2016/34-77150.pdf 34-77150 IA-4335 3-17119 2016-02-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing remedial Sanctions and a Cease-and-Desist Order AP Settled Grom, Charles P. N/A IC-31998 https://www.sec.gov/litigation/admin/2016/34-77176.pdf 34-77176 3-16008 2016-02-18 Order Making Findings and Imposing a Cease-and-Desist Order AP Settled Moore, Charles Crucible Capital Group, Inc. N/A IC-31999 https://www.sec.gov/litigation/opinions/2016/33-10044.pdf 33-10044 34-77201 IA-4336 3-16311 2016-02-22 Order Granting Petition for Review and Scheduling Briefs Order Dembski, Timothy S. N/A IC-32000 https://www.sec.gov/rules/icdereg/2016/ic-32000.pdf 811-22221 2016-02-24 Order Order GAI Mesirow Insight Fund, LLC N/A IC-32001 https://www.sec.gov/rules/icdereg/2016/ic-32001.pdf 811-22098 2016-02-24 Order Order Federated Enhanced Treasury Income Fund N/A IC-32002 https://www.sec.gov/rules/icdereg/2016/ic-32002.pdf 811-10253 2016-02-24 Order Order Nuveen New York Dividend Advantage Muiciapl Fund 2 N/A IC-32003 https://www.sec.gov/rules/icdereg/2016/ic-32003.pdf 811-22782 2016-02-24 Order Order EGA Frontier Diversified Core Fund N/A IC-32004 https://www.sec.gov/rules/ic/2016/ic-32004.pdf 812-14518 2016-02-24 Order Order Susa Fund Management, LLP Susa Registered Fund, LLC N/A IC-32005 https://www.sec.gov/rules/ic/2016/ic-32005.pdf 812-14540 2016-02-24 Notice Notice LoCorr Fund Management, LLC LoCorr Investment Trust http://www.federalregister.gov/citation/81-FR-10692 81-FR-10692 IC-32006 https://www.sec.gov/rules/ic/2016/ic-32006.pdf 812-14442 2016-02-25 Notice Notice PowerShares Exchange-Traded Fund Trust, et al. http://www.federalregister.gov/citation/81-FR-10924 81-FR-10924 IC-32007 https://www.sec.gov/rules/icdereg/2016/ic-32007.pdf 811-22225 811-21778 811-22223 811-21472 811-02297 811-06017 811-02240 811-22583 811-07434 811-22224 2016-02-26 Notice Notice Arden Sage Multi-Strategy TEI Institutional Fund, L.L.C. Arden Sage Multi-Strategy Fund, L.L.C. Arden Sage Multi-Strategy Master Fund, L.L.C. Arden Sage Triton Fund, L.L.C. Stratton Mid Cap Value Fund, Inc. Aberdeen Global Select Opportunities Fund Inc. Stratton Real Estate Fund, Inc. Lincoln Advisors Trust Stratton Funds, Inc. Arden Sage Multi-Strategy Institutional Fund, L.L.C http://www.federalregister.gov/citation/81-FR-11304 81-FR-11304 IC-32008 https://www.sec.gov/litigation/opinions/2016/33-10048.pdf 33-10048 34-77249 3-15514 2016-02-26 Order Scheduling Briefs Order Feldmann, Richard D. N/A IC-32009 https://www.sec.gov/rules/ic/2016/ic-32009.pdf 812-14458 2016-02-29 Order Order Medallion Financial Corp. N/A IC-32010 https://www.sec.gov/rules/ic/2016/ic-32010.pdf 812-14530 2016-02-29 Order Order PNC Funds PNC Capital Advisors, LLC PNC Advantage Funds N/A IC-32011 https://www.sec.gov/rules/ic/2016/ic-32011.pdf 812-14554 2016-02-29 Notice Notice CLS Investments, LLC, et al. http://www.federalregister.gov/citation/81-FR-11616 81-FR-11616 IC-32012 https://www.sec.gov/litigation/admin/2016/34-77253.pdf 34-77253 IA-4346 3-17139 2016-02-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Santos, Maximillian N/A IC-32013 https://www.sec.gov/rules/ic/2016/ic-32013.pdf 812-14376 2016-02-29 Order Order MML Series Investment Fund MassMutual Premier Funds MML Investment Advisers MML Series Investment Fund II MassMutual Select Funds N/A IC-32014 https://www.sec.gov/rules/ic/2016/ic-32014.pdf 812-14481 2016-02-29 Notice Notice Charles Schwab Investment Management, Inc., et al. http://www.federalregister.gov/citation/81-FR-11624 81-FR-11624 IC-32015 https://www.sec.gov/rules/ic/2016/ic-32015.pdf 812-14535 2016-03-01 Notice Notice AAM ETF Trust Advisors Asset Management, Inc. http://www.federalregister.gov/citation/81-FR-11846 81-FR-11846 IC-32016 https://www.sec.gov/litigation/admin/2016/33-10049.pdf 33-10049 34-77263 IA-4347 3-15446 2016-03-01 Order Rescheduling Oral Argument Order Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A IC-32017 https://www.sec.gov/rules/ic/2016/ic-32017.pdf 812-14433 2016-03-01 Order Order Medallion Financial Corp. N/A IC-32018 https://www.sec.gov/rules/ic/2016/ic-32018.pdf 812-14454 2016-03-02 Notice Notice Crescent Capital BDC Inc., et al. http://www.federalregister.gov/citation/81-FR-12155 81-FR-12155 IC-32019 https://www.sec.gov/rules/ic/2016/ic-32019.pdf 812-13754 2016-03-02 Notice Notice Apollo Investment Corporation, et al. http://www.federalregister.gov/citation/81-FR-12165 81-FR-12165 IC-32020 https://www.sec.gov/rules/ic/2016/ic-32020.pdf 813-00385 2016-03-02 Notice Notice Ares Management LLC http://www.federalregister.gov/citation/81-FR-12178 81-FR-12178 IC-32021 https://www.sec.gov/rules/ic/2016/ic-32021.pdf 812-14505 2016-03-02 Order Order Good Hill ETF Trust Good Hill Partners LP N/A IC-32022 https://www.sec.gov/rules/ic/2016/ic-32022.pdf 812-14591 2016-03-03 Notice Notice Amplify Investments LLC Amplify ETF Trust http://www.federalregister.gov/citation/81-FR-12552 81-FR-12552 IC-32023 https://www.sec.gov/rules/ic/2016/ic-32023.pdf 812-14577 2016-03-07 Notice Notice Pointbreak Advisers LLC, et al. http://www.federalregister.gov/citation/81-FR-13015 81-FR-13015 IC-32024 https://www.sec.gov/litigation/admin/2016/33-10051.pdf 33-10051 34-77318 IA-4349 3-17157 812-14574 2016-03-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Zoernack, Steven Invesco Distributors, Inc. EquityStar Capital Management, LLC N/A IC-32025 https://www.sec.gov/rules/ic/2016/ic-32025.pdf 812-14574 2016-03-08 Order Order Invesco Distributors, Inc., et al. N/A IC-32026 https://www.sec.gov/rules/ic/2016/ic-32026.pdf 812-14532 2016-03-09 Order Order Innovator Management LLC, et al. N/A IC-32027 https://www.sec.gov/litigation/admin/2016/34-77369.pdf 34-77369 IA-4352 3-17170 2016-03-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Malone, David K. Detter, Mark R. Central States Capital Markets, LLC Stepp, John D. N/A IC-32028 https://www.sec.gov/litigation/admin/2016/34-77373.pdf 34-77373 3-17172 2016-03-15 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Clare, Barry B. N/A IC-32029 https://www.sec.gov/rules/ic/2016/ic-32029.pdf 812-14600 2016-03-17 Notice Notice Principal Life Insurance Company Separate Account B http://www.federalregister.gov/citation/81-FR-15384 81-FR-15384 IC-32030 https://www.sec.gov/rules/ic/2016/ic-32030.pdf 812-14586 2016-03-17 Notice Notice Principal Life Insurance Company, et al. http://www.federalregister.gov/citation/81-FR-15360 81-FR-15360 IC-32031 https://www.sec.gov/rules/other/2016/33-10056.pdf 33-10056 34-77408 IA-4354 S7-04-16 2016-03-18 Semiannual Regulatory Agenda Notice Semiannual Regulatory Agenda http://www.federalregister.gov/citation/81-FR-37470 81-FR-37470 IC-32032 https://www.sec.gov/rules/ic/2016/ic-32032.pdf 812-14285 2016-03-21 Notice Notice Northern Lights Fund Trust Princeton Fund Advisors, LLC http://www.federalregister.gov/citation/81-FR-16247 81-FR-16247 IC-32033 https://www.sec.gov/rules/ic/2016/ic-32033.pdf 812-14555 2016-03-21 Notice of Application Notice Premise Capital, LLC, et al. http://www.federalregister.gov/citation/81-FR-16229 81-FR-16229 IC-32034 https://www.sec.gov/litigation/opinions/2016/34-77414.pdf 34-77414 3-16008 2016-03-21 Order Dismissing Proceeding Order Crucible Capital Group, Inc. N/A IC-32035 https://www.sec.gov/rules/ic/2016/ic-32035.pdf 812-14442 2016-03-22 Order Order PowerShares Exchange-Traded Fund Trust II Invesco PowerShares Capital Management, LLC PowerShares Actively Managed Exchange-Traded Fund Trust N/A IC-32036 https://www.sec.gov/rules/ic/2016/ic-32036.pdf 812-14540 2016-03-22 Order Order Locorr Fund Management, LLC Locorr Investment Trust N/A IC-32037 https://www.sec.gov/litigation/opinions/2016/33-10057.pdf 33-10057 34-77420 3-16318 2016-03-22 Order Granting Petition for Review and Scheduling Briefs Order Clug, Alexandre S. N/A IC-32038 https://www.sec.gov/rules/icdereg/2016/ic-32038.pdf 811-06017 2016-03-23 Order Order Aberdeen Global Select Opportunities Fund Inc. N/A IC-32039 https://www.sec.gov/rules/icdereg/2016/ic-32039.pdf 811-02297 2016-03-23 Order Order Stratton Mid Cap Value Fund, Inc. N/A IC-32040 https://www.sec.gov/rules/icdereg/2016/ic-32040.pdf 811-07434 2016-03-23 Order Order Stratton Funds, Inc. N/A IC-32041 https://www.sec.gov/rules/icdereg/2016/ic-32041.pdf 811-02240 2016-03-23 Order Order Stratton Real Estate Fund, Inc. N/A IC-32042 https://www.sec.gov/rules/icdereg/2016/ic-32042.pdf 811-21472 2016-03-23 Order Order Arden Sage Triton Fund, L.L.C. N/A IC-32043 https://www.sec.gov/rules/icdereg/2016/ic-32043.pdf 811-22225 2016-03-23 Order Order Arden Sage Multi-Strategy Tei Institutional Fund, L.L.C. N/A IC-32044 https://www.sec.gov/rules/icdereg/2016/ic-32044.pdf 811-22224 2016-03-23 Order Order Arden Sage Multi-Strategy Institutional Fund, L.L.C. N/A IC-32045 https://www.sec.gov/rules/icdereg/2016/ic-32045.pdf 811-21778 2016-03-23 Order Order Arden Sage Multi-Strategy Fund, L.L.C. N/A IC-32046 https://www.sec.gov/rules/icdereg/2016/ic-32046.pdf 811-22223 2016-03-23 Order Order Arden Sage Multi-Strategy Master Fund, L.L.C. N/A IC-32047 https://www.sec.gov/rules/icdereg/2016/ic-32047.pdf 811-22583 2016-03-23 Order Order Lincoln Advisors Trust N/A IC-32048 https://www.sec.gov/rules/ic/2016/ic-32048.pdf 812-14430 2016-03-24 Notice Notice NexPoint Capital, Inc., et al. http://www.federalregister.gov/citation/81-FR-17741 81-FR-17741 IC-32049 https://www.sec.gov/rules/ic/2016/ic-32049.pdf 812-14384 2016-03-24 Notice Notice AMCAP Fund, et al. http://www.federalregister.gov/citation/81-FR-18674 81-FR-18674 IC-32050 https://www.sec.gov/litigation/opinions/2016/33-10060.pdf 33-10060 34-77442 IA-4358 3-15003 2016-03-24 Opinion Opinion Young, Bernerd E. N/A IC-32051 https://www.sec.gov/rules/icdereg/2016/ic-32051.pdf 811-22737 811-21424 811-22495 811-22602 811-08759 811-22989 811-22180 811-22590 2016-03-25 Notice Notice Tea Leaf Management Investment Trust Meeder Premier Portfolios Curian Series Trust Cottonwood Mutual Funds Laudus Institutional Trust ALTMFX Trust Meyers Capital Investments Trust Lazard Alternative Emerging Markets 1099 Fund http://www.federalregister.gov/citation/81-FR-18673 81-FR-18673 IC-32052 https://www.sec.gov/rules/ic/2016/ic-32052.pdf 812-14481 2016-03-25 Order Order Schwab Strategic Trust Charles Schwab Investment Management, Inc. SEI Investments Distribution Co. N/A IC-32053 https://www.sec.gov/rules/ic/2016/ic-32053.pdf 812-14554 2016-03-25 Order Order Northern Lights Distributors, LLC AdvisorOne Funds CLS Investments, LLC N/A IC-32054 https://www.sec.gov/rules/ic/2016/ic-32054.pdf 812-14591 2016-03-29 Order Order Amplify Investments LLC Amplify ETF Trust N/A IC-32055 https://www.sec.gov/rules/ic/2016/ic-32055.pdf 812-14535 2016-03-29 Order Order Advisors Asset Management, Inc. AAM ETF Trust N/A IC-32056 https://www.sec.gov/rules/ic/2016/ic-32056.pdf 812-14454 2016-03-29 Order Order Crescent Capital BDC, INC., et al. N/A IC-32057 https://www.sec.gov/rules/ic/2016/ic-32057.pdf 812-13754 2016-03-29 Order Order Apollo Investment Corporation, et al. N/A IC-32058 https://www.sec.gov/rules/ic/2016/ic-32058.pdf 813-00385 2016-03-29 Order Order Ares Management LLC N/A IC-32059 https://www.sec.gov/litigation/admin/2016/34-77466.pdf 34-77466 IA-4359 3-17184 2016-03-29 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Gibson, Christopher M. N/A IC-32060 https://www.sec.gov/litigation/admin/2016/34-77473.pdf 34-77473 AAER-3761 IA-4360 3-17186 2016-03-30 Order Instituting Public Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Sen, Helena C., CPA Burrill, G. Steven, CPA Burill Capital Management, LLC Hebert, Victor A., Esq. N/A IC-32061 https://www.sec.gov/rules/ic/2016/ic-32061.pdf 812-14482 2016-03-30 Notice Notice OHA Investment Corporation, et al. http://www.federalregister.gov/citation/81-FR-19656 81-FR-19656 IC-32062 https://www.sec.gov/rules/ic/2016/ic-32062.pdf 812-14511 2016-03-30 Notice Notice FactorShares Trust, et al. http://www.federalregister.gov/citation/81-FR-19681 81-FR-19681 IC-32063 https://www.sec.gov/rules/ic/2016/ic-32063.pdf 812-14537 2016-03-31 Notice Notice Advisors Asset Management, Inc. AAM ETF Trust http://www.federalregister.gov/citation/81-FR-20007 81-FR-20007 IC-32064 https://www.sec.gov/rules/ic/2016/ic-32064.pdf 812-14577 2016-04-04 Order Order ALPS Distributors, Inc. Pointbreak Advisers LLC Pointbreak ETF Trust N/A IC-32065 https://www.sec.gov/rules/ic/2016/ic-32065.pdf 812-14528 2016-04-04 Notice Notice Madison ETF Trust Madison ETF Advisers, LLC http://www.federalregister.gov/citation/81-FR-20699 81-FR-20699 IC-32066 https://www.sec.gov/rules/ic/2016/ic-32066.pdf 812-14514 2016-04-06 Notice Notice Turkiye Sinai Kalkinma Bankasi A.S. http://www.federalregister.gov/citation/81-FR-21609 81-FR-21609 IC-32067 https://www.sec.gov/rules/ic/2016/ic-32067.pdf 812-14586 2016-04-08 Order Order Principal National Life Insurance Company Variable Life Separate Account Principal Life Insurance Company Principal Life Insurance Company Variable Life Separate Account N/A IC-32068 https://www.sec.gov/rules/ic/2016/ic-32068.pdf 812-14600 2016-04-08 Order Order Principal Life Insurance Company Separate Account B N/A IC-32069 https://www.sec.gov/rules/ic/2016/ic-32069.pdf 812-14557 2016-04-12 Notice Notice Nuveen Fund Advisors, LLC, et al. http://www.federalregister.gov/citation/81-FR-22659 81-FR-22659 IC-32070 https://www.sec.gov/rules/ic/2016/ic-32070.pdf 812-14450 2016-04-13 Notice Notice Newtek Business Services Corp. http://www.federalregister.gov/citation/81-FR-23068 81-FR-23068 IC-32071 https://www.sec.gov/rules/ic/2016/ic-32071.pdf 812-14604 2016-04-13 Notice Notice Aptus Capital Advisors, LLC, et al. http://www.federalregister.gov/citation/81-FR-23052 81-FR-23052 IC-32072 https://www.sec.gov/litigation/admin/2016/34-77618.pdf 34-77618 IA-4367 3-16883 2016-04-14 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Jacob, Arthur F., CPA Innovative Business Solutions, LLC N/A IC-32073 https://www.sec.gov/litigation/admin/2016/34-77625.pdf 34-77625 IA-4368 3-16730 2016-04-14 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Johnson, Reid S. N/A IC-32074 https://www.sec.gov/rules/ic/2016/ic-32074.pdf 812-14555 2016-04-18 Order Order Quasar Distributors, LLC Premise Capital, LLC, et al. ETF Series Solutions N/A IC-32075 https://www.sec.gov/litigation/admin/2016/34-77648.pdf 34-77648 IA-4371 3-17216 2016-04-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Hartshorn, Bruce A. N/A IC-32076 https://www.sec.gov/litigation/admin/2016/34-77649.pdf 34-77649 IA-4372 3-17217 2016-04-19 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Phillips, Larry M. TPG Advisors LLC d/b/a The Phillips Group Advisors N/A IC-32077 https://www.sec.gov/rules/ic/2016/ic-32077.pdf 812-14384 2016-04-19 Notice Notice American Funds Fundamental Investors Growth Fund of America Intermediate Bond Fund of America Investment Company of America American Balanced Fund American Funds Global High-Income Opportunities Fund American Funds Inflation Linked Bond Fund American High-Income Trust Capital Research and Management Company American Funds College Target Dates Series American Funds Income Series American Funds Tax -Exempt Series I American High-Income Municipal Bond Fund Capital Guardian Trust Company American Funds Corporate Bond Fund American Funds Portfolio Series Captial World Bond Fund Tax-Exempt Bond Fund of America American Funds Mortgage Fund American Funds Retirement Income Portfolio Series American Mutual Fund Captial Group Emerging Markets Total Opportunities Fund Captial World Growth and Income Fund Europacific Growth Fund AMCAP Fund American Funds Target Date Retirement Series New Economy Fund New World Fund, Inc. American Funds Tax-Exempt Series II Income Fund of America International Growth and Income Fund Short-Term Bond Fund of America American Funds Short-Term Tax-Exempt Bond Fund American Funds Emerging Markets Bond Fund American Funds Money Market Fund Limited Term Tax-Exempt Bond Fund of America New Perspective Fund American Funds Global Balanced Fund American Funds Tax-Exempt Fund of New York Captial Group Private Client Services Funds American Funds Insurance Series Capital Income Builder American Funds Strategic Bond Fund American Funds Developing World Growth and Income Fund Smallcap World Fund, Inc. Washington Mutual Investors Fund N/A IC-32078 https://www.sec.gov/rules/ic/2016/ic-32078.pdf 812-14430 2016-04-19 Order Order Nexpoint Capital, Inc. Highland Capital Healthcare Partners (Master), L.P. Nexpoint Advisors, L.P. Nexpoint Credit Strategies Fund Highland Capital Management, L.P. Highland Capital Healthcare Advisors, L.P. Highland Multi Strategy Credit Fund, L.P. Acis Capital Management, L.P. N/A IC-32079 https://www.sec.gov/rules/ic/2016/ic-32079.pdf 812-14285 2016-04-19 Order Order Princeton Fund Advisors, LLC Northern Lights Fund Trust N/A IC-32080 https://www.sec.gov/litigation/opinions/2016/33-10069.pdf 33-10069 34-77654 3-16498 2016-04-19 Order Granting Petition for Review and Scheduling Briefs Order Schalk, Russell C., Jr. N/A IC-32081 https://www.sec.gov/rules/icdereg/2016/ic-32081.pdf 811-22495 2016-04-20 Order Order Curian Series Trust N/A IC-32082 https://www.sec.gov/rules/icdereg/2016/ic-32082.pdf 811-22989 2016-04-20 Order Order ALTMFX Trust N/A IC-32083 https://www.sec.gov/rules/icdereg/2016/ic-32083.pdf 811-22590 2016-04-20 Order Order Lazard Alternative Emerging Markets 1099 Fund N/A IC-32084 https://www.sec.gov/rules/icdereg/2016/ic-32084.pdf 811-08759 2016-04-20 Order Order Laudus Institutional Trust N/A IC-32085 https://www.sec.gov/rules/icdereg/2016/ic-32085.pdf 811-21424 2016-04-20 Order Order Meeder Premier Portfolios N/A IC-32086 https://www.sec.gov/rules/icdereg/2016/ic-32086.pdf 811-22737 2016-04-20 Order Order Tea Leaf Management Investment Trust N/A IC-32087 https://www.sec.gov/rules/icdereg/2016/ic-32087.pdf 811-22602 2016-04-20 Order Order Cottonwood Mutual Funds N/A IC-32088 https://www.sec.gov/rules/icdereg/2016/ic-32088.pdf 811-22180 2016-04-20 Order Order Meyers Capital Investments Trust N/A IC-32089 https://www.sec.gov/litigation/admin/2016/ia-4374.pdf IA-4374 3-17220 2016-04-20 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ginsparg, Daniel N. N/A IC-32090 https://www.sec.gov/rules/ic/2016/ic-32090.pdf 812-14587 2016-04-21 Notice of Application Notice ABS Investment Management LLC ABS Long/Short Strategies Fund http://www.federalregister.gov/citation/81-FR-24916 81-FR-24916 IC-32091 https://www.sec.gov/rules/final/2016/33-10071.pdf 33-10071 34-77693 39-2509 NO FILE NUMBER 2016-04-22 Final rule Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-31501 81-FR-31501 IC-32092 https://www.sec.gov/alj/aljdec/2016/33-10072.pdf 33-10072 34-77697 IA-4376 3-15967 2016-04-22 Notice That Initial Decision Has Become Final Notice Labine, Lawrence M. N/A IC-32093 https://www.sec.gov/rules/ic/2016/ic-32093.pdf 812-14527 2016-04-25 Notice Notice Madison ETF Advisers, LLC Madison ETF Trust http://www.federalregister.gov/citation/81-FR-25734 81-FR-25734 IC-32094 https://www.sec.gov/rules/ic/2016/ic-32094.pdf 812-14482 2016-04-25 Order Order OHA Asset Holdings II, LP OHA Custom Multi-Sector Credit Fund, LTD. OHA Strategic Credit Master Fund II, LP OHA Investment Corporation OHA/OCI Investments, LLC OHA Diversified Credit Strategies Master Fund (Parallel II), LP OHA Denmark Customized Credit Fund, LP OHA Asset Holdings GP, LLC OHA Funding, LP OHA Nevada, LLC OHA BCSS SSD, LTD. OHA MPS SSD, LTD OHA Funding GP, LLC OHA Asset Holdings LP OHA Asset Holdings VI, LP OHA Finlandia Credit Fund, LP OHA AD Customized Credit Fund (International), LP OHA Diversified Credit Strategies Fund (Parallel), L.P. OHA Custom Multi-Sector Credit Master Fund, LP OHA Strategic Credit Fund II, LP OHA MPS SSD, LP Oak Hill Credit Opportunities Fund, LP OHA Diversified Credit Strategies Tractor Master Fund, LP OHA Centre Street Partnership, LP Oak Hill Credit Opportunities Master Fund, Ltd. Oak Hill Advisors, LP OHA Asset Holdings V, LP OHA Asia Customized Credit Fund, LP OHA Asset Holdings III, LP OHA Diversified Credit Strategies Fund Master, LP OHA Diversified Credit Strategies Fund, LP OHA Structured Products Master Fund, CLP OHA BCSS SSD, LP N/A IC-32095 https://www.sec.gov/rules/ic/2016/ic-32095.pdf 813-00384 2016-04-25 Notice Notice AllianceBernstein U.S. Real Estate (Employee) Fund II, L.P. AllianceBernstein L.P. http://www.federalregister.gov/citation/81-FR-25742 81-FR-25742 IC-32096 https://www.sec.gov/rules/ic/2016/ic-32096.pdf 812-14537 2016-04-26 Order Order Advisors Asset Management, Inc. AAM ETF Trust N/A IC-32097 https://www.sec.gov/rules/ic/2016/ic-32097.pdf 812-14645 2016-04-26 Notice Notice Terra Capital Partners, LLC, et al. http://www.federalregister.gov/citation/81-FR-26279 81-FR-26279 IC-32098 https://www.sec.gov/rules/ic/2016/ic-32098.pdf 812-14511 2016-04-26 Order Order ALPS Distributors, Inc. Factor Advisors, LLC FactorShares Trust ETF Managers Group LLC N/A IC-32099 https://www.sec.gov/rules/icdereg/2016/ic-32099.pdf 811-22610 811-22248 811-22889 811-21891 2016-04-29 Notice of Application for Deregistration Notice Hartford Alternative Strategies Fund Goldman Sachs Municipal Opportunity Fund Gottex Trust Cheswold Lane Funds http://www.federalregister.gov/citation/81-FR-26844 81-FR-26844 IC-32100 https://www.sec.gov/rules/ic/2016/ic-32100.pdf 812-14528 2016-05-02 Order Order Madison ETF Trust Madison ETF Advisers, LLC N/A IC-32101 https://www.sec.gov/rules/ic/2016/ic-32101.pdf 812-14514 2016-05-03 Order Order Turkiye Sinai Kalkinma Bankasi A.S. N/A IC-32102 https://www.sec.gov/rules/ic/2016/ic-32102.pdf 812-14544 2016-05-04 Notice Notice Capitala Finance Corp., et al. http://www.federalregister.gov/citation/81-FR-28924 81-FR-28924 IC-32103 https://www.sec.gov/rules/ic/2016/ic-32103.pdf 812-14492 2016-05-04 Notice Notice Bridge Builder Trust Olive Street Investment Advisers, LLC http://www.federalregister.gov/citation/81-FR-28918 81-FR-28918 IC-32104 https://www.sec.gov/litigation/opinions/2016/33-10076.pdf 33-10076 34-77766 3-16318 2016-05-04 Order Denying Petition to Reject Division's Cross-Petition for Review as Untimely, Granting the Division's Cross-Petition, and Setting a Briefing Schedule Order Clug, Alexandre S. N/A IC-32105 https://www.sec.gov/rules/ic/2016/ic-32105.pdf 812-14566 2016-05-05 Notice Notice Franklin Templeton ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-28917 81-FR-28917 IC-32106 https://www.sec.gov/rules/ic/2016/ic-32106.pdf 812-14429 2016-05-05 Notice Notice Triloma EIG Global Energy Fund, et al. http://www.federalregister.gov/citation/81-FR-28910 81-FR-28910 IC-32107 https://www.sec.gov/rules/ic/2016/ic-32107.pdf 812-14552 2016-05-05 Notice Notice Columbia ETF Trust I, et al. http://www.federalregister.gov/citation/81-FR-28915 81-FR-28915 IC-32108 https://www.sec.gov/litigation/opinions/2016/34-77772.pdf 34-77772 IA-4382 3-16463 2016-05-05 Order Denying Motion to Sever Order Osunkwo, David I. Strategic Consulting Advisors, LLC N/A IC-32109 https://www.sec.gov/rules/ic/2016/ic-32109.pdf 812-14450 2016-05-10 Order Order Newtek Business Services Corp. N/A IC-32110 https://www.sec.gov/rules/ic/2016/ic-32110.pdf 812-14604 2016-05-10 Order Order Aptus Capital Advisors, LLC ETF Series Solutions Quasar Distributors, LLC N/A IC-32111 https://www.sec.gov/rules/ic/2016/ic-32111.pdf 812-14557 2016-05-10 Order Order Nuveen Fund Advisors, LLC Nuveen Securities, LLC Nuveen ETF Trust N/A IC-32112 https://www.sec.gov/litigation/opinions/2016/33-10078.pdf 33-10078 34-77803 3-15514 2016-05-10 Order Denying Request to Reduce Agreed Disgorgement Amount Order Feldmann, Richard D. N/A IC-32113 https://www.sec.gov/rules/ic/2016/ic-32113.pdf 812-14561 2016-05-11 Notice Notice TCW Alternative Funds, et al. http://www.federalregister.gov/citation/81-FR-30585 81-FR-30585 IC-32114 https://www.sec.gov/litigation/opinions/2016/34-77825.pdf 34-77825 IA-4385 3-15215 2016-05-12 Order Granting Petition for Review and Scheduling Briefs Order Tagliaferri, James S. N/A IC-32115 https://www.sec.gov/rules/ic/2016/ic-32115.pdf 812-14573 2016-05-16 Notice Notice Nationwide Mutual Funds, et al. http://www.federalregister.gov/citation/81-FR-31988 81-FR-31988 IC-32116 https://www.sec.gov/rules/ic/2016/ic-32116.pdf 812-14587 2016-05-18 Order Order ABS Investment Management LLC ABS Long/Short Strategies Fund N/A IC-32117 https://www.sec.gov/rules/ic/2016/ic-32117.pdf 812-14645 2016-05-18 Order Order Terra Capital Markets, LLC Terra Income Fund 6, Inc. Terra Income Advisors, LLC Terra Capital Partners, LLC N/A IC-32118 https://www.sec.gov/litigation/admin/2016/33-10080.pdf 33-10080 34-77862 IA-4389 3-17253 2016-05-19 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Blue Ocean Portfolios, LLC Winkelmann, James A., Sr. N/A IC-32119 https://www.sec.gov/litigation/admin/2016/ia-4391.pdf IA-4391 3-16590 2016-05-19 Order Directing the Filing of Briefs Order Ourand, Brian J. N/A IC-32120 https://www.sec.gov/rules/ic/2016/ic-32120.pdf 812-14527 2016-05-23 Order Order Madison ETF Trust Madison ETF Advisors, LLC N/A IC-32121 https://www.sec.gov/rules/ic/2016/ic-32121.pdf 813-00384 2016-05-23 Order Order AllianceBernstein LP AllianceBernstein US Real Estate (Employee) Fund II , LP N/A IC-32122 https://www.sec.gov/rules/icdereg/2016/ic-32122.pdf 812-21891 2016-05-25 Order Order Cheswold Lane Funds N/A IC-32123 https://www.sec.gov/rules/icdereg/2016/ic-32123.pdf 812-22610 2016-05-25 Order Order Hartford Alternative Strategies Fund, The N/A IC-32124 https://www.sec.gov/rules/icdereg/2016/ic-32124.pdf 812-22889 2016-05-25 Order Order Gottex Trust N/A IC-32125 https://www.sec.gov/rules/icdereg/2016/ic-32125.pdf 812-22248 2016-05-25 Order Order Goldman Sachs Municipal Opportunity Fund N/A IC-32126 https://www.sec.gov/litigation/admin/2016/33-10082.pdf 33-10082 34-77922 3-17260 2016-05-25 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Day, Christopher American Registrar & Transfer Company N/A IC-32127 https://www.sec.gov/rules/ic/2016/ic-32127.pdf 812-14399 2016-05-26 Notice Notice Ares Capital Corporation, et al. http://www.federalregister.gov/citation/81-FR-35419 81-FR-35419 IC-32128 https://www.sec.gov/litigation/admin/2016/33-10083.pdf 33-10083 IA-4395 3-15574 2016-05-26 Order Scheduling Oral Argument Order Chau, Wing F. Harding Advisory LLC N/A IC-32129 https://www.sec.gov/rules/icdereg/2016/ic-32129.pdf 811-05415 811-21367 811-22937 2016-05-27 Notice Notice Morgan Stanley Global Infrastructure Fund John Hancock Diversified Income Fund O'Connor EQUUS http://www.federalregister.gov/citation/81-FR-35400 81-FR-35400 IC-32130 https://www.sec.gov/litigation/admin/2016/ia-4399.pdf IA-4399 3-17263 2016-05-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Weisson, Ernesto H. Cortes, Roberto G. Cortes, Juan Carlos Biscayne Capital International, LLC Chatburn, Frank R. N/A IC-32131 https://www.sec.gov/litigation/opinions/2016/ia-4400.pdf IA-4400 3-16037 2016-05-27 Opinion Opinion Page, Edgar R. PageOne Financial, Inc. N/A IC-32132 https://www.sec.gov/rules/ic/2016/ic-32132.pdf 812-14429 2016-05-31 Order Order Triloma EIG Global Energy Fund, et al. N/A IC-32133 https://www.sec.gov/rules/ic/2016/ic-32133.pdf 812-14566 2016-05-31 Order Order Franklin Templeton ETF Trust Franklin Templeton Distributors, Inc. Franklin Advisers, Inc. N/A IC-32134 https://www.sec.gov/rules/ic/2016/ic-32134.pdf 812-14552 2016-05-31 Order Order Columbia Management Investment Advisers, LLC Columbia Management Investment Distributors, Inc. Columbia ETF Trust I N/A IC-32135 https://www.sec.gov/rules/ic/2016/ic-32135.pdf 812-14492 2016-06-01 Order Order Olive Street Investment Advisers, LLC Bridge Builder Trust N/A IC-32136 https://www.sec.gov/rules/ic/2016/ic-32136.pdf 812-14544 2016-06-01 Order Order CapitalSouth Partners SBIC Fund III, LP CapitalSouth Partners Fund II Limited Partnership Capitala Investment Advisors, LLC Capitala Finance Corp. Capitala Private Credit Fund I, LP N/A IC-32137 https://www.sec.gov/litigation/opinions/2016/33-10084.pdf 33-10084 34-77964 IA-4412 3-14404 2016-06-01 Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars Order Deru, Terry M. N/A IC-32138 https://www.sec.gov/rules/ic/2016/ic-32138.pdf 812-14426 2016-06-02 Notice Notice Carey Credit Income Fund, et al. http://www.federalregister.gov/citation/81-FR-36967 81-FR-36967 IC-32139 https://www.sec.gov/rules/ic/2016/ic-32139.pdf 812-14501 2016-06-06 Notice Notice Ramius Advisors, LLC Ramius Archview Credit and Distressed Fund http://www.federalregister.gov/citation/81-FR-37654 81-FR-37654 IC-32140 https://www.sec.gov/rules/ic/2016/ic-32140.pdf 812-14525 2016-06-06 Notice Notice Guggenheim Funds Trust, et al. http://www.federalregister.gov/citation/81-FR-38257 81-FR-38257 IC-32141 https://www.sec.gov/rules/ic/2016/ic-32141.pdf 812-14561 2016-06-07 Order Order TCW Funds, Inc. Metropolitan West Asset Management, LLC TCW Investment Management Company TCW Alternative Funds Metropolitan West Funds N/A IC-32142 https://www.sec.gov/rules/ic/2016/ic-32142.pdf 812-14598 2016-06-08 Notice Notice ETF Managers Group LLC, et al. http://www.federalregister.gov/citation/81-FR-38746 81-FR-38746 IC-32143 https://www.sec.gov/litigation/opinions/2016/ia-4416.pdf IA-4416 3-16037 2016-06-08 Order Denying Stay in Light of Pending Consideration Motion Order PageOne Financial Inc. Page, Edgar R. N/A IC-32144 https://www.sec.gov/litigation/admin/2016/33-10094.pdf 33-10094 34-78043 3-16978 2016-06-13 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Finelilne Trading Group LLC Afshar, Shahryar Afshar, Behruz Kenny, Richard F., IV Makino Capital LLC N/A IC-32145 https://www.sec.gov/rules/final/2016/33-10095.pdf 33-10095 34-78044 39-2510 NO FILE NUMBER 2016-06-13 Final Rule Final Rule Adoption of EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-43047 81-FR-43047 IC-32146 https://www.sec.gov/litigation/opinions/2016/34-78049.pdf 34-78049 IA-4420 3-15141 2016-06-13 Opinion Opinion Swanson, Kevin Timothy Riad, Mohammed N/A IC-32146A https://www.sec.gov/litigation/opinions/2016/34-78049a.pdf 34-78049 IA-4420 3-15141 2016-07-07 Opinion Opinion Swanson, Kevin Timothy Riad, Mohammed N/A IC-32147 https://www.sec.gov/litigation/admin/2016/34-78054.pdf 34-78054 3-17288 2016-06-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled School Business Consulting, Inc. Bradley, Terrance N/A IC-32148 https://www.sec.gov/rules/ic/2016/ic-32148.pdf 812-14573 2016-06-13 Order Order Nationwide Mutual Funds Nationwide Fund Advisors Nationwide Variable Insurance Trust N/A IC-32149 https://www.sec.gov/litigation/admin/2016/33-10096.pdf 33-10096 34-78082 IA-4424 3-15737 2016-06-15 Order Scheduling Oral Argument Order Gonnella, Thomas C. N/A IC-32150 https://www.sec.gov/litigation/admin/2016/33-10097.pdf 33-10097 IA-4427 3-15574 2016-06-15 Order Rescheduling Oral Argument Order Harding Advisory LLC Chau, Wing F. N/A IC-32151 https://www.sec.gov/litigation/admin/2016/ic-32151.pdf 3-17286 2016-06-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Bank of New York Mellon N/A IC-32152 https://www.sec.gov/litigation/opinions/2016/33-10100.pdf 33-10100 34-78098 IA-4431 3-15446 2016-06-17 Opinion Opinion Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A IC-32153 https://www.sec.gov/litigation/admin/2016/33-10101.pdf 33-10101 34-78099 IA-4432 3-15617 2016-06-17 Order Scheduling Oral Argument Order Grossman, Larry C. N/A IC-32154 https://www.sec.gov/rules/ic/2016/ic-32154.pdf 812-14399 2016-06-21 Order Order Ares Venture Finance, LP Ares Capital Management LLC Ares Capital Corporation Ares Venture Finance GP LLC N/A IC-32155 https://www.sec.gov/rules/icdereg/2016/ic-32155.pdf 811-21367 2016-06-22 Order Order John Hancock Diversified Income Fund N/A IC-32156 https://www.sec.gov/rules/icdereg/2016/ic-32156.pdf 811-05415 2016-06-22 Order Order Morgan Stanley Global Infrastructure Fund N/A IC-32157 https://www.sec.gov/rules/icdereg/2016/ic-32157.pdf 811-22937 2016-06-22 Order Order O'Connor Equus N/A IC-32158 https://www.sec.gov/litigation/admin/2016/34-78128.pdf 34-78128 IA-4433 3-17308 2016-06-22 Order Instituting Administrative and Cease-and-Desist Procedings, Making Findings, and Imposing Remedial Sanctions and Cease-and-Desist Orders AP Settled Simpson, Mark C. Simpson Hughes Financial, LLC N/A IC-32159 https://www.sec.gov/litigation/admin/2016/34-78142.pdf 34-78142 IA-4434 3-17313 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Tirrell, William N/A IC-32160 https://www.sec.gov/litigation/admin/2016/34-78147.pdf 34-78147 IA-4435 3-17315 2016-06-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ross, Sinclaire & Associates, LLC Sinclaire, Murray, Jr. N/A IC-32161 https://www.sec.gov/rules/icdereg/2016/ic-32161.pdf 811-22783 811-07275 811-01932 811-04588 811-22357 811-05076 811-02273 811-22647 811-23123 811-22646 2016-06-24 Notice Notice Oppenheimer SteelPath Master MLP Fund, LLC Oppenheimer Growth & Income Fund Valley Forge Fund, Inc. Charter National Variable Account BofA Funds Series Trust Tax-Exempt California Money Market Fund Transamerica Income Shares, Inc. Private Advisors Alternative Strategies Fund Direct Lending Income Fund Private Advisors Alternative Strategies Master Fund http://www.federalregister.gov/citation/81-FR-42761 81-FR-42761 IC-32162 https://www.sec.gov/rules/interim/2016/33-10104.pdf 33-10104 34-78156 IA-4437 S7-11-16 2016-06-27 Interim Final Rule; request for comment Final Rule Adjustments to Civil Monetary Penalty Amounts http://www.federalregister.gov/citation/81-FR-43042 81-FR-43042 IC-32163 https://www.sec.gov/rules/ic/2016/ic-32163.pdf 812-14523 2016-06-27 Notice Notice MainStay Funds Trust, et al. http://www.federalregister.gov/citation/81-FR-43301 81-FR-43301 IC-32164 https://www.sec.gov/rules/ic/2016/ic-32164.pdf 812-14426 2016-06-28 Order Order Guggenheim Partners Investment Management, LLC N/A IC-32165 https://www.sec.gov/litigation/admin/2016/33-10108.pdf 33-10108 34-78185 IA-4440 3-17319 2016-06-28 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Helen, Jan E. N/A IC-32166 https://www.sec.gov/rules/ic/2016/ic-32166.pdf 812-14651 2016-06-29 Notice Notice Fidelity Commonwealth Trust et al. http://www.federalregister.gov/citation/81-FR-44063 81-FR-44063 IC-32167 https://www.sec.gov/rules/ic/2016/ic-32167.pdf 812-14502 2016-06-29 Notice Notice Lord Abbett Family of Funds Lord, Abet & Co., LLC http://www.federalregister.gov/citation/81-FR-44395 81-FR-44395 IC-32168 https://www.sec.gov/rules/ic/2016/ic-32168.pdf 812-14501 2016-07-05 Order Order Ramius Advisors, LLC Ramius Archview Credit and Distressed Fund N/A IC-32169 https://www.sec.gov/litigation/opinions/2016/ia-4443.pdf IA-4443 3-15519 2016-07-05 Order Scheduling Briefs Order Shapiro, Barth Joel Jones, Gordon, II Zell, Donald David, Jr. Timbervest, LLC Boden, Walter William Anthony, III N/A IC-32170 https://www.sec.gov/rules/ic/2016/ic-32170.pdf 812-14525 2016-07-05 Order Order Guggenheim Funds Trust, et al. N/A IC-32171 https://www.sec.gov/rules/ic/2016/ic-32171.pdf 812-14598 2016-07-06 Order Order ETF Managers Group LLC Factorshares Trust ALPS Distributors, Inc. Factor Advisors, LLC N/A IC-32172 https://www.sec.gov/litigation/opinions/2016/34-78252.pdf 34-78252 IA-4445 3-15141 2016-07-07 Order Amending Opinion Order Riad, Mohammed Swanson, Kevin Timothy N/A IC-32173 https://www.sec.gov/litigation/opinions/2016/33-10109.pdf 33-10109 34-78253 3-16498 2016-07-07 Order Requesting Additional Briefs Order Schalk, Russell C., Jr. N/A IC-32174 https://www.sec.gov/litigation/opinions/2016/34-78272.pdf 34-78272 IA-4446 3-15141 2016-07-08 Partial Stay Order Order Swanson, Kevin Timothy Riad, Mohammed N/A IC-32175 https://www.sec.gov/rules/proposed/2016/33-10110.pdf 33-10110 34-78310 S7-15-16 2016-07-13 Proposed Rule Proposed Rule Disclosure Update and Simplification http://www.federalregister.gov/citation/81-FR-51608 81-FR-51608 IC-32176 https://www.sec.gov/litigation/admin/2016/33-10111.pdf 33-10111 34-78325 IA-4452 3-17342 2016-07-14 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled RD Legal Capital, LLC Dersovitz, Roni N/A IC-32177 https://www.sec.gov/litigation/opinions/2016/ia-4454.pdf IA-4454 3-16037 2016-07-14 Order Denying Motion for Reconsideration Order Page, Edgar R. PageOne Financial, Inc. N/A IC-32178 https://www.sec.gov/litigation/opinions/2016/33-10112.pdf 33-10112 34-78364 IA-4458 3-12116 2016-07-19 Order Granting Motion to Modify Order Millennium International Management, L.L.C. Millennium Management, L.L.C., et al. Millennium Partners, L.P. N/A IC-32179 https://www.sec.gov/rules/icdereg/2016/ic-32179.pdf 811-22783 2016-07-20 Order Order Oppenheimer Steelpath Master MLP, Fund, LLC N/A IC-32180 https://www.sec.gov/rules/icdereg/2016/ic-32180.pdf 811-22646 2016-07-20 Order Order Private Advisors Alternative Strategies Master Fund N/A IC-32181 https://www.sec.gov/rules/icdereg/2016/ic-32181.pdf 811-22647 2016-07-20 Order Order Private Advisors Alternative Strategies Fund N/A IC-32182 https://www.sec.gov/rules/icdereg/2016/ic-32182.pdf 811-05076 2016-07-20 Order Order Tax-Exempt California Money Market Fund N/A IC-32183 https://www.sec.gov/rules/icdereg/2016/ic-32183.pdf 811-01932 2016-07-20 Order Order Valley Forge Fund, Inc. N/A IC-32184 https://www.sec.gov/rules/icdereg/2016/ic-32184.pdf 811-04588 2016-07-20 Order Order Charter National Variable Account N/A IC-32185 https://www.sec.gov/rules/icdereg/2016/ic-32185.pdf 811-07275 2016-07-20 Order Order Oppenheimer Growth & Income Fund N/A IC-32186 https://www.sec.gov/rules/icdereg/2016/ic-32186.pdf 811-02273 2016-07-20 Order Order Transamerica Income Shares, Inc. N/A IC-32187 https://www.sec.gov/rules/icdereg/2016/ic-32187.pdf 811-23123 2016-07-20 Order Order Direct Lending Income Fund N/A IC-32188 https://www.sec.gov/rules/icdereg/2016/ic-32188.pdf 811-22357 2016-07-20 Order Order BOFA Funds Series Trust N/A IC-32189 https://www.sec.gov/rules/ic/2016/ic-32189.pdf 812-14597 2016-07-20 Notice Notice Mutual Fund Series Trust, et al. http://www.federalregister.gov/citation/81-FR-48875 81-FR-48875 IC-32190 https://www.sec.gov/rules/ic/2016/ic-32190.pdf 812-14523 2016-07-25 Order Order Mainstay Funds Trust Mainstay VP Funds Trust Mainstay Funds (The) New York Life Investment Management LLC N/A IC-32191 https://www.sec.gov/rules/ic/2016/ic-32191.pdf 812-14561 2016-07-26 Order Order Fidelity Commonwealth Trust N/A IC-32192 https://www.sec.gov/rules/ic/2016/ic-32192.pdf 812-14502 2016-07-26 Order Order Lord Abbett Family of Funds N/A IC-32193 https://www.sec.gov/rules/ic/2016/ic-32193.pdf 812-14589 2016-07-26 Notice Notice New York Life Insurance and Annuity Corp., et al. http://www.federalregister.gov/citation/81-FR-50584 81-FR-50584 IC-32194 https://www.sec.gov/litigation/opinions/2016/33-10115.pdf 33-10115 34-78429 IA-4463 3-15918 2016-07-27 Opinion Opinion Malouf, Dennis J. N/A IC-32195 https://www.sec.gov/rules/ic/2016/ic-32195.pdf 812-14635 2016-07-28 Notice Notice SilverPepper LLC Investment Managers Series Trust http://www.federalregister.gov/citation/81-FR-51512 81-FR-51512 IC-32196 https://www.sec.gov/rules/ic/2016/ic-32196.pdf 812-14650 2016-07-28 Notice Notice CSat Investment Advisorym L.P., et al http://www.federalregister.gov/citation/81-FR-51237 81-FR-51237 IC-32197 https://www.sec.gov/rules/ic/2016/ic-32197.pdf 812-14575 2016-07-29 Notice Notice Bain Capital Speciality Finance, Inc., et al. http://www.federalregister.gov/citation/81-FR-51523 81-FR-51523 IC-32198 https://www.sec.gov/rules/icdereg/2016/ic-32198.pdf 811-04921 811-22599 811-01947 811-02319 811-07696 811-06259 2016-07-29 Notice Notice American Republic Variable Annuity Account American Real Estate Income Fund Capital Southwest Venture Corporation Fort Dearborn Income Securities, Inc. Iowa Public Agency Investment Trust Stratus Fund Inc. http://www.federalregister.gov/citation/81-FR-51522 81-FR-51522 IC-32199 https://www.sec.gov/litigation/opinions/2016/33-10116.pdf 33-10116 34-78440 IA-4466 3-15003 2016-07-29 Partial Stay Order Order Young, Bernerd E. N/A IC-32200 https://www.sec.gov/litigation/admin/2016/33-10117.pdf 33-10117 IA-4467 3-15574 2016-07-29 Corrected Order Denying Motion for Additional Time for Oral Argument Orders Harding Advisory LLc Chau, Wing F. N/A IC-32201 https://www.sec.gov/rules/ic/2016/ic-32201.pdf 812-14585 2016-08-02 Notice Notice Managed Portfolio Series and Port Street Investments, LLC http://www.federalregister.gov/citation/81-FR-52490 81-FR-52490 IC-32202 https://www.sec.gov/litigation/admin/2016/34-78457.pdf 34-78457 IA-4468 3-17365 2016-08-02 Order Instituting Administrative and Cease-and-Desist Proceedings, AP Litigated Alison, Stephen D. Alison, LLC N/A IC-32203 https://www.sec.gov/litigation/opinions/2016/ia-4469.pdf IA-4469 3-15157 2016-08-02 Order Denying Request to Vacate Bars Order Eisnaugle, Jeffry C. N/A IC-32204 https://www.sec.gov/rules/ic/2016/ic-32204.pdf 812-14643 2016-08-02 Notice Notice OSI ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-52485 81-FR-52485 IC-32205 https://www.sec.gov/litigation/opinions/2016/34-78468.pdf 34-78468 3-14324 2016-08-02 Order Denying Request to Vacate Bars Order Boppre, Brian W. N/A IC-32206 https://www.sec.gov/rules/ic/2016/ic-32206.pdf 812-14666 2016-08-03 Notice Notice American Independence Funds Trust, et al. http://www.federalregister.gov/citation/81-FR-52493 81-FR-52493 IC-32207 https://www.sec.gov/rules/ic/2016/ic-32207.pdf 812-14580 2016-08-03 Notice Notice Allianz Life Insurance Company of North America, et al. http://www.federalregister.gov/citation/81-FR-52939 81-FR-52939 IC-32208 https://www.sec.gov/rules/ic/2016/ic-32208.pdf 812-14661 2016-08-04 Notice Notice Trim Tabs ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-52925 81-FR-52925 IC-32209 https://www.sec.gov/rules/ic/2016/ic-32209.pdf 812-14497 2016-08-08 Notice Notice Blackrock Funds, et al. http://www.federalregister.gov/citation/81-FR-53512 81-FR-53512 IC-32210 https://www.sec.gov/litigation/opinions/2016/33-10119.pdf 33-10119 34-78532 IA-4476 3-15737 2016-08-10 Opinion Opinion Gonnella, Thomas C. N/A IC-32211 https://www.sec.gov/litigation/opinions/2016/ia-4482.pdf IA-4482 3-16590 2016-08-12 Order Dismissing Untimely Petition for Review Order Ourand, Brian J. N/A IC-32212 https://www.sec.gov/litigation/admin/2016/ia-4483.pdf IA-4483 3-17385 2016-08-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bollinger, Jeff M. Fortius Financial Advisors, LLC Oliver, Gary E. N/A IC-32213 https://www.sec.gov/litigation/admin/2016/34-78571.pdf 34-78571 IA-4484 3-17386 2016-08-15 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and Desist Order AP Settled Zhou, Tianyu N/A IC-32214 https://www.sec.gov/litigation/admin/2016/33-10120.pdf 33-10120 34-78572 IA-4485 3-17387 2016-08-15 Order Instituting Administrative and Cease-and-Desist Proceedings AP Settled Eden Arc Capital Advisors, LLC Lathen, Donald F., Jr. Eden Arc Capital Management, LLC N/A IC-32215 https://www.sec.gov/litigation/admin/2016/34-78574.pdf 34-78574 3-17172 2016-08-15 Order Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Clare, Barry B. N/A IC-32216 https://www.sec.gov/litigation/opinions/2016/33-10121.pdf 33-10121 34-78575 IA-4486 3-15446 2016-08-15 Partial Stay Order Order Mausner, Ian O. J.S. Oliver Capital Management, L.P. N/A IC-32217 https://www.sec.gov/litigation/admin/2016/34-78585.pdf 34-78585 IA-4487 3-17394 2016-08-16 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Chin, Edwin K. N/A IC-32218 https://www.sec.gov/rules/ic/2016/ic-32218.pdf 812-14599 2016-08-16 Notice of Application Notice Wells Fargo Bank, National Association, et al. http://www.federalregister.gov/citation/81-FR-55510 81-FR-55510 IC-32219 https://www.sec.gov/rules/ic/2016/ic-32219.pdf 812-14632 2016-08-16 Notice of Application Notice Davis Fundamental ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-56722 81-FR-56722 IC-32220 https://www.sec.gov/rules/ic/2016/ic-32220.pdf 812-14597 2016-08-16 Order Order Eventide Asset Management, LLC Mutual Fund Series Trust N/A IC-32221 https://www.sec.gov/rules/ic/2016/ic-32221.pdf 812-14567 2016-08-17 Notice Notice FS Global Credit Opportunities Fund, et al. http://www.federalregister.gov/citation/81-FR-57636 81-FR-57636 IC-32222 https://www.sec.gov/litigation/opinions/2016/33-10126.pdf 33-10126 34-78637 IA-4491 3-16801 2016-08-22 Order Granting Petition for Review and Scheduling Briefs Orders Bennett Group Financial Services, LLC Bennett, Dawn J. N/A IC-32223 https://www.sec.gov/litigation/opinions/2016/ia-4492.pdf IA-4492 3-15519 2016-08-22 Recommendation Regarding Disgorgement Orders Timbervest, LLC Shapiro, Joel Barth Boden, III, Walter William Anthony Jones, II, Gordon Zell, Jr., Donald David N/A IC-32224 https://www.sec.gov/rules/ic/2016/ic-32224.pdf 812-14635 2016-08-23 Order Orders Investment Managers Series Trust, et al. N/A IC-32225 https://www.sec.gov/rules/ic/2016/ic-32225.pdf 812-14650 2016-08-23 Order Orders CSat Investment Advisory, LP, et al. N/A IC-32226 https://www.sec.gov/rules/ic/2016/ic-32226.pdf 812-14575 2016-08-23 Order Orders Bain Capital Specialty Finance, Inc., et al. N/A IC-32227 https://www.sec.gov/rules/ic/2016/ic-32227.pdf 812-14589 2016-08-23 Order Orders New York Life Insurance and Annuity Corp., et al. N/A IC-32228 https://www.sec.gov/rules/icdereg/2016/ic-32228.pdf 811-04921 2016-08-24 Order Orders American Republic Variable Annuity Account N/A IC-32229 https://www.sec.gov/rules/icdereg/2016/ic-32229.pdf 811-06259 2016-08-24 Order Orders Stratus Fund, Inc. N/A IC-32230 https://www.sec.gov/rules/icdereg/2016/ic-32230.pdf 811-02319 2016-08-24 Order Orders Fort Dearborn Income Securities, Inc. N/A IC-32231 https://www.sec.gov/rules/icdereg/2016/ic-32231.pdf 811-22599 2016-08-24 Order Orders American Real Estate Income Fund N/A IC-32232 https://www.sec.gov/rules/icdereg/2016/ic-32232.pdf 811-01947 2016-08-24 Order Orders Capital Southwest Venture Corp. N/A IC-32233 https://www.sec.gov/rules/icdereg/2016/ic-32233.pdf 811-07696 2016-08-24 Order Orders Iowa Public Agency Investment Trust N/A IC-32234 https://www.sec.gov/rules/ic/2016/ic-32234.pdf 812-14529 2016-08-24 Notice Notice Calvert Social Investment Fund, et al. http://www.federalregister.gov/citation/81-FR-59688 81-FR-59688 IC-32235 https://www.sec.gov/rules/ic/2016/ic-32235.pdf 812-14678 2016-08-24 Notice Notice iShares Trust, et al. http://www.federalregister.gov/citation/81-FR-59710 81-FR-59710 IC-32236 https://www.sec.gov/litigation/opinions/2016/ia-4495.pdf AAER-3796 IA-4495 3-16462 2016-08-24 Order Denying Petition for Interlocutory Review and Petition to Apply the Commission's Amended Rules of Practice Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLc N/A IC-32237 https://www.sec.gov/rules/ic/2016/ic-32237.pdf 812-14666 2016-08-25 Order Orders American Independence Funds Trust N/A IC-32238 https://www.sec.gov/litigation/admin/2016/ia-4513.pdf IA-4513 3-17506 2016-08-25 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Orinda Asset Management, LLC N/A IC-32239 https://www.sec.gov/rules/icdereg/2016/ic-32239.pdf 811-04653 811-08993 811-04963 811-22580 811-22579 811-02946 2016-08-26 Notice Notice American Funds Tax-Exempt Series I Newmaark Risk-Managed Opportunistic Fund Berwyn Funds Paramount Institutional Access Fund Paramount Access Fund Dreyfus Municipal Money Market Fund, Inc. http://www.federalregister.gov/citation/81-FR-60396 81-FR-60396 IC-32240 https://www.sec.gov/alj/aljdec/2016/33-10199.pdf 33-10199 34-78705 IA-4514 3-15446 2016-08-26 Notice that Initial Decision has Become Final Notice Drennan, Douglas F. N/A IC-32241 https://www.sec.gov/rules/ic/2016/ic-32241.pdf 812-14630 2016-08-29 Notice of application Notice Starboard Investment Trust and Cavalier Investments, Inc. http://www.federalregister.gov/citation/81-FR-60758 81-FR-60758 IC-32242 https://www.sec.gov/rules/ic/2016/ic-32242.pdf 812-14580 2016-08-29 Order Orders Allianz Life Insurance Company of North America N/A IC-32243 https://www.sec.gov/rules/ic/2016/ic-32243.pdf 812-14657 2016-08-30 Notice Notice Rational Advisors, Inc. and Strategy Shares http://www.federalregister.gov/citation/81-FR-61269 81-FR-61269 IC-32244 https://www.sec.gov/rules/ic/2016/ic-32244.pdf 812-14661 2016-08-30 Order Orders Trimtabs ETF Trust N/A IC-32245 https://www.sec.gov/rules/ic/2016/ic-32245.pdf 812-14585 2016-08-30 Order Orders Managed Portfolio Series N/A IC-32246 https://www.sec.gov/rules/ic/2016/ic-32246.pdf 812-14571 2016-08-30 Notice Notice Voya ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-61265 81-FR-61265 IC-32247 https://www.sec.gov/rules/ic/2016/ic-32247.pdf 812-14643 2016-08-30 Order Orders OSI ETF Trust N/A IC-32248 https://www.sec.gov/rules/ic/2016/ic-32248.pdf 812-14572 2016-08-30 Notice Orders Voya ETF Trust et al. http://www.federalregister.gov/citation/81-FR-61723 81-FR-61723 IC-32249 https://www.sec.gov/rules/ic/2016/ic-32249.pdf 812-14658 2016-08-31 Notice Notice Regents Park Funds, LC et al. http://www.federalregister.gov/citation/81-FR-61726 81-FR-61726 IC-32250 https://www.sec.gov/litigation/opinions/2016/33-10202.pdf 33-10202 34-78739 IA-4519 3-15918 2016-08-31 Order Granting Partial Stay Orders Malouf, Dennis J. N/A IC-32251 https://www.sec.gov/rules/other/2016/33-10203.pdf 33-10203 34-78769 IA-4521 S7-20-16 2016-09-02 Semiannual Regulatory Agenda Orders Semiannual Regulatory Agenda http://www.federalregister.gov/citation/81-FR-94898 81-FR-94898 IC-32252 https://www.sec.gov/rules/ic/2016/ic-32252.pdf 812-14497 2016-09-06 Order Orders Blackrock Funds, et al. N/A IC-32253 https://www.sec.gov/rules/ic/2016/ic-32253.pdf 812-14599 2016-09-07 Order Orders Wells Fargo Bank, National Association, et al. N/A IC-32254 https://www.sec.gov/rules/ic/2016/ic-32254.pdf 812-13889 2016-09-08 Notice of Intention to Rescind an Order Notice Orinda Asset Management, LLC Advisors Series Trust http://www.federalregister.gov/citation/81-FR-63238 81-FR-63238 IC-32255 https://www.sec.gov/rules/ic/2016/ic-32255.pdf 812-14665 2016-09-09 Notice of Application Notice Dhandho ETF Trust Dhandho Funds LLC http://www.federalregister.gov/citation/81-FR-63547 81-FR-63547 IC-32256 https://www.sec.gov/rules/ic/2016/ic-32256.pdf 812-14659 2016-09-09 Notice of Application Notice Foreside Advisor Services, LLC, et al. http://www.federalregister.gov/citation/81-FR-63541 81-FR-63541 IC-32257 https://www.sec.gov/rules/ic/2016/ic-32257.pdf 812-14567 2016-09-12 Order Orders FS Global Credit Opportunities Fund N/A IC-32258 https://www.sec.gov/litigation/opinions/2016/33-10207.pdf 33-10207 34-78822 IA-4528 3-15918 2016-09-13 Corrected Order Imposing Remedial Sanctions Orders Malouf, Dennis J. N/A IC-32259 https://www.sec.gov/rules/ic/2016/ic-32259.pdf 812-14602 2016-09-13 Notice Notice OFS Capital Corporation http://www.federalregister.gov/citation/81-FR-64226 81-FR-64226 IC-32260 https://www.sec.gov/rules/ic/2016/ic-32260.pdf 812-14632 2016-09-13 Order Orders Davis Fundamental ETF Trust et al. N/A IC-32261 https://www.sec.gov/rules/ic/2016/ic-32261.pdf 812-14453 2016-09-13 Notice of Application Notice AB Private Credit Investors Corporation, et al. http://www.federalregister.gov/citation/81-FR-64230 81-FR-64230 IC-32262 https://www.sec.gov/rules/ic/2016/ic-32262.pdf 812-14549 2016-09-14 Notice of Application Notice Global X Funds, et al. http://www.federalregister.gov/citation/81-FR-64534 81-FR-64534 IC-32263 https://www.sec.gov/rules/other/2016/33-10209.pdf 33-10209 34-78845 39-2511 IA-4530 S7-21-16 2016-09-15 Publication of list of rules scheduled for review Notice Regulatory Flexibility Act Rule Review List http://www.federalregister.gov/citation/81-FR-64364 81-FR-64364 IC-32264 https://www.sec.gov/rules/ic/2016/ic-32264.pdf 812-14432 2016-09-16 Notice of Application Notice Northern Lights Fund Trust , et al. http://www.federalregister.gov/citation/81-FR-65460 81-FR-65460 IC-32265 https://www.sec.gov/rules/ic/2016/ic-32265.pdf 812-14410 2016-09-19 Notice Notice Altegris KKR Commitments Master Fund, et al. http://www.federalregister.gov/citation/81-FR-65684 81-FR-65684 IC-32266 https://www.sec.gov/litigation/admin/2016/34-78876.pdf 34-78876 3-17555 2016-09-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Phu, Kenny N/A IC-32268 https://www.sec.gov/rules/ic/2016/ic-32268.pdf 812-14678 2016-09-20 Order Orders iShares Trust et al. N/A IC-32269 https://www.sec.gov/rules/final/2016/33-10217.pdf 33-10217 34-78883 39-2512 NO FILE NUMBER 2016-09-20 Final Rule Final Rule Adoption of Updated EDGAR Filer Manual http://www.federalregister.gov/citation/81-FR-67118 81-FR-67118 IC-32270 https://www.sec.gov/rules/ic/2016/ic-32270.pdf 812-14529 2016-09-20 Order Orders Calvert Social Investment Fund, et al N/A IC-32271 https://www.sec.gov/rules/icdereg/2016/ic-32271.pdf 811-04653 2016-09-21 Order Orders American Funds Tax-Exempt Series I N/A IC-32272 https://www.sec.gov/rules/icdereg/2016/ic-32272.pdf 811-08993 2016-09-21 Order Orders Newmark Risk Managed Opportunistic Fund N/A IC-32273 https://www.sec.gov/rules/icdereg/2016/ic-32273.pdf 811-04963 2016-09-21 Order Orders Berwyn Funds N/A IC-32274 https://www.sec.gov/rules/icdereg/2016/ic-32274.pdf 811-22580 2016-09-21 Order Orders Paramount Institutional Access Fund N/A IC-32275 https://www.sec.gov/rules/icdereg/2016/ic-32275.pdf 811-22579 2016-09-21 Order Orders Paramount Access Fund N/A IC-32276 https://www.sec.gov/rules/icdereg/2016/ic-32276.pdf 811-02946 2016-09-21 Order Orders Dreyfus Municipal Money Market Fund, Inc. N/A IC-32277 https://www.sec.gov/rules/icdereg/2016/ic-32277.pdf 811-22395 2016-09-21 Order Orders Philadelphia Investment Partners New Generation Fund N/A IC-32278 https://www.sec.gov/rules/icdereg/2016/ic-32278.pdf 811-22723 2016-09-21 Order Orders Bluepoint Investment Series Trust N/A IC-32279 https://www.sec.gov/litigation/opinions/2016/33-10219.pdf 33-10219 34-78898 3-16498 2016-09-21 Opinion Opinions Schalk, Russell C. Jr. N/A IC-32280 https://www.sec.gov/litigation/admin/2016/ia-4534.pdf IA-4534 3-17567 2016-09-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions AP Settled Aviva Investors Americas, LLC N/A IC-32281 https://www.sec.gov/rules/proposed/2016/33-10220.pdf 33-10220 34-78926 S7-15-16 2016-09-23 Extension of Comment Period for Disclosure Update and Simplification Ext. of Comment Period 33 Act; 34 Act; IC Act; Disclosure requirements http://www.federalregister.gov/citation/81-FR-66898 81-FR-66898 IC-32282 https://www.sec.gov/rules/ic/2016/ic-32282.pdf 812-14630 2016-09-26 Order Orders Starboard Investment Trust N/A IC-32283 https://www.sec.gov/rules/ic/2016/ic-32283.pdf 812-14641 2016-09-26 Notice Notice SerenityShares Investments LLC http://www.federalregister.gov/citation/81-FR-67404 81-FR-67404 IC-32284 https://www.sec.gov/rules/ic/2016/ic-32284.pdf 812-14660 2016-09-26 Notice Notice Foreside ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-68079 81-FR-68079 IC-32285 https://www.sec.gov/rules/ic/2016/ic-32285.pdf 812-14669 2016-09-26 Certification Orders Harris & Harris Group, Inc. N/A IC-32286 https://www.sec.gov/litigation/admin/2016/34-78932.pdf 34-78932 3-17575 2016-09-26 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Bonacci , Nicholas M. N/A IC-32287 https://www.sec.gov/rules/ic/2016/ic-32287.pdf 812-14571 2016-09-27 Order Orders Voya ETF Trust, et al. N/A IC-32288 https://www.sec.gov/rules/ic/2016/ic-32288.pdf 812-14572 2016-09-27 Order Orders Voya ETF Trust, et al. N/A IC-32289 2016-09-27 INTENTIONALLY OMITTED IC-32290 https://www.sec.gov/litigation/admin/2016/33-10223.pdf 33-10223 34-78948 3-17584 2016-09-27 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Silverman, Jeffrey A. Silverman, Anthony N/A IC-32291 https://www.sec.gov/rules/ic/2016/ic-32291.pdf 812-14658 2016-09-27 Order Orders Regents Park Funds, LLC, et al. N/A IC-32292 https://www.sec.gov/rules/ic/2016/ic-32292.pdf 812-14657 2016-09-27 Order Orders Rational Advisors, Inc. et al. N/A IC-32293 https://www.sec.gov/rules/ic/2016/ic-32293.pdf 812-14538 2016-09-28 Notice Notice Virtus Alternative Solutions Trust, et al http://www.federalregister.gov/citation/81-FR-68495 81-FR-68495 IC-32294 https://www.sec.gov/litigation/opinions/2016/33-10225.pdf 33-10225 34-78990 IA-4541 3-15737 2016-09-29 Order Granting Partial Stay Orders Gonnella, Thomas C. N/A IC-32295 https://www.sec.gov/litigation/admin/2016/34-78996.pdf 34-78996 3-17599 2016-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Newman, Mason D. N/A IC-32296 https://www.sec.gov/litigation/admin/2016/34-78995.pdf 34-78995 3-17598 2016-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Ganton, Jason M. N/A IC-32297 https://www.sec.gov/litigation/admin/2016/34-78994.pdf 34-78994 3-17597 2016-09-29 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Cleary, James E. N/A IC-32298 https://www.sec.gov/litigation/opinions/2016/33-10227.pdf 33-10227 34-79009 IA-4543 3-15617 2016-09-30 Opinion Opinions Grossman, Larry C. N/A IC-32299 https://www.sec.gov/rules/icdereg/2016/ic-32299.pdf 811-22964 811-06330 811-22790 811-22574 811-03700 811-10479 811-21516 811-10527 811-07737 811-21054 811-23041 2016-09-30 Notice of Applications for Deregistration Notice Altegris KKR Commitments Fund Morgan Stanley Limited Duration U.S. Government Trust DoubleLine Equity Funds Whitebox Mutual Funds Dreyfus/Laurel Tax-Free Municipal Funds A&Q Event Fund LLC A&Q Aggregated Alpha Strategies Fund LLC A&Q Equity Opportunity Fund LLC Purisima Funds BlackRock Municipal Bond Investment Trust Redmond Reinsurance Investment Interval Fund http://www.federalregister.gov/citation/81-FR-69558 81-FR-69558 IC-32300 https://www.sec.gov/rules/ic/2016/ic-32300.pdf 812-14583 2016-10-03 Notice of Application Notice Legg Mason Global Asset Management Trust, et al. http://www.federalregister.gov/citation/81-FR-69887 81-FR-69887 IC-32301 https://www.sec.gov/litigation/admin/2016/33-10228.pdf 33-10228 34-79031 IA-4545 3-17614 2016-10-04 Order Instituting Administrative and Cease-and-Desist Proceeding AP Litigated Laurence I. Balter (d/b/a Oracle Investment Research) N/A IC-32302 https://www.sec.gov/rules/ic/2016/ic-32302.pdf 812-13889 2016-10-04 Order Rescinding a Prior Order Orders Advisors Series Trust Orinda Asset Management, LLC http://www.federalregister.gov/citation/81-FR-70226 81-FR-70226 IC-32303 https://www.sec.gov/rules/ic/2016/ic-32303.pdf 812-14452 2016-10-04 Notice of Application Notice Terra Income Fund 6, Inc., et al. http://www.federalregister.gov/citation/81-FR-70210 81-FR-70210 IC-32304 https://www.sec.gov/rules/ic/2016/ic-32304.pdf 812-14659 2016-10-05 Order Orders Foreside ETF Trust Foreside Advisor Services, LLC Foreside Fund Services, LLC N/A IC-32305 https://www.sec.gov/rules/ic/2016/ic-32305.pdf 812-14665 2016-10-05 Order Orders Dhandho ETF Trust Dhandho Funds LLC N/A IC-32306 https://www.sec.gov/rules/ic/2016/ic-32306.pdf 812-14609 2016-10-05 Notice of Application Notice Harris Associates Investment Trust, et al. http://www.federalregister.gov/citation/81-FR-70467 81-FR-70467 IC-32307 https://www.sec.gov/rules/ic/2016/ic-32307.pdf 812-14592 2016-10-06 Notice of Application Notice Hartford Funds Exchange-Traded Trust et.al. http://www.federalregister.gov/citation/81-FR-70712 81-FR-70712 IC-32308 https://www.sec.gov/rules/ic/2016/ic-32308.pdf 812-14628 2016-10-07 Notice of Application Notice Destra Capital Advisors LLC, et al. http://www.federalregister.gov/citation/81-FR-71122 81-FR-71122 IC-32309 https://www.sec.gov/rules/ic/2016/ic-32309.pdf 812-14680-01 2016-10-07 Notice of Application Notice The Bank of New York Mellon Trust Company, National Association http://www.federalregister.gov/citation/81-FR-71129 81-FR-71129 IC-32310 https://www.sec.gov/rules/ic/2016/ic-32310.pdf 812-14453 2016-10-11 Order Orders AB Private Credit Investors Corporation AB Private Credit Investors Middle Market Direct Lending Fund, L.P. AB Energy Opportunity Fund, L.P. AB Private Credit Investors LLC http://www.federalregister.gov/citation/81-FR-71562 81-FR-71562 IC-32311 https://www.sec.gov/rules/ic/2016/ic-32311.pdf 812-14549 2016-10-12 Order Orders Global X Funds Global X Management Company LLC SEI Investments Distribution Company N/A IC-32312 https://www.sec.gov/rules/ic/2016/ic-32312.pdf 812-14602 2016-10-12 Order Orders OFS Capital Corporation Hancock Park Corporate Income, Inc. OFS Capital Management, LLC OFSI Fund V, Ltd. OFSI Fund VI, Ltd. OFSI Fund VII, Ltd. OFS SBIC I, LP N/A IC-32313 https://www.sec.gov/rules/ic/2016/ic-32313.pdf 812-14432 2016-10-12 Order Orders Northern Lights Fund Trust Dearborn Capital Management, LLC N/A IC-32314 https://www.sec.gov/rules/final/2016/33-10231.pdf 33-10231 34-79095 S7-08-15 2016-10-13 Final Rule/Investment Company Reporting Modernization Final Rule 33 Act; IC Act; Rules 30a-4;30b1-9;8b-16;8b-33;10f-3;30a-1; 30a-2; 30a-3; 30d-1 and Forms N-PORT; N-CEN; N-8F; N-1A;N-2;N-3;N-4;N-6;N-14; N-CSR;Rescind Rules 30b1-1; 30b1-2; 30b1-3; 30b1-5 and Forms N-SAR and N-Q; 34Act; Rules 10A-1; 12b-25; 13a-10;13a-11; 13a-13;13a-16;15d-10;15d-11;15d-13;15d-16; Section 322; 330; Reg S-X Article 6 and Article 12; Section 800;Reg S-T Rules 105; 301, and 401; Rescind Section 332 http://www.federalregister.gov/citation/81-FR-81870 81-FR-81870 IC-32315 https://www.sec.gov/rules/final/2016/33-10233.pdf 33-10233 S7-16-15 2016-10-13 Final Rule/Investment Company Liquidity Risk Management Programs Final Rule 33Act; IC Act; Rules 22e-4; 30b1-10; and Forms N-LIQUID; N-1A; N-PORT, N-CEN http://www.federalregister.gov/citation/81-FR-82142 81-FR-82142 IC-32316 https://www.sec.gov/rules/final/2016/33-10234.pdf 33-10234 S7-16-15 2016-10-13 Final Rule/Investment Company Swing Pricing Final Rule 33Act; IC Act; Rules 22c-1 and 31a-2; and Forms N-1A, Reg S-X Article 6, and N-CEN http://www.federalregister.gov/citation/81-FR-82084 81-FR-82084 IC-32317 https://www.sec.gov/rules/ic/2016/ic-32317.pdf 812-14508 2016-10-13 Notice of Application Notice ETF Managers Group, LLC ETF Managers Trust http://www.federalregister.gov/citation/81-FR-72127 81-FR-72127 IC-32318 https://www.sec.gov/rules/ic/2016/ic-32318.pdf 812-14594 2016-10-14 Notice of Application Notice First Investors Equity Funds, et al. http://www.federalregister.gov/citation/81-FR-72629 81-FR-72629 IC-32319 https://www.sec.gov/rules/ic/2016/ic-32319.pdf 812-14410 2016-10-17 Order Orders Altegris KKR Commitments Master Fund, et al N/A IC-32320 https://www.sec.gov/litigation/admin/2016/33-10236.pdf 33-10236 34-79112 IA-4553 3-17629 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Lebel, Paul T. N/A IC-32321 https://www.sec.gov/litigation/admin/2016/ia-4554.pdf IA-4554 3-17630 2016-10-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Calvert Investment Management, Inc. N/A IC-32322 https://www.sec.gov/rules/ic/2016/ic-32322.pdf 812-14619 2016-10-21 Notice Notice Nuveen Fund Advisors, LLC et al. http://www.federalregister.gov/citation/81-FR-74849 81-FR-74849 IC-32323 https://www.sec.gov/rules/ic/2016/ic-32323.pdf 812-14660 2016-10-24 Order Orders Foreside ETF Trust et al. N/A IC-32324 https://www.sec.gov/rules/ic/2016/ic-32324.pdf 812-14542 2016-10-24 Notice Notice ALAIA Market Linked Trust and Beech Hill Securities, Inc. http://www.federalregister.gov/citation/81-FR-75178 81-FR-75178 IC-32325 https://www.sec.gov/rules/ic/2016/ic-32325.pdf 812-14641 2016-10-24 Order Orders Serenityshares Investments LLC, et al. N/A IC-32326 2016-10-25 INTENTIONALLY OMITTED IC-32327 https://www.sec.gov/rules/ic/2016/ic-32327.pdf 812-14538 2016-10-25 Order Orders Virtus Alternative Solutions Trust, et al. N/A IC-32328 https://www.sec.gov/rules/icdereg/2016/ic-32328.pdf 811-22964 2016-10-26 Order of Deregistration Orders Altegris KKR Commitments Fund N/A IC-32329 https://www.sec.gov/rules/icdereg/2016/ic-32329.pdf 811-06330 2016-10-26 Order of Deregistration Orders Morgan Stanley Limited Duration U.S. Government Trust N/A IC-32330 https://www.sec.gov/rules/icdereg/2016/ic-32330.pdf 811-22790 2016-10-26 Order of Deregistration Orders Doubleline Equity Funds N/A IC-32331 https://www.sec.gov/rules/icdereg/2016/ic-32331.pdf 811-22574 2016-10-26 Order of Deregistration Orders Whitebox Mutual Funds N/A IC-32332 https://www.sec.gov/rules/icdereg/2016/ic-32332.pdf 811-10479 2016-10-26 Order of Deregistration Orders A&Q Event Fund LLC N/A IC-32333 https://www.sec.gov/rules/icdereg/2016/ic-32333.pdf 811-21516 2016-10-26 Order of Deregistration Orders A&Q Aggregated Alpha Strategies Fund LLC N/A IC-32334 https://www.sec.gov/rules/icdereg/2016/ic-32334.pdf 811-10527 2016-10-26 Order of Deregistration Orders A&Q Equity Opportunity Fund LLC N/A IC-32335 https://www.sec.gov/rules/icdereg/2016/ic-32335.pdf 811-07737 2016-10-26 Order of Deregistration Orders Purisima Funds N/A IC-32336 https://www.sec.gov/rules/icdereg/2016/ic-32336.pdf 811-21054 2016-10-26 Order of Deregistration Orders Blackrock Municipal Bond Investment Trust N/A IC-32337 https://www.sec.gov/rules/icdereg/2016/ic-32337.pdf 811-23041 2016-10-26 Order of Deregistration Orders Redmond Reinsurance Investment Interval Fund N/A IC-32338 https://www.sec.gov/rules/ic/2016/ic-32338.pdf 812-14652 2016-10-26 Notice of Application Notice Hartford Mutual Funds, Inc., et al. http://www.federalregister.gov/citation/81-FR-75874 81-FR-75874 IC-32339 https://www.sec.gov/rules/proposed/2016/34-79164.pdf 34-79164 S7-24-16 2016-10-26 Proposed Rule Proposed Rule Universal Proxy http://www.federalregister.gov/citation/81-FR-79122 81-FR-79122 IC-32340 https://www.sec.gov/rules/ic/2016/ic-32340.pdf 812-14472 2016-10-27 Notice Notice NF Investment Corp., et al. http://www.federalregister.gov/citation/81-FR-76395 81-FR-76395 IC-32341 https://www.sec.gov/litigation/opinions/2016/33-10240.pdf 33-10240 34-79177 3-16229 3-16227 2016-10-27 Order Scheduling Briefs Orders Osborn, Gregory N/A IC-32342 https://www.sec.gov/rules/icdereg/2016/ic-32342.pdf 811-22701 811-21571 811-5160 811-22891 811-05717 811-04430 811-21533 811-07740 2016-10-28 Notice Notice Arden Investment Series Trust Roge Partners fund Dreyfus New York AMT-Free Municipal Money Market fund Little Harbor MultiStrategy Composite Fund Dreyfus Worldwide Dollar Money Market fund, Inc. Dreyfus One Hundred Percent US Treasury Money Market fund Western Asset Inflation Management Fund Inc. Western Asset 2008 Worldwide Dollar Government Term Trust Inc. http://www.federalregister.gov/citation/81-FR-76670 81-FR-76670 IC-32343 https://www.sec.gov/alj/aljdec/2016/34-79191.pdf 34-79191 IA-4561 3-16463 2016-10-28 Notice That Initial Decision Has Become Final Notice Aegis Capital, LLC Circle One Wealth Management, LLC N/A IC-32344 https://www.sec.gov/litigation/admin/2016/34-79195.pdf 34-79195 3-17652 2016-10-31 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Shermeta, Nicholas H. Napa Properties, LLC N/A IC-32345 https://www.sec.gov/litigation/admin/2016/34-79207.pdf 34-79207 3-17657 2016-11-01 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Smith, Gregory J. N/A IC-32346 https://www.sec.gov/litigation/admin/2016/34-79208.pdf 34-79208 3-17658 2016-11-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Morley, Ronald D. The New Wealth, LLC N/A IC-32347 https://www.sec.gov/rules/ic/2016/ic-32347.pdf 812-14609 2016-11-01 Order Orders Harris Associates Investment Trust, et al. N/A IC-32348 https://www.sec.gov/rules/ic/2016/ic-32348.pdf 812-14680-01 2016-11-01 Order Orders The Bank of New York Mellon Trust company, et al. N/A IC-32349 https://www.sec.gov/rules/ic/2016/ic-32349.pdf 812-14452 2016-11-01 Order Orders Terra Income Fund 6, Inc. Terra Secured Income Fund, LLC Terra Secured Income Fund 2, LLC Terra Secured Income Fund 3, LLC Terra Secured Income Fund 5, LLC Terra Property Trust, Inc. N/A IC-32350 https://www.sec.gov/rules/ic/2016/ic-32350.pdf 812-14592 2016-11-01 Order Orders Hartford Funds Exchange-Traded Trust Hartford Funds Management Company, LLC Hartford Funds Distributors, LLC 5 Randor Corporate Center N/A IC-32351 https://www.sec.gov/rules/ic/2016/ic-32351.pdf 812-14633 2016-11-01 Notice Notice Prudential ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-78228 81-FR-78228 IC-32352 https://www.sec.gov/litigation/opinions/2016/33-10244.pdf 33-10244 34-79217 IA-4563 3-15617 2016-11-01 Order Granting Partial Stay Orders Grossman, Larry C. N/A IC-32353 https://www.sec.gov/rules/ic/2016/ic-32353.pdf 812-14654 2016-11-07 Notice Notice Boston Trust & Waledn Funds, et al http://www.federalregister.gov/citation/81-FR-79548 81-FR-79548 IC-32354 https://www.sec.gov/rules/ic/2016/ic-32354.pdf 812-14583 2016-11-07 Order Orders DO NOT POST Legg Mason Global Asset Management Trust, et al. N/A IC-32354A https://www.sec.gov/rules/ic/2016/ic-32354a.pdf 812-14583 2016-11-07 Order Orders Legg Mason Global Asset Management Trust, et al. N/A IC-32355 https://www.sec.gov/rules/ic/2016/ic-32355.pdf 812-14594 2016-11-09 Order Orders First Investors Equity Funds First Investors Income Funds First Investors Life Series Funds First Investors Tax Exempt Funds Foresters Investment Management Company, Inc. N/A IC-32356 https://www.sec.gov/litigation/admin/2016/33-10250.pdf 33-10250 34-79280 IA-4567 3-17672 2016-11-10 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Todd, Derik J. Madison Capital Energy Income Fund II GP LLC Big Horn Minerals LLC Madison Capital Investments LLC Madison Royalty Management LLC N/A IC-32357 https://www.sec.gov/rules/ic/2016/ic-32357.pdf 812-14558 2016-11-10 Order Orders State Farm Associates' Funds Trust, et al. N/A IC-32358 https://www.sec.gov/rules/ic/2016/ic-32358.pdf 812-14508 2016-11-10 Order Orders ETF Managers Group LLC et al. N/A IC-32359 https://www.sec.gov/rules/ic/2016/ic-32359.pdf 812-14619 2016-11-16 Order Orders Nuveen Fund Advisors, LLC, et al. N/A IC-32360 https://www.sec.gov/rules/ic/2016/ic-32360.pdf 812-14547 2016-11-16 Notice Notice Legg Mason ETF Equity Trust, et al. http://www.federalregister.gov/citation/81-FR-83899 81-FR-83899 IC-32361 https://www.sec.gov/rules/ic/2016/ic-32361.pdf 812-14542 2016-11-18 Order Orders ALMA Market Linked Trust, et al. N/A IC-32362 https://www.sec.gov/rules/ic/2016/ic-32362.pdf 812-14472 2016-11-22 Order Orders NF Investment Corp., et al. N/A IC-32363 https://www.sec.gov/rules/ic/2016/ic-32363.pdf 812-14485 2016-11-22 Notice of Application Notice OWLshares Trust, et al. http://www.federalregister.gov/citation/81-FR-86055 81-FR-86055 IC-32364 https://www.sec.gov/rules/ic/2016/ic-32364.pdf 812-14652 2016-11-22 Order Orders Hartford Mutual Funds, Inc., et al. N/A IC-32365 https://www.sec.gov/rules/icdereg/2016/ic-32365.pdf 811-22701 2016-11-23 Order Orders Arden Investment Series Trust N/A IC-32366 https://www.sec.gov/rules/icdereg/2016/ic-32366.pdf 811-05160 2016-11-23 Order Orders Dreyfus New York AMT-Free Municipal Money Market Fund N/A IC-32367 https://www.sec.gov/rules/icdereg/2016/ic-32367.pdf 811-05717 2016-11-23 Order Orders Dreyfus Worldwide Dollar Money Market Fund, Inc. N/A IC-32368 https://www.sec.gov/rules/icdereg/2016/ic-32368.pdf 811-21571 2016-11-23 Order Orders Roge Partners Fund N/A IC-32369 https://www.sec.gov/rules/icdereg/2016/ic-32369.pdf 811-22891 2016-11-23 Order Orders Little Harbor Multistrategy Composite Fund N/A IC-32370 https://www.sec.gov/rules/icdereg/2016/ic-32370.pdf 811-04430 2016-11-23 Order Orders Dreyfus One Hundred Percent US Treasury Money Market Fund N/A IC-32371 https://www.sec.gov/rules/icdereg/2016/ic-32371.pdf 811-21533 2016-11-23 Order Orders Western Asset Inflation Management Fund Inc. N/A IC-32372 https://www.sec.gov/rules/icdereg/2016/ic-32372.pdf 811-07740 2016-11-23 Order Orders Western Asset 2008 Worldwide Dollar Government Term Trust Inc. N/A IC-32373 https://www.sec.gov/rules/icdereg/2016/ic-32373.pdf 811-03700 811-08788 2016-11-28 Notice Notice Dreyfus/ Laurel Tax-Free Municipal Funds Templeton Russia and East European Fund, Inc. http://www.federalregister.gov/citation/81-FR-87109 81-FR-87109 IC-32374 https://www.sec.gov/rules/ic/2016/ic-32374.pdf 812-14633 2016-11-30 Order Orders Prudential ETF Trust, et al. N/A IC-32375 https://www.sec.gov/rules/ic/2016/ic-32375.pdf 812-14685 2016-12-01 Notice of Application Notice CWM Advisors, LLC, et al. http://www.federalregister.gov/citation/81-FR-88300 81-FR-88300 IC-32376 https://www.sec.gov/litigation/admin/2016/ia-4577.pdf IA-4577 3-17701 2016-12-01 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Pacific Investment Management Company LLC N/A IC-32377 https://www.sec.gov/rules/ic/2016/ic-32377.pdf 812-14654 2016-12-02 Order Orders The Boston Trust & Walden Funds Boston Trust Investment Management, Inc. N/A IC-32378 https://www.sec.gov/rules/ic/2016/ic-32378.pdf 812-14299 2016-12-05 Order Permitting Withdrawal of Application Orders Advisors Series Trust et al. N/A IC-32379 https://www.sec.gov/rules/ic/2016/ic-32379.pdf 812-14721 2016-12-06 Notice of Application and Temporary Order. Notice Stifel, Nicolaus & Co., Inc. http://www.federalregister.gov/citation/81-FR-89999 81-FR-89999 IC-32380 https://www.sec.gov/litigation/admin/2016/ia-4584.pdf IA-4584 3-17713 2016-12-07 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Garrison, Harold N/A IC-32381 https://www.sec.gov/rules/ic/2016/ic-32381.pdf 812-14605 2016-12-07 Notice of Application Notice Fidus Investment Corporation, et al. http://www.federalregister.gov/citation/81-FR-90026 81-FR-90026 IC-32382 https://www.sec.gov/rules/ic/2016/ic-32382.pdf 812-14219 2016-12-07 Notice of Application Notice Goldman Sachs BDC, Inc., et al. http://www.federalregister.gov/citation/81-FR-90021 81-FR-90021 IC-32383 https://www.sec.gov/litigation/admin/2016/33-10264.pdf 33-10264 34-79507 3-17716 2016-12-08 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing AP Litigated Baker, Robert L. Herrera, Jacob B. Bowen, Michael D. Ballard, Terrance A. N/A IC-32384 https://www.sec.gov/rules/ic/2016/ic-32384.pdf 812-14543 2016-12-08 Notice of Application Notice ALAIA Market Linked Trust and Beech Hill Securities, Inc. http://www.federalregister.gov/citation/81-FR-90390 81-FR-90390 IC-32385 https://www.sec.gov/rules/ic/2016/ic-32385.pdf 812-14446 2016-12-08 Notice of Application Notice Hartford Life Insurance Company, et al. http://www.federalregister.gov/citation/81-FR-90398 81-FR-90398 IC-32386 https://www.sec.gov/rules/ic/2016/ic-32386.pdf 812-14447 2016-12-08 Notice of Application Notice Hartford Life Insurance Company, et al. http://www.federalregister.gov/citation/81-FR-90394 81-FR-90394 IC-32387 https://www.sec.gov/rules/final/2016/33-10265.pdf 33-10265 34-79519 39-2513 2016-12-09 Final Rule Final Rule Revisions to the EDGAR Filer Manual, Volume I and Volume II http://www.federalregister.gov/citation/82-FR-7645 82-FR-7645 IC-32388 https://www.sec.gov/litigation/admin/2016/34-79521.pdf 34-79521 IA-4586 3-17718 2016-12-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled Stuthers, Donald M. N/A IC-32389 https://www.sec.gov/rules/ic/2016/ic-32389.pdf 812-14663 2016-12-12 Notice of Application Notice Alpha Architect ETF Trust, et al. http://www.federalregister.gov/citation/81-FR-91215 81-FR-91215 IC-32390 https://www.sec.gov/litigation/admin/2016/ic-32390.pdf 3-17720 2016-12-12 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order AP Settled State Street Bank and Trust Company N/A IC-32391 https://www.sec.gov/rules/ic/2016/ic-32391.pdf 812-14547 2016-12-13 Order Orders Legg Mason ETF Equity Trust Legg Mason ETF Trust Legg Mason Partners Fund Advisor, LLC Legg Mason Investor Services N/A IC-32392 https://www.sec.gov/rules/ic/2016/ic-32392.pdf 812-14653 2016-12-14 Notice Notice Equus Total Return, Inc. http://www.federalregister.gov/citation/81-FR-92897 81-FR-92897 IC-32393 https://www.sec.gov/rules/ic/2016/ic-32393.pdf 812-14606 2016-12-14 Notice Notice Minnesota Life Insurance Company, et al. http://www.federalregister.gov/citation/81-FR-92891 81-FR-92891 IC-32394 https://www.sec.gov/litigation/admin/2016/34-79568.pdf 34-79568 IA-4588 3-17217 2016-12-15 Order Making Findings, and Imposing Remedial Sanctions AP Settled TPG Advisors, LLC (d/b/a The Phillips Group Advisors) Phillips, Larry M. N/A IC-32395 https://www.sec.gov/rules/ic/2016/ic-32395.pdf 812-14595 2016-12-19 Notice of Application Notice Delaware Management Business Trust, et al. http://www.federalregister.gov/citation/81-FR-94457 81-FR-94457 IC-32396 https://www.sec.gov/rules/ic/2016/ic-32396.pdf 812-14485 2016-12-20 Order Orders OWLashares Trust et al. New Millennium Marco LLC. OWLshares Advisors ALPS Distributors, INC. N/A IC-32397 https://www.sec.gov/litigation/admin/2016/ia-4591.pdf IA-4591 3-17740 2016-12-20 Order Instituting Administrative and Cease-and-Desist Proceedings AP Litigated Augustine Capital Management, LLC f/k/a Augustine Capital Management, Inc. Porter, John T. Duszynski, Thomas F. CPA N/A IC-32398 https://www.sec.gov/rules/ic/2016/ic-32398.pdf 812-14603 2016-12-21 Notice of application Notice Virtus Alternative Solutions Trust, et al. http://www.federalregister.gov/citation/81-FR-95690 81-FR-95690 IC-32399 https://www.sec.gov/rules/ic/2016/ic-32399.pdf 812-13603 2016-12-21 Notice of application Notice Ares Capital Corporation, et al http://www.federalregister.gov/citation/81-FR-95680 81-FR-95680 IC-32400 https://www.sec.gov/rules/ic/2016/ic-32400.pdf 812-14676 2016-12-21 Notice of Application Notice Transamerica Funds, et al. http://www.federalregister.gov/citation/81-FR-95663 81-FR-95663 IC-32401 https://www.sec.gov/rules/ic/2016/ic-32401.pdf 812-14690 2016-12-23 Notice of application Notice Northern Lights Fund Trust IV Blue Sky Asset Management LLC http://www.federalregister.gov/citation/81-FR-96537 81-FR-96537 IC-32402 https://www.sec.gov/rules/icdereg/2016/ic-32402.pdf 812-03700 2016-12-27 Order Orders Dreyfus/Laurel Tax-Free Municipal Funds N/A IC-32403 https://www.sec.gov/rules/icdereg/2016/ic-32403.pdf 811-08788 2016-12-27 Order Orders Templeton Russia and East European Fund, Inc. N/A IC-32404 https://www.sec.gov/rules/ic/2016/ic-32404.pdf 812-14685 2016-12-28 Order for Exemption Orders CWM Advisors, LLC Northern Lights Fund Trust IV N/A IC-32405 https://www.sec.gov/rules/ic/2016/ic-32405.pdf 812-14655 2016-12-28 Notice of application Notice Morgan Stanley ETF Trust, et al. http://www.federalregister.gov/citation/82-FR-890 82-FR-890 IC-32406 https://www.sec.gov/rules/ic/2016/ic-32406.pdf 812-14622 2016-12-29 Notice of application Notice DFA Investment Dimensions Group, Inc. et al. http://www.federalregister.gov/citation/82-FR-1397 82-FR-1397 IC-32407 https://www.sec.gov/rules/icdereg/2016/ic-32407.pdf 811-22178 811-05207 811-22523 811-22785 811-22789 811-02340 811-01920 811-22080 811-22588 811-07066 811-08338 811-07162 811-07812 811-08359 811-22552 2016-12-30 Notice of Applications for Deregistration Notice Davlin Philanthropic Funds AllianceBernstein Income Fund, Inc. 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N/A ID-1008 https://www.sec.gov/alj/aljdec/2016/id1008jeg.pdf 3-16937 2016-05-10 Initial Decision Initial Decision Murray, James Michael N/A ID-1009 https://www.sec.gov/alj/aljdec/2016/id1009bpm.pdf 3-17160 2016-05-10 Initial Decision on Default Initial Decision GEO Global Group, LTD. (F/K/A Geo Genesis Group, Ltd.) N/A ID-1010 https://www.sec.gov/alj/aljdec/2016/id1010cff.pdf 3-17202 2016-05-10 Initial Decision Making Findings and Revoking Registration by Default Initial Decision Numida, Inc. Expleo Solutions, Inc. N/A ID-1011 https://www.sec.gov/alj/aljdec/2016/id1011jsp.pdf 3-17185 2016-05-11 Initial Decision of Default Initial Decision Rings to Dine For, Inc. N/A ID-1012 https://www.sec.gov/alj/aljdec/2016/id1012ce.pdf 3-17222 2016-05-17 Initial Decision of Default Initial Decision DoT VN, Inc. Global Health Voyager, Inc. N/A ID-1013 https://www.sec.gov/alj/aljdec/2016/id1013jsp.pdf 3-17209 2016-05-19 Initial Decision of Default Initial Decision Myriad International, Inc. Mondeo Investments, Inc. MPEG Super Site, Inc. N/A ID-1014 https://www.sec.gov/alj/aljdec/2016/id1014cff.pdf 3-16926 2016-05-27 Initial Decision Initial Decision Burton, Robert N/A ID-1015 https://www.sec.gov/alj/aljdec/2016/id1015bpm.pdf 3-15350 2016-06-01 Initial Decision Initial Decision Securities Industry and Financial Markets Association N/A ID-1016 https://www.sec.gov/alj/aljdec/2016/id1016jsp.pdf 3-17236 2016-06-02 Initial Decision of Default Initial Decision Pioneer Exploration, Inc. Private Media Group, Inc. Premier Brands, Inc. N/A ID-1017 https://www.sec.gov/alj/aljdec/2016/id1017jeg.pdf 3-17223 2016-06-03 Initial Decision of Default Initial Decision Gold Hills Mining, Ltd. Medisafe 1 Technologies Corp Massive Dynamics, Inc. MDU Communications International, Inc. N/A ID-1018 https://www.sec.gov/alj/aljdec/2016/id1018bpm.pdf 3-16946 2016-06-03 Initial Decision Initial Decision Price, George Charles Cody N/A ID-1019 https://www.sec.gov/alj/aljdec/2016/id1019jsp.pdf 3-17237 2016-06-03 Initial Decision of Default Initial Decision Harbor Island Development Corp. Medical Makeover Corp. of America Shades Holdings, Inc. Coyote Resources, Inc. N/A ID-1020 https://www.sec.gov/alj/aljdec/2016/id1020jeg.pdf 3-16972 2016-06-06 Initial Decision Initial Decision Cooper, Brett A. N/A ID-1021 https://www.sec.gov/alj/aljdec/2016/id1021ce.pdf 3-16989 2016-06-07 Initial Decision of Default Initial Decision Nevatia, Vinay Kumar N/A ID-1022 https://www.sec.gov/alj/aljdec/2016/id1022ce.pdf 3-17013 2016-06-07 Initial Decision Initial Decision St. Germain, Willard R. Perres, Allen M. N/A ID-1023 https://www.sec.gov/alj/aljdec/2016/id1023ce.pdf 3-17241 2016-06-07 Initial Decision of Default Initial Decision EQC02, Inc. Hondo Minerals Corp. Liberty Gold Corp. N/A ID-1024 https://www.sec.gov/alj/aljdec/2016/id1024jsp.pdf 3-17247 2016-06-07 Initial Decision of Default Initial Decision Li-Ion Motors Corp. (a/ka/ Terra Inventions Corp.) PetroHunter Energy Corp. Shrink Nanotechnologies, Inc. N/A ID-1025 https://www.sec.gov/alj/aljdec/2016/id1025jeg.pdf 3-17037 2016-06-13 Initial Decision of Default Initial Decision Palmer, Wayne L. N/A ID-1026 https://www.sec.gov/alj/aljdec/2016/id1026jsp.pdf 3-17242 2016-06-20 Initial Decision of Default Initial Decision Rush Exploration, Inc. Giant Resources, Inc. N/A ID-1027 https://www.sec.gov/alj/aljdec/2016/id1027jeg.pdf 3-17248 2016-06-20 Initial Decision of Default Initial Decision Northcore Technologies, Inc. Groveware Technologies Ltd Luve Sports, Inc. N/A ID-1028 https://www.sec.gov/alj/aljdec/2016/id1028jsp.pdf 3-17259 2016-06-21 Initial Decision of Default Initial Decision Hauge Techonology, Inc. GreenPower International Group Ltd. N/A ID-1029 https://www.sec.gov/alj/aljdec/2016/id1029jsp.pdf 3-17258 2016-06-22 Initial Decision of Default Initial Decision China Unistone Acquisition Corp. Ideal Restaurant Group, Inc. N/A ID-1030 https://www.sec.gov/alj/aljdec/2016/id1030cff.pdf 3-16594 2016-06-27 Initial Decision Initial Decision Equity Trust Company N/A ID-1031 https://www.sec.gov/alj/aljdec/2016/id1031jsp.pdf 3-17266 2016-06-28 Initial Decision Initial Decision China VantagePoint Acquisition Co. Solis Pharma US, Inc. Citizens Community Bancorp, Inc. N/A ID-1032 https://www.sec.gov/alj/aljdec/2016/id1032cff.pdf 3-17003 2016-07-08 Initial Decision Initial Decision Eichler, Peter J., Jr. N/A ID-1033 https://www.sec.gov/alj/aljdec/2016/id1033jeg.pdf 3-16801 2016-07-11 Initial Decision Initial Decision Bennett Group Financial Services, LLC Bennett, Dawn J. N/A ID-1034 https://www.sec.gov/alj/aljdec/2016/id1034bpm.pdf 3-17256 2016-07-11 Initial Decision Initial Decision Dragon Bright Mintai Botanical Technology Cayman Ltd. Jinaznguang Tibet Pharmaceuticals, Inc. Macau Resources Group Ltd. N/A ID-1035 https://www.sec.gov/alj/aljdec/2016/id1035bpm.pdf 3-17255 2016-07-11 Initial Decision Initial Decision China Heli Resource Renewable, Inc. Bodisen Biotech, Inc. China Global Media, Inc. GFR Pharmaceuticals, Inc. N/A ID-1036 https://www.sec.gov/alj/aljdec/2016/id1036ce.pdf 3-17004 2016-07-14 Initial Decision Initial Decision Sellers, Deven Barrera, Roland N/A ID-1037 https://www.sec.gov/alj/aljdec/2016/id1037jsp.pdf 3-17302 2016-07-19 Initial Decision of Default Initial Decision Pivotal Group, Inc. Medisys Technologies, Inc. New Day Financial Management, Inc. N/A ID-1038 https://www.sec.gov/alj/aljdec/2016/id1038jeg.pdf 3-17282 2016-07-19 Initial Decision of Default Initial Decision Eric B. Global Ventures, Inc. Parallax Diagnostics, Inc. Secure Digital, Inc. N/A ID-1039 https://www.sec.gov/alj/aljdec/2016/id1039jeg.pdf 3-17292 2016-07-20 Initial Decision of Default Initial Decision Echo Automotive, Inc. Cascade Technologies Corp. Vision Industries Corp. N/A ID-1040 https://www.sec.gov/alj/aljdec/2016/id1040jeg.pdf 3-17293 2016-07-27 Initial Decision Initial Decision Nord Resources Corporation UNR Holdings, Inc. Emperial Americas, Inc. Anoteros, Inc. N/A ID-1041 https://www.sec.gov/alj/aljdec/2016/id1041jsp.pdf 3-17309 2016-07-27 Initial Decision Initial Decision Petaquilla Minerals Ltd. Coastal Pacific Mining Corp. N/A ID-1042 https://www.sec.gov/alj/aljdec/2016/id1042bpm.pdf 3-17020 2016-07-29 Initial Decision Initial Decision Dalmy, Diane D., Esq. N/A ID-1043 https://www.sec.gov/alj/aljdec/2016/id1043bpm.pdf 3-17032 2016-08-04 Initial Decision on Default Initial Decision REON Holdings, Inc. N/A ID-1044 https://www.sec.gov/alj/aljdec/2016/id1044bpm.pdf 3-17035 2016-08-05 Initial Decision Initial Decision Desai, Shreyans N/A ID-1045 https://www.sec.gov/alj/aljdec/2016/id1045jsp.pdf 3-17327 2016-08-12 Initial Decision of Default Initial Decision Neptune Acquisiton Corp. Segway IV Corp. Easy Health Technologies Ltd. N/A ID-1046 https://www.sec.gov/alj/aljdec/2016/id1046bpm.pdf 3-17311 2016-08-16 Initial Decision on Default Initial Decision Rebornne (USA) Inc. N/A ID-1047 https://www.sec.gov/alj/aljdec/2016/id1047cff.pdf 3-17049 2016-08-16 Initial Decision Initial Decision Rahfco Management Group, LLC N/A ID-1048 https://www.sec.gov/alj/aljdec/2016/id1048bpm.pdf 3-17307 2016-08-22 Initial Decision of Default Initial Decision Galileo Petroleum Ltd. Hyperion Acquisition Corp. Satori Beverages International, Ltd. N/A ID-1049 https://www.sec.gov/alj/aljdec/2016/id1049cff.pdf 3-17310 2016-08-23 Initial Decision Making Findings and Revoking Registrations by Default Orders Caspian International Oil Corporation Elevate, Inc. Frawley Corporation Groen Brothers Aviation, Inc. Logic Devices, Incorporated N/A ID-1050 https://www.sec.gov/alj/aljdec/2016/id1050jsp.pdf 3-17351 2016-08-23 Initial Decision of Default Initial Decision Great Basin Gold Limited N/A ID-1051 https://www.sec.gov/alj/aljdec/2016/id1051jeg.pdf 3-16509 2016-08-23 Initial Decision Initial Decision Daspin, Edward M. Agostini, Luigi Lux, Lawrence R. N/A ID-1052 https://www.sec.gov/alj/aljdec/2016/id1052cff.pdf 3-17115 2016-08-23 Initial Decision Initial Decision Schooler, Louis V. N/A ID-1053 https://www.sec.gov/alj/aljdec/2016/id1053jeg.pdf 3-16463 2016-09-07 Initial Decision of Default Initial Decision Aegis Capital, LLC Circle One Wealth Management, LLC N/A ID-1054 https://www.sec.gov/alj/aljdec/2016/id1054cff.pdf 3-16949 2016-09-08 Initial Decision Initial Decision Shah, Sandip N/A ID-1055 https://www.sec.gov/alj/aljdec/2016/id1055jsp.pdf 3-17336 2016-09-12 Initial Decision of Default Initial Decision Breitling Energy Corporation N/A ID-1056 https://www.sec.gov/alj/aljdec/2016/id1056jsp.pdf 3-17366 2016-09-13 Initial Decision of Default as to Two Respondents Initial Decision Capitol City Bancshares, Inc. Chang-on International, Inc. Computer Graphics International Inc. John D. Oil and Gas Company Legal Life Plans, Inc. Powder River Coal Corp. N/A ID-1057 https://www.sec.gov/alj/aljdec/2016/id1057jeg.pdf 3-17376 2016-09-14 Initial Decision of Default Initial Decision Eastland Financial Corp. Granite Cliffs, Incorporated Greater Asia Realty Holdings, Ltd N/A ID-1058 https://www.sec.gov/alj/aljdec/2016/id1058jsp.pdf 3-17346 2016-09-14 Initial Decision of Default Initial Decision Franklin Bank Corporation N/A ID-1059 https://www.sec.gov/alj/aljdec/2016/id1059jsp.pdf 3-17353 2016-09-14 Initial Decision of Default as to Three Respondents Initial Decision Scanner Technologies Corp. Seville Ventures Corp. Starinvest Group, Inc. Digital Development Group Corp. N/A ID-1060 https://www.sec.gov/alj/aljdec/2016/id1060bpm.pdf 3-17350 2016-09-16 Initial Decision of Default/Initial Decision Initial Decision ALGOREX CORPORATION CANADIAN PIPER AIR CORP CAPITAL AND SERVICES, INC. NP ENERGY CORPORATION N/A ID-1061 https://www.sec.gov/alj/aljdec/2016/id1061cff.pdf 3-17252 2016-09-16 Initial Decision of Default/Making Findings and Imposing Sanction by Default Initial Decision Von Hase, Stephan N/A ID-1062 https://www.sec.gov/alj/aljdec/2016/id1062ce.pdf 3-17375 2016-10-06 Initial Decision of Default Initial Decision Ameralink, Inc. Basin Industries, Inc. Claire Coast Corporation Clinicorp, Inc. (n/k/a Trident Medical Concepts, Inc.) N/A ID-1063 https://www.sec.gov/alj/aljdec/2016/id1063jsp.pdf 3-17381 2016-10-06 Initial Decision Initial Decision Safecode Drug Technologies Corp. N/A ID-1064 https://www.sec.gov/alj/aljdec/2016/id1064jsp.pdf 3-17514 2016-10-07 Initial Decision of Default Initial Decision ILIO, Inc. Industrial Imaging Corporation Jackray Corporation N/A ID-1065 https://www.sec.gov/alj/aljdec/2016/id1065jeg.pdf 3-17293 2016-10-12 Initial Decision Orders Advanced Life Sciences Holdings, Inc. N/A ID-1066 https://www.sec.gov/alj/aljdec/2016/id1066bpm.pdf 3-17363 2016-10-14 Initial Decision Initial Decision Sand International, Inc. N/A ID-1067 https://www.sec.gov/alj/aljdec/2016/id1067bpm.pdf 3-17374 2016-10-14 Initial Decision on Default Initial Decision Dominion Minerals Corp. Foxwedge, Inc. Harrington Resources, Inc. Juniper Acquisition Corporation Nexus Data Security Corp. N/A ID-1068 https://www.sec.gov/alj/aljdec/2016/id1068ce.pdf 3-17383 2016-10-14 Initial Decision of Default Initial Decision Dynamic Ventures Corp. N/A ID-1069 https://www.sec.gov/alj/aljdec/2016/id1069cff.pdf 3-17543 2016-10-17 Initial Decision Making Findings and Revoking Registrations by Default Initial Decision Affordable Green Homes International Jilco Industries, Inc. TMP Land Mortgage Fund, Ltd. a California Limited Partnership N/A ID-1070 https://www.sec.gov/alj/aljdec/2016/id1070cff.pdf 3-17519 2016-10-18 Initial Decision Making and Revoking Registrations by Default Orders Grace Development, Inc. Luxeyard, Inc. Superdirectories, Inc. N/A ID-1071 https://www.sec.gov/alj/aljdec/2016/id1071jsp.pdf 3-17518 2016-10-24 Initial Decision of Default Initial Decision Multi-Corp. International, Inc. Sky Harvest Energy Corp. N/A ID-1072 https://www.sec.gov/alj/aljdec/2016/id1072jeg.pdf 3-17210 2016-10-27 Initial Decision of Default Initial Decision White, Paul Leon II N/A ID-1073 https://www.sec.gov/alj/aljdec/2016/id1073ce.pdf 3-17123 2016-10-28 Initial Decision of Default Initial Decision Ceyoniq AG (n/k/a Ceyoniq, Inc.) N/A ID-1074 https://www.sec.gov/alj/aljdec/2016/id1074jeg.pdf 3-17564 2016-10-31 Initial Decision of Default Initial Decision Amarillo Mesquite Grill, Inc. Global Opportunity Fund LP Healthrenu Medical, Inc. Hynes & Howes Insurance Counselors, Inc. N/A ID-1075 https://www.sec.gov/alj/aljdec/2016/id1075jeg.pdf 3-17218 2016-11-01 Initial Decision of Default Initial Decision Powell, Daniel Christian Stanley N/A ID-1076 https://www.sec.gov/alj/aljdec/2016/id1076bpm.pdf 3-17513 2016-11-03 Initial Decision of Default Initial Decision Fairfield Minerals, Ltd. Metal Storm Limited N/A ID-1077 https://www.sec.gov/alj/aljdec/2016/id1077bpm.pdf 3-17570 2016-11-07 Initial Decision of Default Initial Decision Medient Studios, Inc. a/k/a Moom River Studios, Inc. N/A ID-1078 https://www.sec.gov/alj/aljdec/2016/id1078jeg.pdf 3-17590 2016-11-09 Initial Decision of Default Orders Telestone Technologies Corp. US Fuel Corp. Victory Eagle Resources Corp. N/A ID-1079 https://www.sec.gov/alj/aljdec/2016/id1079jeg.pdf 3-17265 2016-11-09 Initial Decision Initial Decision Markusen, Steven R. N/A ID-1080 https://www.sec.gov/alj/aljdec/2016/id1080ce.pdf 3-17565 2016-11-09 Initial Decision of Default Initial Decision Capital Preferred Yield Fund-III, LP Clearly Canadian Beverage Corp. Diversinet Corp. N/A ID-1081 https://www.sec.gov/alj/aljdec/2016/id1081cff.pdf 3-17563 2016-11-14 Initial Decision Making Findings and Revoking Registration By Default Initial Decision AIC International Resources Corp. Stellar Metals, Inc. N/A ID-1082 https://www.sec.gov/alj/aljdec/2016/id1082cff.pdf 3-17589 2016-11-17 Initial Decision Making Findings and Revoking Registrations By Default Initial Decision Cantab Pharaceuticals PLC International Panorama Resource Corp. Zealous, Inc. (n/k/a Corestream Energy, Inc.) N/A ID-1083 https://www.sec.gov/alj/aljdec/2016/id1083ce.pdf 3-17591 2016-11-22 Initial Decision of Default Orders Sierra Resource Group, Inc. N/A ID-1084 https://www.sec.gov/alj/aljdec/2016/id1084jsp.pdf 3-17408 2016-12-01 Initial Decision of Default Initial Decision Global Earth Energy, Inc. N/A ID-1085 https://www.sec.gov/alj/aljdec/2016/id1085cff.pdf 3-17648 2016-12-01 Initial Decision Making Findings and Revoking Registrations by Default Initial Decision Q Lotus Holdings, Inc. Spare Backup, Inc. N/A ID-1086 https://www.sec.gov/alj/aljdec/2016/id1086jeg.pdf 3-17642 2016-12-01 Initial Decision of Default as to Three Respondents Initial Decision Cala Corporation China Huaren Organic Products, Inc. Daystar Technologies, Inc. Hangover Joe's Holding Corp. N/A ID-1087 https://www.sec.gov/alj/aljdec/2016/id1087cff.pdf 3-17577 2016-12-12 Initial Decision/Initial Decision Making Findings and Imposing Sanction by Default Orders Seibert, Robert N/A ID-1088 https://www.sec.gov/alj/aljdec/2016/id1088cff.pdf 3-17395 2016-12-12 Initial Decision Making Findings and Imposing Sanctions by Default Initial Decision Jones, Anthony Tyrone Jr. N/A ID-1089 https://www.sec.gov/alj/aljdec/2016/id1089ce.pdf 3-17104 2016-12-13 Initial Decision Initial Decision BioElecttronics Corp. Ibex, LLC St. John's LLC Whelan, Andrew J. Whelan, Kelly A. CPA Bedwell, Robert P. CPA N/A ID-1090 https://www.sec.gov/alj/aljdec/2016/id1090ce.pdf 3-15764 2016-12-16 Initial Decision Initial Decision McDuff, Gary L. N/A ID-1091 https://www.sec.gov/alj/aljdec/2016/id1091bpm.pdf 3-17659 2016-12-16 Initial Decision on Default as to Bill The Butcher, Inc. Initial Decision Bill the Butcher, Inc. Hitor Group, Inc. Xun Energy, Inc. N/A ID-1092 https://www.sec.gov/alj/aljdec/2016/id1092cff.pdf 3-15936 2016-12-19 Initial Decision Making Findings and Imposing Sanction by Default Initial Decision Christopher A.T. Pedras (a/k/a Chris Pedras a/k/a Antone Thomas Pedras) N/A ID-1093 https://www.sec.gov/alj/aljdec/2016/id1093ce.pdf 3-17641 2016-12-21 Initial Decision on Default Initial Decision Dynamic Response Group, Inc. Eagle Telephonics, Inc. Far East Energy Corporation N/A ID-1094 https://www.sec.gov/alj/aljdec/2016/id1094bpm.pdf 3-17680 2016-12-21 Initial Decision on Default Other Lustros, Inc. Med-X Systems, Inc. Kotego Inc. N/A ID-1095 https://www.sec.gov/alj/aljdec/2016/id1095bpm.pdf 3-17679 2016-12-22 Initial Decision on Default Orders Questrust Ventures, Inc. Zaring Homes, Inc. N/A ID-1096 https://www.sec.gov/alj/aljdec/2016/id1096jeg.pdf 3-17574 2016-12-30 Initial Decision of Default Orders Accell Brands, Inc. N/A ID-1097 https://www.sec.gov/alj/aljdec/2016/id1097jsp.pdf 3-17690 2016-12-30 Initial Decision of Default Orders MGN Technologies, Inc. N/A ID-1098 https://www.sec.gov/alj/aljdec/2016/id1098jeg.pdf 3-17649 2016-12-30 Initial Decision of Default Orders BioNovo, Inc. Interamerican Gaming, Inc. Spot Mobile International Ltd. N/A ID-1099 https://www.sec.gov/alj/aljdec/2016/id1099jeg.pdf 3-17683 2016-12-30 Initial Decision of Default Orders Harvey Westbury Corp. Intercore, Inc. Kkalex Corp. N/A ID-935 https://www.sec.gov/alj/aljdec/2016/id935cff.pdf 3-16354 2016-01-04 Initial Decision Initial Decision RTAG Inc. Scurlock, Richard Hampton, III Havanich, David B. Jr. Dellasala, Carmine A. Welch, Matthew D. d/b/a Retirement Tax Advisory Group Carrio, Jose F. Karasik, Dennis K. Carrio, Karasik & Associates, LLP Salovay, Michael J. N/A ID-936 https://www.sec.gov/alj/aljdec/2016/id936cff.pdf 3-16354 2016-01-04 Initial Decision Initial Decision Carrio, Karasik & Associates, LLP Carrio, Jose F. Karasik, Dennis K. Havanich, David B. Jr. Dellasala, Carmine A. Welch, Matthew D. Scurlock, Richard Hampton III RTAG Inc. Salovay, Michael J. N/A ID-937 https://www.sec.gov/alj/aljdec/2016/id937cff.pdf 3-16354 2016-01-04 Initial Decision Initial Decision Salovay, Michael J. Havanich, David B. Jr. Dellasala, Carmine A. Welch, Matthew D. Scurlock, Richard HAmpton III RTAG Inc. Carrio, Jose F. Karasik, Dennis K. Carrio, Karasik & Associates, LLP N/A ID-938 https://www.sec.gov/alj/aljdec/2016/id938ce.pdf 3-16962 2016-01-04 Initial Decision Initial Decision Games on Demand International, Inc. (a/k/a Firmware Technologies Inc.) Equity Ventures Group, Inc. N/A ID-939 https://www.sec.gov/alj/aljdec/2016/id939ce.pdf 3-16399 2016-01-05 Initial Decision Initial Decision Halpern & Associates LLC Barbara Halpern, CPA N/A ID-940 https://www.sec.gov/alj/aljdec/2016/id940jeg.pdf 3-16979 2016-01-11 Initial Decision of Default Initial Decision Cincinnati Regional Initiative Inc. (a/k/a Midwest Regional Authority, Inc., a/k/a Buffalo Capital II Ltd.) Display.IT Holdings PLC Dayton General Systems, Inc. Gali Global Holdings Ltd Ben Franklin Financial, Inc. (a/k/a Franklin Ben Financial, Inc.) N/A ID-941 https://www.sec.gov/alj/aljdec/2016/id941jsp.pdf 3-16311 2016-01-11 Initial Decision Initial Decision Dembski, Timothy S. N/A ID-942 https://www.sec.gov/alj/aljdec/2016/id942cff.pdf 3-17007 2016-01-20 Initial Decision Making Findings and Revoking Registrations by Default Initial Decision E-Gold Group, Inc. ESCO, Inc. Dome Holding Corp. Fortune Pharmaceutical, Inc. N/A ID-943 https://www.sec.gov/alj/aljdec/2016/id943jsp.pdf 3-17006 2016-01-20 Initial Decision of Default Initial Decision Expect the Best, Inc. Elf, Inc. First Omega of Louisiana, Inc. Dewpoint Environmental, Inc. Earth Energy Reserves, Inc. DLR Funding, Inc. N/A ID-944 https://www.sec.gov/alj/aljdec/2016/id944bpm.pdf 3-16990 2016-01-21 Initial Decision on Default Initial Decision Geocan Energy Inc. (a/k/a Arsenal Energy Inc.) Consolidated Global Minerals Ltd. Cadan Resources Corp. Doreal Energy Corp. N/A ID-945 https://www.sec.gov/alj/aljdec/2016/id945cff.pdf 3-16525 2016-01-27 Initial Decision Initial Decision RKO Resources, Inc. (a/k/a Shamika 2 Gold, Inc.) N/A ID-946 https://www.sec.gov/alj/aljdec/2016/id946cff.pdf 3-17019 2016-01-29 Initial Decision Making Findings and Revoking Registrations by Default Initial Decision USChina Venture I, Inc. USChina Venture II, Inc. N/A ID-947 https://www.sec.gov/alj/aljdec/2016/id947bpm.pdf 3-16980 2016-02-01 Initial Decision on Default Initial Decision Fox Energy Corp. N/A ID-948 https://www.sec.gov/alj/aljdec/2016/id948bpm.pdf 3-17028 2016-02-02 Initial Decision on Default Initial Decision Zhong Wen International Holding Co., Ltd. N/A ID-949 https://www.sec.gov/alj/aljdec/2016/id949ce.pdf 3-17014 2016-02-03 Initial Decision of Default Initial Decision Musgrove Minerals Corp. Bravo Resource Partners, Ltd. First Potash Corp. HIP Energy Corporation N/A ID-950 https://www.sec.gov/alj/aljdec/2016/id950bpm.pdf 3-17032 2016-02-03 Initial Decision on Default Initial Decision Cotton Bay Holdings, Inc. Buncombe, Inc. Middlesex Inc. N/A ID-951 https://www.sec.gov/alj/aljdec/2016/id951jsp.pdf 3-16136 2016-02-03 Initial Decision Initial Decision Silica Resources Corp. Dong Xin Chemicals Co., Ltd. SK Shasta Acquisition Corp. 3 Corridor Ventures II Acquisition Corp. SK Shasta Acquisition Corp. 4 SK Shasta Acquisition Corp. 2 Sino Oil & Gas Pipe Holdings Ltd. SK Shasta Acquisition Corp. 1 N/A ID-952 https://www.sec.gov/alj/aljdec/2016/id952cff.pdf 3-17015 2016-02-04 Initial Decision Making Findings And Revoking Registrations By Default Initial Decision Black Castle Developments Holdings, Inc. (n/k/a ingXABO Corporation) Viper Powersports, Inc. Strike Axe, Inc. Bioject Medical Technologies, Inc. Catalyst Resource Group, Inc. SSI International Ltd. N/A ID-953 https://www.sec.gov/alj/aljdec/2016/id953jsp.pdf 3-16318 2016-02-08 Initial Decision Initial Decision Panam Terra, Inc. Crow, Michael W. Clug, Alexandre S. Aurum Mining, LLC The Corsair Group, Inc. N/A ID-954 https://www.sec.gov/alj/aljdec/2016/id954jeg.pdf 3-17025 2016-02-09 Initial Decision of Default Initial Decision Yayi International, Inc. N/A ID-955 https://www.sec.gov/alj/aljdec/2016/id955bpm.pdf 3-17010 2016-02-09 Initial Decision on Default Initial Decision Scription Work Solutions, Inc. (f/k/a Transtech Solutions, Inc.) N/A ID-956 https://www.sec.gov/alj/aljdec/2016/id956bpm.pdf 3-16991 2016-02-09 Initial Decision on Default Initial Decision DST Media, Inc. Downer's Gap, Inc. (a/k/a Downers Gap, Inc.) Lazare Kaplan International, Inc. N/A ID-957 https://www.sec.gov/alj/aljdec/2016/id957ce.pdf 3-17039 2016-02-10 Initial Decision of Default Initial Decision Dalian Capital Group, Inc. Corvair Resources Inc. Cinema Internet Networks Inc. (a/k/a Quentin Ventures Ltd.) Denver Resources Inc. N/A ID-958 https://www.sec.gov/alj/aljdec/2016/id958jeg.pdf 3-16498 2016-02-10 Initial Decision Initial Decision Schalk, Russell C., Jr. N/A ID-959 https://www.sec.gov/alj/aljdec/2016/id959cff.pdf 3-16668 2016-02-11 Initial Decision Initial Decision Davey, Jonathan D., CPA N/A ID-960 https://www.sec.gov/alj/aljdec/2016/id960ce.pdf 3-17044 2016-02-11 Initial Decision of Default Initial Decision Go Green Smokeless Oil International, Inc. T.O. Entertainment, Inc. (f/k/a IBI Acquisitions, Inc.) Xian Resources, Ltd. N/A ID-961 https://www.sec.gov/alj/aljdec/2016/id961cff.pdf 3-17030 2016-02-11 Initial Decision Making Findings and Revoking Registration by Default Initial Decision USA Graphite, Inc. N/A ID-962 https://www.sec.gov/alj/aljdec/2016/id962bpm.pdf 3-15815 2016-02-17 Initial Decision on Default Initial Decision L&L Energy, Inc. Dickson Lee, CPA N/A ID-963 https://www.sec.gov/alj/aljdec/2016/id963jeg.pdf 3-17042 2016-02-18 Initial Decision of Default Initial Decision DC Brands International, Inc. N/A ID-964 https://www.sec.gov/alj/aljdec/2016/id964jeg.pdf 3-17038 2016-02-18 Initial Decision of Default Initial Decision China Holdings Group, Inc. Design Products, Inc. Diva.com, Inc. Enviromental Products & Technologies Corp. (A/K/A Enviro Products & Technol Financial Group Connection Inc. (A/K/A Financial Group Connection, Inc. Four Peaks Group N/A ID-965 https://www.sec.gov/alj/aljdec/2016/id965jsp.pdf 3-17063 2016-02-23 Initial Decision Initial Decision Equitel, Inc. Daytona Systems, Inc. N/A ID-966 https://www.sec.gov/alj/aljdec/2016/id966ce.pdf 3-17011 2016-02-26 Initial Decision of Default Initial Decision Jamaica 19 11 Rocky Road Queensborough Kingston Blue Mountain Eco Tours, Inc. N/A ID-967 https://www.sec.gov/alj/aljdec/2016/id967ce.pdf 3-16734 2016-02-29 Initial Decision of Default Initial Decision Bussanich, George, Jr. N/A ID-968 https://www.sec.gov/alj/aljdec/2016/id968cff.pdf 3-17073 2016-03-01 Initial Decision Making Findings and Revoking Registrations by Default Initial Decision Equitex 2000, Inc. Diversified Health & Fitness, Inc. Gifts of Learning Foundation, Inc. Engenyous Technologies, Inc. N/A ID-969 https://www.sec.gov/alj/aljdec/2016/id969cff.pdf 3-17074 2016-03-01 Initial Decision making Findings and Revoking Registrations Initial Decision Eight-Eight Acquistion Corp. II Eight-Eight Acquistion Corp. III N/A ID-970 https://www.sec.gov/alj/aljdec/2016/id970jeg.pdf 3-17061 2016-03-01 Initial Decision of Default Initial Decision Nanotailor, Inc. China Ticket Center, Inc. Vadda Energy Corp. New Century Energy Corp. Dawn Capital Corp. N/A ID-971 https://www.sec.gov/alj/aljdec/2016/id971jeg.pdf 3-16917 2016-03-01 Intial Decision Initial Decision Taylor, Garfield M. N/A ID-972 https://www.sec.gov/alj/aljdec/2016/id972jsp.pdf 3-17065 2016-03-01 Initial Decision of Default Initial Decision Oldwebsites.com, Inc. U.S. Helicopter Corporation Vicor Technologies, Inc. RPHL Acquisition Corp. (a/k/a Rockport Healthcare Group, Inc.) Therabiogen, Inc. The Brainy Brands Company, Inc. N/A ID-973 https://www.sec.gov/alj/aljdec/2016/id973bpm.pdf 3-15967 2016-03-02 Initial Decision Initial Decision Labine, Lawrence M. N/A ID-974 https://www.sec.gov/alj/aljdec/2016/id974jsp.pdf 3-17102 2016-03-04 Initial Decision of Default Initial Decision Kingly Chateau Corp. Bailey Frances Corp. Lucy's Water World, Inc. N/A ID-975 https://www.sec.gov/alj/aljdec/2016/id975jeg.pdf 3-17064 2016-03-07 Initial Decision of Default Initial Decision Peer Review Mediation & Arbitration, Inc. 99 Cent Stuff, Inc. Incentra Solutions, Inc. Bizzingo, Inc. Clicker, Inc. MaxRay Optical Technology Co. Ltd. N/A ID-976 https://www.sec.gov/alj/aljdec/2016/id976jsp.pdf 3-15873 2016-03-07 Initial Decision on EAJA Application Initial Decision Yancey, Charles W. Delaney, Thomas R., II N/A ID-977 https://www.sec.gov/alj/aljdec/2016/id977ce.pdf 3-17082 2016-03-08 Initial Decision of Default Initial Decision Lyric International, Inc. DCI Telecommunications, Inc. LDP-III, A California Limited Partnership Q-Net Technologies, Inc. Mortgage Bancfund of America II, L.P. Helionetics, Inc. Seiler Pollution Control Systems, Inc. N/A ID-978 https://www.sec.gov/alj/aljdec/2016/id978jsp.pdf 3-17103 2016-03-11 Initial Decision of Default Initial Decision Whoopass Poker Corp. China Renewable Construction Materials, Inc. CBC Acquisition Corp. 1 WNC Housing Tax Credit Fund VI, L.P., Series 12 N/A ID-979 https://www.sec.gov/alj/aljdec/2016/id979cff.pdf 3-16803 2016-03-15 Initial Decision Initial Decision Kara, Maher F. N/A ID-980 https://www.sec.gov/alj/aljdec/2016/id980jeg.pdf 3-16552 2016-03-21 Initial Decision Initial Decision Thompson, Gedrey N/A ID-981 https://www.sec.gov/alj/aljdec/2016/id981jeg.pdf 3-17081 2016-03-22 Initial Decision of Default Initial Decision Six Diamond Resorts International RSL Communications Ltd. Zimtu Technologies, Inc. Simplayer.com Ltd. N/A ID-982 https://www.sec.gov/alj/aljdec/2016/id982jsp.pdf 3-17113 2016-03-23 Initial Decision Initial Decision Wentworth VI, Inc. Wentworth VII, Inc. Wentworth IV, Inc. Wentworth VIII, Inc. Zylorain, Inc. Wentworth V, Inc. White Horse Resources, Inc. Xtreme Healthcare Corporation N/A ID-983 https://www.sec.gov/alj/aljdec/2016/id983bpm.pdf 3-17026 2016-03-23 Initial Decision on Default Initial Decision Easylink Information Technology Co., Ltd. N/A ID-984 https://www.sec.gov/alj/aljdec/2016/id984bpm.pdf 3-17114 2016-03-23 Initial Decision on Default Initial Decision Shelby Acquisition I, Inc. (n/k/a Phoenix Capital Source, Inc.) Shelby Acquisition III, Inc. Western Hemisphere Investments Corporation Whirlwind Marketing, Inc. Shearson Financial Network, Inc. Shelby Acquisition II, Inc. US Wats Inc. Shelby Acquisition IV, Inc. N/A ID-985 https://www.sec.gov/alj/aljdec/2016/id985ce.pdf 3-15215 2016-03-23 Initial Decision Initial Decision Tagliaferri, James S. N/A ID-986 https://www.sec.gov/alj/aljdec/2016/id986jsp.pdf 3-16647 2016-03-24 Initial Decision Initial Decision Ireeco Limited Ireeco, LLC N/A ID-987 https://www.sec.gov/alj/aljdec/2016/id987cff.pdf 3-16590 2016-03-29 Initial Decision Initial Decision Ourand, Brian J. N/A ID-988 https://www.sec.gov/alj/aljdec/2016/id988bpm.pdf 3-17122 2016-03-29 Initial Decision on Default Initial Decision Morgan Minerals Inc. Northern Canadian Uranium Inc. (f/k/a Northern Canadian Minerals Inc.) New World Batteries Inc. Digiblue Media, Inc. North Pacific Geopower Corp. N/A ID-989 https://www.sec.gov/alj/aljdec/2016/id989jeg.pdf 3-17116 2016-03-30 Initial Decision of Default Initial Decision Ves Ventures & Holdings, Inc. (a/k/a Helios Energia, Inc., a/k/a Accelerated Acquisitions XXI, Inc.) China Rongxin Chemical Holding Group, Inc. N/A ID-990 https://www.sec.gov/alj/aljdec/2016/id990jsp.pdf 3-16824 2016-03-30 Initial Decision Initial Decision Paez, Daniel N/A ID-991 https://www.sec.gov/alj/aljdec/2016/id991ce.pdf 3-17136 2016-03-31 Initial Decision of Default Initial Decision Chardan China Acquistion Corp. Garden Bay International, Ltd N/A ID-992 https://www.sec.gov/alj/aljdec/2016/id992jeg.pdf 3-17135 2016-04-04 Initial Decision of Default Initial Decision DE Acquisition 5, Inc. Gimmeabid.com, Inc. (a/k/a Gimmeabid Com Inc.) DE Acquisition 11, Inc. N/A ID-993 https://www.sec.gov/alj/aljdec/2016/id993jsp.pdf 3-16943 2016-04-04 Initial Decision Initial Decision Bernath, Lonny S. N/A ID-994 https://www.sec.gov/alj/aljdec/2016/id994jeg.pdf 3-16914 2016-04-04 Initial Decision of Default Initial Decision Litwok, Evelyn N/A ID-995 https://www.sec.gov/alj/aljdec/2016/id995jeg.pdf 3-17149 2016-04-05 Initial Decision of Default Initial Decision Elsinor Capital II, Ltd EPS Solutions Corp. Free DA Connection Systems, Inc. (a/k/a Free DA Connection Services, Inc., a/ka/ Earthshine International Ltd.) N/A ID-996 https://www.sec.gov/alj/aljdec/2016/id996cff.pdf 3-16712 2016-04-05 Initial Decision Initial Decision De Charsonville, Gilles T. N/A ID-997 https://www.sec.gov/alj/aljdec/2016/id997bpm.pdf 3-17110 2016-04-06 Initial Decision on Default Initial Decision Disaster Preparedness Systems, Inc. Electric Moto Corp. EMO Corp. N/A ID-998 https://www.sec.gov/alj/aljdec/2016/id998bpm.pdf 3-17151 2016-04-07 Initial Decision on Default Initial Decision Wisdom Holdings, Inc. Youngheart Production Holding Co, Inc. Reid, Joseph Denard (a/k/a Denard, Reid Joseph) Shared 1, Inc. Wi-Net Communications Inc. Vanport Acquistion I, Corp. Yang Holding Company Westview Acquistion Corp. N/A ID-999 https://www.sec.gov/alj/aljdec/2016/id999ce.pdf 3-17123 2016-04-12 Initial Decision of Default Initial Decision Mentergy, Ltd. (a/k/a Gilat Communications Ltd.) Market Data Consultants, Inc. Mid-Am Systems, Inc. Nu Energy, Inc. N/A LR-23441 https://www.sec.gov/litigation/litreleases/2016/lr23441.htm 1:14-CR10053-MLW 2016-01-06 Enforcement Case Schuman, Ronald N/A LR-23442 https://www.sec.gov/litigation/litreleases/2016/lr23442.htm 15-CV-9874 2016-01-07 Enforcement Case Khan, Abida Wise, Kenneth Werbel, Larry Durante, Edward Cervino, Christopher Reissman, Walter N/A LR-23443 https://www.sec.gov/litigation/litreleases/2016/lr23443.htm 14-CV-01528 (VEC) 2016-01-11 Enforcement Case Davis, Steven H. N/A LR-23444 https://www.sec.gov/litigation/litreleases/2016/lr23444.htm 15-484 2016-01-11 Enforcement Case Bliss, Roger S. N/A LR-23445 https://www.sec.gov/litigation/litreleases/2016/lr23445.htm 2:15-CV-00269 2016-01-14 Enforcement Case Huang, Nan N/A LR-23446 https://www.sec.gov/litigation/litreleases/2016/lr23446.htm 2:16-CV-36 2016-01-14 Enforcement Case Crowe, Robert B. N/A LR-23447 https://www.sec.gov/litigation/litreleases/2016/lr23447.htm 15-CV-231 2016-01-20 Enforcement Case Rampino, Kenneth Andrade, Anthony N/A LR-23448 https://www.sec.gov/litigation/litreleases/2016/lr23448.htm 8:16-CV-80096 2016-01-20 Enforcement Case Toms, Nicholas N/A LR-23449 https://www.sec.gov/litigation/litreleases/2016/lr23449.htm 1:11-CV-23585 2016-01-20 Enforcement Case Merkin, Stewart A. N/A LR-23450 https://www.sec.gov/litigation/litreleases/2016/lr23450.htm 1:14-CV-11858-NMG 2016-01-20 Enforcement Case TelexFree, Inc.et al. N/A LR-23451 https://www.sec.gov/litigation/litreleases/2016/lr23451.htm 2:16-CV-00040 2016-01-21 Enforcement Case Marquis Properties, LLC Clatfelter, Richard ("Rick") Deucher, Chad R. N/A LR-23452 https://www.sec.gov/litigation/litreleases/2016/lr23452.htm 16-CV-20270 2016-01-22 Enforcement Case Elfenbein, Adi M. Pittera, Joseph L. OTC Capital Partners, LLC N/A LR-23453 https://www.sec.gov/litigation/litreleases/2016/lr23453.htm 3-16-CV-00172 2016-01-27 Enforcement Case Crumbley, Kenneth W., Jr. Sedona Oil and Gas Corporation N/A LR-23454 https://www.sec.gov/litigation/litreleases/2016/lr23454.htm AAER-3734 3-15-CV-1461-YGR (LB) 2016-01-27 Enforcement Case Miller, Andrew M. N/A LR-23455 https://www.sec.gov/litigation/litreleases/2016/lr23455.htm 1:15-CV-13704-FDS 2016-01-27 Enforcement Case Doddi, Shirmila O. N/A LR-23456 https://www.sec.gov/litigation/litreleases/2016/lr23456.htm 1:14-CR-10356-WGY 2016-01-29 Enforcement Case Bray, Robert H. N/A LR-23457 https://www.sec.gov/litigation/litreleases/2016/lr23457.htm 14-CV-04294-RS 2016-02-01 Enforcement Case Wang, Charles S. Zhang, Qian Cathy eAdGear Holdings Limited Chan, Laurata eAdGear, Inc. Yuen, Francis Y. N/A LR-23458 https://www.sec.gov/litigation/litreleases/2016/lr23458.htm 2:15-CV-06076-MCA-MAH 2016-02-02 Enforcement Case Concorde Bermuda Ltd. (Concorde) N/A LR-23459 https://www.sec.gov/litigation/litreleases/2016/lr23459.htm 16-CV-00828 2016-02-03 Enforcement Case Portfolio Advisors Alliance, Inc. American Growth Funding II, LLC Wasserman, Kerri L. Johnson, Ralph C. Allen, Howard J., III N/A LR-23460 https://www.sec.gov/litigation/litreleases/2016/lr23460.htm 2:16-CV-00833 2016-02-08 Enforcement Case Rodriguez, Carlos A. Munakash, Robert M. Winters, Marc N/A LR-23461 https://www.sec.gov/litigation/litreleases/2016/lr23461.htm 2:15-CV-03939-MAK 2016-02-08 Enforcement Case Sudfeld, Herbert K. N/A LR-23462 https://www.sec.gov/litigation/litreleases/2016/lr23462.htm 07-CV-4370 (NGG) 2016-02-08 Enforcement Case Weisberg, Martin N/A LR-23463 https://www.sec.gov/litigation/litreleases/2016/lr23463.htm 15-1025 (RJS) 2016-02-10 Enforcement Case Malik, Moazzam "Mark" American Bridge Investment Group, LLC N/A LR-23464 https://www.sec.gov/litigation/litreleases/2016/lr23464.htm 3-16-CV-00073-GCM 2016-02-11 Enforcement Case Lleras, Frank E. Optimum Income Property, LLC Optimum Property Investments, LLC N/A LR-23465 https://www.sec.gov/litigation/litreleases/2016/lr23465.htm 2:16-CV-954 2016-02-11 Enforcement Case Tahmazian, Jilbert N/A LR-23466 https://www.sec.gov/litigation/litreleases/2016/lr23466.htm 3-16-CV-00366-AJB-MDD 2016-02-12 Enforcement Case Ruehle, Gregory N/A LR-23467 https://www.sec.gov/litigation/litreleases/2016/lr23467.htm 3-16-CV-426-B 2016-02-16 Enforcement Case Lawrence, Wade James N/A LR-23468 https://www.sec.gov/litigation/litreleases/2016/lr23468.htm 1:16-CV-20542-RNS 2016-02-16 Enforcement Case Virtual Sourcing, Inc. Sweet Challenge LLC PV Enterprises, Inc. Faraone, Mario Birmingham, Norman Villiotis, Panagiotis N/A LR-23469 https://www.sec.gov/litigation/litreleases/2016/lr23469.htm 14-CV-12959 2016-02-17 Enforcement Case Affa, Michael A. N/A LR-23470 https://www.sec.gov/litigation/litreleases/2016/lr23470.htm 2:13-CV-15006 2016-02-17 Enforcement Case Oracle Consultants, LLC Hamdan, Randy A. N/A LR-23471 https://www.sec.gov/litigation/litreleases/2016/lr23471.htm 2:16-CV-00845-MCA-LDW 2016-02-18 Enforcement Case Zavodchiko, Evgenii Tarek Investors Inc. Solar Line Inc. Maslov, Anton Alepko, Natalia Andreevna Bokarev, Andrey Green Road Corp. Extra Trading Company Panko, Radion N/A LR-23472 https://www.sec.gov/litigation/litreleases/2016/lr23472.htm 14-3974 (VB) 2016-02-18 Enforcement Case Valente, Scott The ELIV Group, LLC N/A LR-23473 https://www.sec.gov/litigation/litreleases/2016/lr23473.htm 3-16-CV-00450-B 2016-02-19 Enforcement Case Halsey, Nathan TexStar Oil, Ltd. N/A LR-23474 https://www.sec.gov/litigation/litreleases/2016/lr23474.htm 3-15CV03725 (MAS-DEA) 2016-02-24 Enforcement Case Brielle Properties, Inc. Petrello, Paul Oceanview Property Management, LLC N/A LR-23475 https://www.sec.gov/litigation/litreleases/2016/lr23475.htm 14-CV-01528 2016-02-26 Enforcement Case Canellas, Francis N/A LR-23476 https://www.sec.gov/litigation/litreleases/2016/lr23476.htm 2:15-CV-00269 2016-02-26 Enforcement Case Huang, Nan N/A LR-23477 https://www.sec.gov/litigation/litreleases/2016/lr23477.htm 14-CV-8181-RJS 2016-03-01 Enforcement Case Zwerko, Zachary Post, David L. N/A LR-23478 https://www.sec.gov/litigation/litreleases/2016/lr23478.htm 14-CV-4644 2016-03-02 Enforcement Case Durant, Benjamin, III Payton, Darly M. N/A LR-23479 https://www.sec.gov/litigation/litreleases/2016/lr23479.htm 3-16-CV-00514-H-JLB 2016-03-03 Enforcement Case Fellner, Andrew T. Fortitude Group, Inc. Global Investments, Inc. Parilla, Thomas N/A LR-23480 https://www.sec.gov/litigation/litreleases/2016/lr23480.htm 1:16-CV-107 2016-03-07 Enforcement Case Stokes, Keith W. Cannava, Peter M. Well Fargo Securities Saul, James Michael Rhode Island Economic Development Corporation (RIEDC) N/A LR-23481 https://www.sec.gov/litigation/litreleases/2016/lr23481.htm 2:13-CV-00993-RCJ 2016-03-09 Enforcement Case Laurent, Oren Shabat BO Systems Ltd. (now named Banc De Binary Limited) Banc de Binary Ltd ET Binary Options Ltd. BDB Services Ltd. Seychelles N/A LR-23482 https://www.sec.gov/litigation/litreleases/2016/lr23482.htm 2:13-CV-1658 JCM 2016-03-09 Enforcement Case Fujinaga, June Yunju Trust (The) N/A LR-23483 https://www.sec.gov/litigation/litreleases/2016/lr23483.htm 13-CV-00494 2016-03-09 Enforcement Case Dowd, Kevin L. Fung, Jay Y. N/A LR-23484 https://www.sec.gov/litigation/litreleases/2016/lr23484.htm 16-CV-621 2016-03-10 Enforcement Case Killion, Reed Uni-Pixel Tomz, Jeffrey Marren, Bernard T. N/A LR-23485 https://www.sec.gov/litigation/litreleases/2016/lr23485.htm 3-15-CV-00438-PK 2016-03-11 Enforcement Case Gillis, N. Scott Aequitas Capital Management Inc. Jesenik, Robert J. Aequitas Investment Management LLC Aequitas Management LLC Oliver, Brian A. Aequitas Commercial Finance LLC Aequitas Holdings LLC N/A LR-23486 https://www.sec.gov/litigation/litreleases/2016/lr23486.htm 15-CV-04290 2016-03-11 Enforcement Case Nedev, Nedko N/A LR-23487 https://www.sec.gov/litigation/litreleases/2016/lr23487.htm 1:16-AT-00185 (ED CAL) 2016-03-11 Enforcement Case BIC Real Estate Development Corporation BIC Solo 401K Trust Nase, Daniel R. Nase, Margarita N/A LR-23488 https://www.sec.gov/litigation/litreleases/2016/lr23488.htm 15-CR-10031-LTS 2016-03-14 Enforcement Case Thibeault, Daniel N/A LR-23489 https://www.sec.gov/litigation/litreleases/2016/lr23489.htm 2:16-CV-01428-WHW-CLW 2016-03-16 Enforcement Case RVPlus Inc. Peterson, Cary Lee N/A LR-23490 https://www.sec.gov/litigation/litreleases/2016/lr23490.htm 1:16-CV-10524 2016-03-16 Enforcement Case Jones, Mark A. N/A LR-23491 https://www.sec.gov/litigation/litreleases/2016/lr23491.htm 15 CIV. 9260 2016-03-16 Enforcement Case Han,Yue N/A LR-23492 https://www.sec.gov/litigation/litreleases/2016/lr23492.htm 2:16-CV-00400 2016-03-18 Enforcement Case Hardy, John E., III N/A LR-23493 https://www.sec.gov/litigation/litreleases/2016/lr23493.htm 14-CV-3533 2016-03-21 Enforcement Case Strebinger, Bruce D. N/A LR-23494 https://www.sec.gov/litigation/litreleases/2016/lr23494.htm 4-15-CV-438-A 2016-03-23 Enforcement Case Jones, Gregory G. N/A LR-23495 https://www.sec.gov/litigation/litreleases/2016/lr23495.htm 14-CV-12959 2016-03-23 Enforcement Case Nix, Christopher G. Putnam, Christopher R. Affa, Andrew J. Brown, Mitchell H. Affa, Michael N/A LR-23496 https://www.sec.gov/litigation/litreleases/2016/lr23496.htm 16-CV-1619 (JLL) 2016-03-23 Enforcement Case Gentil, Guy N/A LR-23497 https://www.sec.gov/litigation/litreleases/2016/lr23497.htm 3-13-CV-04861 2016-03-24 Enforcement Case AMG Energy, LLC Parvizian, Leon Ali Balunas, Robert Thomas R. & Co. LLC Arcturus Corporation et. al. Aschere Energy, LLC Gonzalez, Alfredo N/A LR-23498 https://www.sec.gov/litigation/litreleases/2016/lr23498.htm 2:15-CV-06076-MCA-MAH 2016-03-24 Enforcement Case Amaryan, David Copperstone Alpha Fund Copperstone Capital Guibor S.A. Intertrade Pacific SA Ocean Prime, Inc. Omega 26 Investments L.t.d. N/A LR-23499 https://www.sec.gov/litigation/litreleases/2016/lr23499.htm 4-14-CR-03136 2016-03-25 Enforcement Case Lundstrom, Gilbert G. N/A LR-23500 https://www.sec.gov/litigation/litreleases/2016/lr23500.htm 15-CV-3456 2016-03-25 Enforcement Case Louks, James M. FiberPop Solutions, Inc. N/A LR-23501 https://www.sec.gov/litigation/litreleases/2016/lr23501.htm 3-16-CV-1386 2016-03-25 Enforcement Case John V. Bivona et. al. Saddle River Advisors SRA Management Associates N/A LR-23502 https://www.sec.gov/litigation/litreleases/2016/lr23502.htm 2:13-CR-45-RWS 2016-03-29 Enforcement Case Kowalewski, Stanely J. N/A LR-23503 https://www.sec.gov/litigation/litreleases/2016/lr23503.htm 1:16-CV-10607-NMG 2016-03-29 Enforcement Case Slichenmyer, William Johnston, David AVEO Pharmaceuticals, Inc. Ha-Ngoc, Tuan N/A LR-23504 https://www.sec.gov/litigation/litreleases/2016/lr23504.htm 1:16-CV-00587 2016-03-29 Enforcement Case NBT Group Inc. Smith, Tobin N/A LR-23505 https://www.sec.gov/litigation/litreleases/2016/lr23505.htm 16-CV-2249-KMW 2016-03-29 Enforcement Case Irving Place III SPV, LLC Caspersen, Andrew W.W. N/A LR-23506 https://www.sec.gov/litigation/litreleases/2016/lr23506.htm 3-16-CV-01636-MLC-DEA 2016-03-30 Enforcement Case Rivera, Daniel Lane, Robbins Daniel Rivera Inc. Rivera & Associates (a/k/a Strategic Wealth Partners of New Jersey) Rivera, Matthew N/A LR-23507 https://www.sec.gov/litigation/litreleases/2016/lr23507.htm 16-CV-3885 2016-03-31 Enforcement Case Navistar International Corp. Ustian, Daniel C. N/A LR-23508 https://www.sec.gov/litigation/litreleases/2016/lr23508.htm 16-10624-GAO 2016-03-31 Enforcement Case Ponn, Nathaniel D. N/A LR-23509 https://www.sec.gov/litigation/litreleases/2016/lr23509.htm 1:16-CV-00040-JNP 2016-03-31 Enforcement Case Clark, John Scott N/A LR-23510 https://www.sec.gov/litigation/litreleases/2016/lr23510.htm 16-1326 2016-04-04 Enforcement Case Ellison, Donald H. Paul, Joseph Andrew Quay, James (alias Stephen Jameson) Ellis, John D., Jr. N/A LR-23511 https://www.sec.gov/litigation/litreleases/2016/lr23511.htm 16-CV-10670 2016-04-07 Enforcement Case Aubel, David Raffa, Robert N/A LR-23512 https://www.sec.gov/litigation/litreleases/2016/lr23512.htm 12-CR-10238-FDS-JGD 2016-04-07 Enforcement Case Fraiman, Jonathan N/A LR-23513 https://www.sec.gov/litigation/litreleases/2016/lr23513.htm 13-CV-3074 2016-04-08 Enforcement Case Pabon, Haydee Leticia Bethancourt, Iuri Rodolfo Hurtado, Jose Alejandro DeMeneses, Joseph Chinea, Benito Lujan, Ernesto Bethancourt, Tomas Alberto Clarke N/A LR-23514 https://www.sec.gov/litigation/litreleases/2016/lr23514.htm 1:12-CR-10015-WGY 2016-04-11 Enforcement Case Herman, Rosalind N/A LR-23515 https://www.sec.gov/litigation/litreleases/2016/lr23515.htm 4-16-CV000246 2016-04-11 Enforcement Case Paxton, Ken Mapp, William E. III Servergy Inc. N/A LR-23516 https://www.sec.gov/litigation/litreleases/2016/lr23516.htm 16-CV-2733 2016-04-12 Enforcement Case Bassily, Khaled "Kal" N/A LR-23517 https://www.sec.gov/litigation/litreleases/2016/lr23517.htm 15-0501 2016-04-13 Enforcement Case Donnelly, Michael N/A LR-23518 https://www.sec.gov/litigation/litreleases/2016/lr23518.htm 09-CV-6129 (PAC) 2016-04-13 Enforcement Case Passaro, Michael Grabowski, Robert Shea, Stephen Ruckdeschel, Adam Harrington N/A LR-23519 https://www.sec.gov/litigation/litreleases/2016/lr23519.htm 1:16-CV2777 2016-04-14 Enforcement Case Afriyie, John N/A LR-23520 https://www.sec.gov/litigation/litreleases/2016/lr23520.htm 1:16-CV-21301-DPG 2016-04-14 Enforcement Case Quiros, Ariel Jay Peak Inc. Q Resorts Stenger, William N/A LR-23521 https://www.sec.gov/litigation/litreleases/2016/lr23521.htm 16-CV-2779 2016-04-14 Enforcement Case St. Lawrence, Christopher P. Troodler, Aaron Oberman, Nathan Ramapo, N.Y. Ramapo Local Development Corp. (RLDC) Klein, Michael N/A LR-23522 https://www.sec.gov/litigation/litreleases/2016/lr23522.htm SACV-11-1962-JVS 2016-04-15 Enforcement Case Gault, Willie N/A LR-23523 https://www.sec.gov/litigation/litreleases/2016/lr23523.htm 3-16-CV-02023-RS 2016-04-20 Enforcement Case Wolf, Jennifer F. Bardman, Erik K. N/A LR-23524 https://www.sec.gov/litigation/litreleases/2016/lr23524.htm 2:15CV00098 2016-04-22 Enforcement Case Bliss, Roger S. N/A LR-23525 https://www.sec.gov/litigation/litreleases/2016/lr23525.htm 09-CV-6129 2016-04-22 Enforcement Case Wilson, Arn N/A LR-23526 https://www.sec.gov/litigation/litreleases/2016/lr23526.htm 3-16-CV-998-CAB-DHB 2016-04-26 Enforcement Case Larson. Christopher D. Robb, Cameron F. Jorgenson, Robert D. Zwebner, Asher Z. Zouvas, Luke C. Schiprett, Jason M. N/A LR-23527 https://www.sec.gov/litigation/litreleases/2016/lr23527.htm 3-16-CV-208 2016-05-03 Enforcement Case Moore, George A. III DeRosa, Joseph R. N/A LR-23528 https://www.sec.gov/litigation/litreleases/2016/lr23528.htm 1:11-CV-05223 2016-05-03 Enforcement Case Ferrone, Stephen D. N/A LR-23529 https://www.sec.gov/litigation/litreleases/2016/lr23529.htm 16-CV-02193 2016-05-03 Enforcement Case Castaldo, Christopher F. Knippa, Herschel C. (a/k/a Tres) Mitchell, Jared St. Julien, Richard Brown, Richard L. Pate, Pranav V. Petrossi, Louis F. Cocuzzo, Gerald J. Miyana, Maroof Khan, Naveed A. (a/k/a Nick) N/A LR-23530 https://www.sec.gov/litigation/litreleases/2016/lr23530.htm 2:15-CV-06076-MCA-MAH 2016-05-04 Enforcement Case Makarov, Oleksandr N/A LR-23531 https://www.sec.gov/litigation/litreleases/2016/lr23531.htm 3-07-CV-1910 2016-05-05 Enforcement Case Apuzzo, Joseph F. N/A LR-23532 https://www.sec.gov/litigation/litreleases/2016/lr23532.htm 16-CV-02513 2016-05-05 Enforcement Case Mackaronis, Patrick G. Vaccaro, Lee P. Trolice, James R. N/A LR-23533 https://www.sec.gov/litigation/litreleases/2016/lr23533.htm 2:16-CV-00040 2016-05-05 Enforcement Case Deucher, Chad R. N/A LR-23534 https://www.sec.gov/litigation/litreleases/2016/lr23534.htm 16-CV-3384 2016-05-06 Enforcement Case Blazer, Louis Martin, III N/A LR-23535 https://www.sec.gov/litigation/litreleases/2016/lr23535.htm 16-CV-3505 2016-05-11 Enforcement Case Dunkerley, Hugh Morton, Michelle Galanis, Jason Archer, Devon Cooney, Bevan Galanis, John Hirst, Gary N/A LR-23536 https://www.sec.gov/litigation/litreleases/2016/lr23536.htm 3-14-CV-01747-D 2016-05-11 Enforcement Case Couch, Charles O. Couch Oil & Gas Inc. N/A LR-23537 https://www.sec.gov/litigation/litreleases/2016/lr23537.htm 2:16-CV-03250 2016-05-12 Enforcement Case Jaclin, Gregg Evan Husain, Imran N/A LR-23538 2016-05-12 INTENTIONALLY OMITTED LR-23539 https://www.sec.gov/litigation/litreleases/2016/lr23539.htm 1:14-CV-13381-ADB 2016-05-13 Enforcement Case O'Neill, J. Patrick Bray, Robert H. N/A LR-23540 https://www.sec.gov/litigation/litreleases/2016/lr23540.htm 16-CV-10874 2016-05-13 Enforcement Case McLellan, Ross N/A LR-23541 https://www.sec.gov/litigation/litreleases/2016/lr23541.htm 1:14-CR-10348-DPN 2016-05-16 Enforcement Case Weed, Richard N/A LR-23542 https://www.sec.gov/litigation/litreleases/2016/lr23542.htm 1:13-CR-10015-WGY 2016-05-18 Enforcement Case Caplitz, Gregg D. N/A LR-23543 https://www.sec.gov/litigation/litreleases/2016/lr23543.htm 16-CV-5384 2016-05-19 Enforcement Case Kellogg, Eric J. N/A LR-23544 https://www.sec.gov/litigation/litreleases/2016/lr23544.htm 3-16-CV-00258 2016-05-24 Enforcement Case Viard, Joanne K. Kipp, Michael J. Pierrard, John N/A LR-23545 https://www.sec.gov/litigation/litreleases/2016/lr23545.htm 16-CV-10960 2016-05-26 Enforcement Case Pignatello, Anthony Jay Lionshare Ventures LLC Gondolfe, James Galizio, Renee Esposito, Christopher R. Cannabiz Mobile, Inc. N/A LR-23546 https://www.sec.gov/litigation/litreleases/2016/lr23546.htm 12-12324-MLW 2016-05-27 Enforcement Case Medoff, Craig N/A LR-23547 https://www.sec.gov/litigation/litreleases/2016/lr23547.htm 3-16-CV-00270 2016-05-27 Enforcement Case Manna Investments LLC Manna International Enterprises Ltd. Synchronized Organizational Solutions International Ltd. (SOSI) Kaplan, David B. Synchronized Organizational Solutions LLC (SOS) N/A LR-23548 https://www.sec.gov/litigation/litreleases/2016/lr23548.htm 1:15-CV-10543 2016-05-27 Enforcement Case Silva, Simonia de Cassia N/A LR-23549 https://www.sec.gov/litigation/litreleases/2016/lr23549.htm 16-CV-00832-VLB 2016-05-31 Enforcement Case Momentum Investment Partners LLC (doing business as Avatar Investment Management) Fernandes, Ronald J. N/A LR-23550 https://www.sec.gov/litigation/litreleases/2016/lr23550.htm 3-16-CV-02814 2016-05-31 Enforcement Case Gill, Jaswant "Jason" JSG Capital Investments, LLC JSG Capital LLC JSG Management Group, LLC Rios, Javier JSG Capital, LLC JSG Enterprises LLC N/A LR-23551 https://www.sec.gov/litigation/litreleases/2016/lr23551.htm 1:16-CV-01752-LMM 2016-06-01 Enforcement Case Hope Advisors, LLC Just Hope Foundation Bruton, Karen N/A LR-23552 https://www.sec.gov/litigation/litreleases/2016/lr23552.htm 16-CV-4029 2016-06-01 Enforcement Case McClatchey, Steven V. Pusey, Gary J. N/A LR-23553 https://www.sec.gov/litigation/litreleases/2016/lr23553.htm 2:16-CV-03772 2016-05-31 Enforcement Case Sanders, Edward Joseph Ziroli, Clement, Sr. Vargas, Ronald T. Ziroli, Clement, Jr. Dong, Pac W. Lehrer, Scott First Mortgage Corporation N/A LR-23554 https://www.sec.gov/litigation/litreleases/2016/lr23554.htm 3-16-CV000285 2016-06-02 Enforcement Case Davis, Richard W., Jr. N/A LR-23555 https://www.sec.gov/litigation/litreleases/2016/lr23555.htm 1:16-CV-04104 2016-06-02 Enforcement Case Wise, Steven N/A LR-23556 https://www.sec.gov/litigation/litreleases/2016/lr23556.htm CV-16-00974 CJC 2016-06-02 Enforcement Case Wang, Xin (a/k/a Lisa Wang) Liu, Charles C. N/A LR-23557 https://www.sec.gov/litigation/litreleases/2016/lr23557.htm 10-CV-2031 2016-06-02 Enforcement Case Halperin, Jack N/A LR-23558 https://www.sec.gov/litigation/litreleases/2016/lr23558.htm 5:16-CV-02373-LHK 2016-06-03 Enforcement Case Nunan, Peter D. N/A LR-23559 https://www.sec.gov/litigation/litreleases/2016/lr23559.htm 1:16-MC-01189 2016-06-06 Enforcement Case Grossman, Richard N/A LR-23560 https://www.sec.gov/litigation/litreleases/2016/lr23560.htm 2:16-CV-00441-SPC-MRM 2016-06-07 Enforcement Case Northrop, Mark C. Kingdom Legacy General Partner, LLC N/A LR-23561 https://www.sec.gov/litigation/litreleases/2016/lr23561.htm 1:16-CV-4139 2016-06-08 Enforcement Case Hobson, David P. Maciocio, Michael J. N/A LR-23562 https://www.sec.gov/litigation/litreleases/2016/lr23562.htm 16-CV-02513 2016-06-09 Enforcement Case Mackaronis, Patrick G. N/A LR-23563 https://www.sec.gov/litigation/litreleases/2016/lr23563.htm 1:09-361 2016-06-09 Enforcement Case Heath, Gary C. N/A LR-23564 https://www.sec.gov/litigation/litreleases/2016/lr23564.htm 5:16-CV-03131 2016-06-09 Enforcement Case Ma, Guolin N/A LR-23565 https://www.sec.gov/litigation/litreleases/2016/lr23565.htm 3-16-CV-00882 2016-06-10 Enforcement Case Connerton, Thomas J. N/A LR-23566 2016-06-13 INTENTIONALLY OMITTED LR-23567 https://www.sec.gov/litigation/litreleases/2016/lr23567.htm 0:16-CV-1877 WMW-FLN 2016-06-13 Enforcement Case Providence Financial Investments, Inc. Jarrell, Jack Providence Fixed Income Fund Churchfield, Jeffory N/A LR-23568 https://www.sec.gov/litigation/litreleases/2016/lr23568.htm 16-CV-00437 2016-06-14 Enforcement Case Atlas JG, LLC Proctor, Andrew K. N/A LR-23569 2016-06-14 INTENTIONALLY OMITTED LR-23570 https://www.sec.gov/litigation/litreleases/2016/lr23570.htm 07-6423 (MMC) 2016-06-15 Enforcement Case Olins, Robert A. N/A LR-23571 https://www.sec.gov/litigation/litreleases/2016/lr23571.htm 2:16-CV-00231 2016-06-16 Enforcement Case Biehl, Barrett Miller, Edward Miller, Douglas Salis, Christopher N/A LR-23572 https://www.sec.gov/litigation/litreleases/2016/lr23572.htm 15-1538 15-1695 2016-06-17 Enforcement Case StratoComm Corporation Shearer, Roger D. N/A LR-23573 https://www.sec.gov/litigation/litreleases/2016/lr23573.htm 15-CV-10050 2016-06-20 Enforcement Case Thibeault, Daniel N/A LR-23574 https://www.sec.gov/litigation/litreleases/2016/lr23574.htm 1:16-CV-11148 2016-06-20 Enforcement Case Hannon, James S. N/A LR-23575 https://www.sec.gov/litigation/litreleases/2016/lr23575.htm 2:16CV-1413 2016-06-21 Enforcement Case Hemp, Inc. Perlowin, Jed Perlowin, Bruce Epling, Barry N/A LR-23576 https://www.sec.gov/litigation/litreleases/2016/lr23576.htm 14-CV-12959 2016-06-21 Enforcement Case Brown, Mitchell H. N/A LR-23577 https://www.sec.gov/litigation/litreleases/2016/lr23577.htm 12-CV-8676 2016-06-21 Enforcement Case Conradt, Thomas C. N/A LR-23578 https://www.sec.gov/litigation/litreleases/2016/lr23578.htm 16-CV-06391 2016-06-21 Enforcement Case Rangel, Juan Rafael N/A LR-23579 https://www.sec.gov/litigation/litreleases/2016/lr23579.htm 16-CV-1417 2016-06-21 Enforcement Case Harmon, Richard M. Kaptrosky, John A. Narayan, Ash Ticket Reserve Inc. N/A LR-23580 https://www.sec.gov/litigation/litreleases/2016/lr23580.htm 16-CV-4805 2016-06-23 Enforcement Case Mustapha, Idris Dayo N/A LR-23581 https://www.sec.gov/litigation/litreleases/2016/lr23581.htm 13-CV-12520 2016-06-23 Enforcement Case Diaz, Alicia Ackman, Blair Mathews, W. Emery N/A LR-23582 https://www.sec.gov/litigation/litreleases/2016/lr23582.htm 3-16-CV-01735-D 2016-06-24 Enforcement Case Crude Energy LLC Simo, Joseph Handkins, Beth Faulkner, Chris Breitling Oil and Gas Corporation Breitling Energy Corporation Wagers, Jeremy Patriot Energy Inc. Miller, Michael Hoover, Rick Hallam, Parker N/A LR-23583 https://www.sec.gov/litigation/litreleases/2016/lr23583.htm 2:15-CR-287 2016-06-24 Enforcement Case Segal, Malcolm N/A LR-23584 https://www.sec.gov/litigation/litreleases/2016/lr23584.htm 8:16-CV-1798T27AEP 2016-06-27 Enforcement Case Toups, Michael Longwei Petroleum Investment Holding Limited N/A LR-23585 https://www.sec.gov/litigation/litreleases/2016/lr23585.htm AAER-3786 15 MISC.0221 2016-06-28 Enforcement Case Rivard, David N/A LR-23586 https://www.sec.gov/litigation/litreleases/2016/lr23586.htm 3-16-CV-03650 2016-06-29 Enforcement Case Kerr, Andrew F. N/A LR-23587 https://www.sec.gov/litigation/litreleases/2016/lr23587.htm 1:15-CV-13460 2016-06-29 Enforcement Case Mosaic Enterprises Inc. Family Endowment Partners LP MIP Global Inc. Mosaic Investment Partners Inc. Weiss, Lee D. Weiss Capital Real Estate Group LLC N/A LR-23588 https://www.sec.gov/litigation/litreleases/2016/lr23588.htm 14-CV-3533 2016-06-30 Enforcement Case Lance Investments S.A. Chapman, Brent Howard N/A LR-23589 https://www.sec.gov/litigation/litreleases/2016/lr23589.htm 16-MC00136-LTB 2016-07-01 Enforcement Case Sexton, Timothy F., Jr. N/A LR-23590 https://www.sec.gov/litigation/litreleases/2016/lr23590.htm 1:16-MC-01189 (GMH) 2016-07-05 Enforcement Case Grossman, Richard N/A LR-23591 https://www.sec.gov/litigation/litreleases/2016/lr23591.htm 1:10-CV-5268 2016-07-05 Enforcement Case Martin-Caro, Luis Sanchez N/A LR-23592 https://www.sec.gov/litigation/litreleases/2016/lr23592.htm 16-CV-4805 2016-07-07 Enforcement Case Mustapha, Idris Dayo N/A LR-23593 https://www.sec.gov/litigation/litreleases/2016/lr23593.htm 1:16-CV-02459-SCJ 2016-07-08 Enforcement Case Avent, Thomas W., Jr. N/A LR-23594 https://www.sec.gov/litigation/litreleases/2016/lr23594.htm 1:13-CV-5584 2016-07-08 Enforcement Case Chang, Cheongwha "Heywood" HTC Consulting LLC Chen, Toni Tong Arcadia Business Consulting, Inc. N/A LR-23595 https://www.sec.gov/litigation/litreleases/2016/lr23595.htm 2:16-CV-01664 2016-07-15 Enforcement Case Roberts, Zachary Brooke N/A LR-23596 https://www.sec.gov/litigation/litreleases/2016/lr23596.htm 14 CV 3247 (RMB) 2016-07-15 Enforcement Case Kalucha, Vineet N/A LR-23597 https://www.sec.gov/litigation/litreleases/2016/lr23597.htm 1:16-CV-02572-LMM 2016-07-18 Enforcement Case Financial Management Corporation, S.R.L. ("FMC Uruguay") Conrad, Stuart P. Conrad, Thomas D., Jr. Financial Management Corporation ("FMC") N/A LR-23598 https://www.sec.gov/litigation/litreleases/2016/lr23598.htm 2:14CV00510 2016-07-20 Enforcement Case Parrish, Stanley D. Williams, Tyson D. N/A LR-23599 https://www.sec.gov/litigation/litreleases/2016/lr23599.htm 13-CV-1489 2016-07-22 Enforcement Case Wilson, Jeffrey N/A LR-23600 https://www.sec.gov/litigation/litreleases/2016/lr23600.htm 1:16-CV-00307 2016-07-25 Enforcement Case Dyer, Douglas Albert Broad Street Ventures Brennan, James Hugh, III N/A LR-23601 https://www.sec.gov/litigation/litreleases/2016/lr23601.htm 12-CV-2984 2016-07-25 Enforcement Case Cain, Michael Sean N/A LR-23602 https://www.sec.gov/litigation/litreleases/2016/lr23602.htm 2:15-CR-00330 2016-07-26 Enforcement Case Sudfeld, Herbert K., Jr. N/A LR-23603 https://www.sec.gov/litigation/litreleases/2016/lr23603.htm 7:16-CV-00282 2016-07-27 Enforcement Case JNL Oilfield Instruments, LLC McCollum, Jeffery A. N/A LR-23604 https://www.sec.gov/litigation/litreleases/2016/lr23604.htm 2:16-CV-00832 2016-07-28 Enforcement Case Scoville, Charles Traffic Monsoon LLC N/A LR-23605 https://www.sec.gov/litigation/litreleases/2016/lr23605.htm 1:13-CV-10612-MLW 2016-07-28 Enforcement Case Herman, Susan N/A LR-23606 https://www.sec.gov/litigation/litreleases/2016/lr23606.htm 3-15-CV-03101 2016-07-28 Enforcement Case Luca Resources Group, LLC Luca To-Kalon Energy, LLC (relief defendant) Luca Energy Fund, LLC Luca I. Limited Partnership (relief defendant) Luca Oil, LLC (relief defendant) Luca Barnett Shale Venture (relief defendant) Luca Oil II Joint Venture (relief defendant) Luca Operations, LLC (relief defendant) Luca International Group, LLC N/A LR-23607 https://www.sec.gov/litigation/litreleases/2016/lr23607.htm 1:16-CV-2715-WSD 2016-07-28 Enforcement Case Zehner, Rodney A. Merandi, Daniel J. White, Matthew E. N/A LR-23608 https://www.sec.gov/litigation/litreleases/2016/lr23608.htm 1:14-CV-185-C 2016-07-29 Enforcement Case Downey, Paul R. Leonard, John M. Downey, Jeffry P. N/A LR-23609 https://www.sec.gov/litigation/litreleases/2016/lr23609.htm 15-CV-231 2016-07-29 Enforcement Case Rampino, Kenneth J. N/A LR-23610 https://www.sec.gov/litigation/litreleases/2016/lr23610.htm 2:15-CV-06076 2016-08-04 Enforcement Case Momotok, Leonid N/A LR-23611 https://www.sec.gov/litigation/litreleases/2016/lr23611.htm 3-16-CV-01322 2016-08-04 Enforcement Case Kosinski, Edward, Dr. N/A LR-23612 https://www.sec.gov/litigation/litreleases/2016/lr23612.htm 15-CV-00191 2016-08-05 Enforcement Case Churchville, Patrick N/A LR-23613 https://www.sec.gov/litigation/litreleases/2016/lr23613.htm 2:16-CV:4291 2016-08-08 Enforcement Case Kirk, John P. Global Transition Solutions, Inc. Kirk, Paul G. Global Transition Solutions, LLC Place, John T. N/A LR-23614 https://www.sec.gov/litigation/litreleases/2016/lr23614.htm 16-CV-6326 2016-08-10 Enforcement Case Pan Asia China Commerce Corp. Inc. ("PAC-3") Ruh, Edwin, Jr. N/A LR-23615 https://www.sec.gov/litigation/litreleases/2016/lr23615.htm 4-1315-CV-338 2016-08-10 Enforcement Case Weber, John Sethi, Praveen Sethi, Sameer N/A LR-23616 https://www.sec.gov/litigation/litreleases/2016/lr23616.htm 3-16-CV-667 2016-08-10 Enforcement Case Cavalier Union Investments LLC Vaughn, Sherman C., Jr. Robertson, Merrill, Jr. N/A LR-23617 https://www.sec.gov/litigation/litreleases/2016/lr23617.htm 3-13-2575-JMC 2016-08-10 Enforcement Case Staples, Benjamin Sydney N/A LR-23618 https://www.sec.gov/litigation/litreleases/2016/lr23618.htm 16-CV-81413 2016-08-12 Enforcement Case Sullivan, Richard J. Loppert, David A. Global Digital Solutions, Inc. N/A LR-23619 https://www.sec.gov/litigation/litreleases/2016/lr23619.htm 3-16-CV-02017-JAH-MDD 2016-08-12 Enforcement Case Rampoldi, Paul T. Blythe, William Scott, III N/A LR-23620 https://www.sec.gov/litigation/litreleases/2016/lr23620.htm 1:15-CV-03719 2016-08-18 Enforcement Case Stewart, Sean R. N/A LR-23621 https://www.sec.gov/litigation/litreleases/2016/lr23621.htm 1:14-CV-13381=ADB 2016-08-18 Enforcement Case O'Neill, J. Patrick N/A LR-23622 https://www.sec.gov/litigation/litreleases/2016/lr23622.htm 2016-08-22 Enforcement Case Michael Andre Jones N/A LR-23623 https://www.sec.gov/litigation/litreleases/2016/lr23623.htm 2:16-CV-02889-DCN 2016-08-22 Enforcement Case Ragsdale, John M. N/A LR-23624 https://www.sec.gov/litigation/litreleases/2016/lr23624.htm 1:14-CV-14099 2016-08-23 Enforcement Case Weed, Richard Flaherty, Coleman III Brazil, Thomas N/A LR-23625 https://www.sec.gov/litigation/litreleases/2016/lr23625.htm 15-CV-6380 2016-08-24 Enforcement Case Maillard, Cedric Canas N/A LR-23626 https://www.sec.gov/litigation/litreleases/2016/lr23626.htm 2016-08-24 Enforcement Case HSC Holdings, LLC Mandelbaum, Ilona A. Sage, Matthew H. Secured Income Reserve, Inc. Tamda Marketing, Inc. Zimmerman, David A. N/A LR-23627 https://www.sec.gov/litigation/litreleases/2016/lr23627.htm 1:16-MC-01827 (TFH 2016-08-25 Enforcement Case Panos, Edward F. Panos, Allison N/A LR-23628 https://www.sec.gov/litigation/litreleases/2016/lr23628.htm 2:16-CV-06427 2016-08-26 Enforcement Case Enviro Board Corporation Camp, Glenn Peiffer, William N/A LR-23629 2016-08-26 INTENTIONALLY OMITTED LR-23630 https://www.sec.gov/litigation/litreleases/2016/lr23630.htm 11-CIV-9202 2016-08-30 Enforcement Case Mudd, Daniel H. N/A LR-23631 https://www.sec.gov/litigation/litreleases/2016/lr23631.htm 16-CV-00192 2016-08-30 Enforcement Case Hamilton, Dennis Wayne N/A LR-23632 https://www.sec.gov/litigation/litreleases/2016/lr23632.htm 2016-09-01 Enforcement Case Amaral, Viviane Barbosa, Carlos Luis da Silveira Campos, Claudio de Oliveira Pereira Rodgrigues, Wesley Brandao Tanaka, Sergio Henrique Wings Network N/A LR-23633 https://www.sec.gov/litigation/litreleases/2016/lr23633.htm 2016-09-01 Enforcement Case Tahmazian, Jilbert N/A LR-23634 https://www.sec.gov/litigation/litreleases/2016/lr23634.htm 1-16CV-03298-SCJ 2016-09-01 Enforcement Case Watkins Pencor LLC Watkins, Donald V. P.C Masada Resource Group LLC N/A LR-23635 https://www.sec.gov/litigation/litreleases/2016/lr23635.htm 0:16-CV-1877 2016-09-01 Enforcement Case Buzaneli, Anthony N/A LR-23636 https://www.sec.gov/litigation/litreleases/2016/lr23636.htm 2016-09-06 Enforcement Case Contrarian Press, LLC Fraser, Scott Yeung, Nathan N/A LR-23637 https://www.sec.gov/litigation/litreleases/2016/lr23637.htm 2016-09-07 Enforcement Case Hamilton, Dennis Wayne N/A LR-23638 https://www.sec.gov/litigation/litreleases/2016/lr23638.htm 4:16-CV-00402-CWD 2016-09-07 Enforcement Case Jenkins, Gordon W. Sweeten, Theodore P. Kreais, Francis W. Parkinson, Craig L. N/A LR-23639 https://www.sec.gov/litigation/litreleases/2016/lr23639.htm 16-CV-01803 2016-09-09 Enforcement Case RPM International Inc. N/A LR-23640 https://www.sec.gov/litigation/litreleases/2016/lr23640.htm 16-CV-5475 2016-09-12 Enforcement Case BOK Financial BOKF, NA Neilson, Marrien N/A LR-23641 https://www.sec.gov/litigation/litreleases/2016/lr23641.htm 1:09-CV-01746-JGK 2016-09-12 Enforcement Case Bloom, Mark Evan North Hills Management, LLC N/A LR-23642 https://www.sec.gov/litigation/litreleases/2016/lr23642.htm 16-CV-3399 2016-09-12 Enforcement Case Banks, Charles Augustus IV N/A LR-23643 https://www.sec.gov/litigation/litreleases/2016/lr23643.htm 4:16-CV-00693 2016-09-12 Enforcement Case Tycoon Energy, Inc. Nerbonne, Matthew Dee N/A LR-23644 https://www.sec.gov/litigation/litreleases/2016/lr23644.htm 3:16-CV-00882 2016-09-12 Enforcement Case Connerton, Thomas J. Safety Technologies LLC N/A LR-23645 https://www.sec.gov/litigation/litreleases/2016/lr23645.htm 2:16-CV-06850 2016-09-06 Enforcement Case Jesus, Manuel E. N/A LR-23646 https://www.sec.gov/litigation/litreleases/2016/lr23646.htm 3:14-CV-05844 2016-09-14 Enforcement Case Metro, Steven N/A LR-23647 https://www.sec.gov/litigation/litreleases/2016/lr23647.htm 1:15-CV-10543-ADB 2016-09-19 Enforcement Case Aguiar, Vinicius Romulo Aguiar, Thais Utino Bento, Geovani Nascimento Bento, Priscilla Somaio, Dennis Arthur Somaio, Elaine Amaral N/A LR-23648 https://www.sec.gov/litigation/litreleases/2016/lr23648.htm 1:16-CV-10524-RGS 2016-09-20 Enforcement Case Jones, Mark Anderson N/A LR-23649 https://www.sec.gov/litigation/litreleases/2016/lr23649.htm 3:14-CV-02743 HSG 2016-09-21 Enforcement Case Khan, Saleem Chaganlal, Roshanlal N/A LR-23650 https://www.sec.gov/litigation/litreleases/2016/lr23650.htm 3:14-CV-05844-MAS 2016-09-21 Enforcement Case Tamayo, Frank N/A LR-23651 https://www.sec.gov/litigation/litreleases/2016/lr23651.htm 16-CV-02513 2016-09-22 Enforcement Case Vaccaro, Lee P. N/A LR-23652 https://www.sec.gov/litigation/litreleases/2016/lr23652.htm 16-CV-7398 2016-09-22 Enforcement Case Tsai, Sheren Whelehan, Colin N/A LR-23653 https://www.sec.gov/litigation/litreleases/2016/lr23653.htm 15-CV-1339 2016-09-23 Enforcement Case North Star Finance LLC Ellis, Thomas G. Oda, Yasuo N/A LR-23654 https://www.sec.gov/litigation/litreleases/2016/lr23654.htm 15-CV-10050-NMG 2016-09-26 Enforcement Case Thibeault, Daniel N/A LR-23655 https://www.sec.gov/litigation/litreleases/2016/lr23655.htm 4:16-CV-02880 2016-09-27 Enforcement Case Mard, Inc. formerly known as KIOR, Inc. N/A LR-23656 https://www.sec.gov/litigation/litreleases/2016/lr23656.htm 8:16-CV-01788 2016-09-27 Enforcement Case Wallace, Jason A. N/A LR-23657 https://www.sec.gov/litigation/litreleases/2016/lr23657.htm 2:16-CV-07246 2016-09-27 Enforcement Case Hunter, Keith N/A LR-23658 https://www.sec.gov/litigation/litreleases/2016/lr23658.htm 1:16-CV-24106-JAL 2016-09-28 Enforcement Case Sizer, Craig V. Mesa, Miguel "Michael" N/A LR-23659 https://www.sec.gov/litigation/litreleases/2016/lr23659.htm 16-CV-5413 2016-09-28 Enforcement Case Kohli, Peter R. DMS Funds N/A LR-23660 https://www.sec.gov/litigation/litreleases/2016/lr23660.htm 16-CIV.-7591 (RWS) 2016-09-29 Enforcement Case del Valle, Nino Coppero Castro Roca, Julio Antonia Carrion, Ricardo N/A LR-23661 https://www.sec.gov/litigation/litreleases/2016/lr23661.htm 16-CV-5432 2016-09-29 Enforcement Case Savva, Nicholas S. N/A LR-23662 https://www.sec.gov/litigation/litreleases/2016/lr23662.htm 2016-09-29 Enforcement Case Gadimian, Robert N/A LR-23663 https://www.sec.gov/litigation/litreleases/2016/lr23663.htm 3-0:16-CV-62335-88 2016-09-30 Enforcement Case beason, Patrick Reagan N/A LR-23664 https://www.sec.gov/litigation/litreleases/2016/lr23664.htm 3-15 CR. 643 (PKC) 2016-09-30 Enforcement Case Hirst, Gary N/A LR-23665 https://www.sec.gov/litigation/litreleases/2016/lr23665.htm 2016-09-30 Enforcement Case Infinex Ventrues, Inc. N/A LR-23666 https://www.sec.gov/litigation/litreleases/2016/lr23666.htm 2:16-CV-07333 2016-09-30 Enforcement Case Luna, Marcus Walker, Norell Gomez, Paul Smith, Dustin N/A LR-23667 https://www.sec.gov/litigation/litreleases/2016/lr23667.htm 3:14-CV-01742-MAS- 2016-09-30 Enforcement Case Eydelman, Vladimir N/A LR-23668 https://www.sec.gov/litigation/litreleases/2016/lr23668.htm 16-CV-05176-ER 2016-09-30 Enforcement Case Buonocore, Louis T. Draper, Jeremy R. Morelli, Frank J. Rose, Don L. Paolucci, Berardino "Dino" Jr. N/A LR-23669 https://www.sec.gov/litigation/litreleases/2016/lr23669.htm 3-1:14-CV-185-C 2016-09-30 Enforcement Case Downey, Paul R. Downey, Jeffry P. Leonard, John M. N/A LR-23670 https://www.sec.gov/litigation/litreleases/2016/lr23670.htm 16-CV-01950 2016-09-30 Enforcement Case Winning the Money Game with Ike, Inc. Ikokwu, Ikenna Winning the Money Game, LLC N/A LR-23671 https://www.sec.gov/litigation/litreleases/2016/lr23671.htm 1:14-CV-14099 2016-10-04 Enforcement Case Flaherty, Coleman III Brazil, Thomas N/A LR-23672 https://www.sec.gov/litigation/litreleases/2016/lr23672.htm 3-2:16-CV-07493 2016-10-07 Enforcement Case Pelorus Group, LLC Bramlette, James T. N/A LR-23673 https://www.sec.gov/litigation/litreleases/2016/lr23673.htm 1:16-CV-08088 2016-10-17 Enforcement Case Lime Energy Co. Almeida, Joaquin Alberto Dos Santos Raina, Karan Chandler, Julianne M. Smith, James G. N/A LR-23674 https://www.sec.gov/litigation/litreleases/2016/lr23674.htm 3-2:16-CV-00231 2016-10-21 Enforcement Case Salis, Christopher Miller, Douglas Miller, Edward N/A LR-23675 https://www.sec.gov/litigation/litreleases/2016/lr23675.htm 3:16-CV-02764 2016-10-21 Enforcement Case Cope, Jjames C. N/A LR-23676 https://www.sec.gov/litigation/litreleases/2016/lr23676.htm 16-CV-62501 2016-10-24 Enforcement Case Embraer S.A. N/A LR-23677 https://www.sec.gov/litigation/litreleases/2016/lr23677.htm 16-CV-4:16-00992 2016-10-25 Enforcement Case Southlake Resources Group, LLC Winters, Cody M. Hamilton, Nicholas R. N/A LR-23678 https://www.sec.gov/litigation/litreleases/2016/lr23678.htm 14-CR-40028-TSH 2016-10-25 Enforcement Case Merrill, James M. N/A LR-23679 https://www.sec.gov/litigation/litreleases/2016/lr23679.htm 1:16-CV-5960 2016-10-27 Enforcement Case Broidy, Marc D. Broidy Wealth Advisors, LLC N/A LR-23680 https://www.sec.gov/litigation/litreleases/2016/lr23680.htm 0:16-CV-3779-DFW H 2016-11-01 Enforcement Case Gilbertson, Ryan R. Howells, Thomas J. Hoskins, Douglas V. N/A LR-23681 https://www.sec.gov/litigation/litreleases/2016/lr23681.htm 15-CV-231 2016-11-01 Enforcement Case Andrade, Anthony N/A LR-23682 https://www.sec.gov/litigation/litreleases/2016/lr23682.htm 2:15-CV-06076-MCA- 2016-11-02 Enforcement Case Fedoseev, Alexander Lavlinskiy, Roman N/A LR-23683 https://www.sec.gov/litigation/litreleases/2016/lr23683.htm 2016-11-07 Enforcement Case Hill, Howard C. NewMarket Global Management I, LLC Schrichte, Christopher K. N/A LR-23684 2016-11-07 INTENTIONALLY OMITTED LR-23685 https://www.sec.gov/litigation/litreleases/2016/lr23685.htm 1:16-CV-4171-CAP 2016-11-08 Enforcement Case Jeffrey D. Smith d/b/a Atlanta Capital LLC a/d/b/a Capital Funding, Inc. Joseph Carswell d/b/a Atlanta Capital a/d/b/a Capital Funding Fullard, Michael W. N/A LR-23686 https://www.sec.gov/litigation/litreleases/2016/lr23686.htm 1:14-CV-12958 2016-11-09 Enforcement Case Parigian, Douglas A. N/A LR-23687 https://www.sec.gov/litigation/litreleases/2016/lr23687.htm 2:15-CV-03939-CJR 2016-11-09 Enforcement Case Sudfeld, Herbert K. Sudfeld, Mary Jo N/A LR-23688 https://www.sec.gov/litigation/litreleases/2016/lr23688.htm 16 CIV. 4512 (KPF) 2016-11-14 Enforcement Case Johnston, Gordon N/A LR-23689 https://www.sec.gov/litigation/litreleases/2016/lr23689.htm 16-CV-3505 2016-11-16 Enforcement Case Martin, Francisco Archer, Devon N/A LR-23690 https://www.sec.gov/litigation/litreleases/2016/lr23690.htm 16-CV-8940 2016-11-18 Enforcement Case Campion, Gavin N/A LR-23691 https://www.sec.gov/litigation/litreleases/2016/lr23691.htm 2016-11-22 Enforcement Case Fortenberry, Stanley J. N/A LR-23692 https://www.sec.gov/litigation/litreleases/2016/lr23692.htm 15-CR-10181 2016-11-22 Enforcement Case Allen, William Dewayne Daub, Susan Caras N/A LR-23693 https://www.sec.gov/litigation/litreleases/2016/lr23693.htm 16-CV-9033 2016-11-23 Enforcement Case Kumpf , Jason W. N/A LR-23694 https://www.sec.gov/litigation/litreleases/2016/lr23694.htm 4:16-CV-00902 2016-11-23 Enforcement Case Griffin, Matthew Carl N/A LR-23695 https://www.sec.gov/litigation/litreleases/2016/lr23695.htm 2:16CV01199-TC 2016-11-30 Enforcement Case Kelley, Andrew D. Shumway, Paul H. Blackbird Capital Partners, LLC N/A LR-23696 https://www.sec.gov/litigation/litreleases/2016/lr23696.htm 16-CV-06606 2016-11-30 Enforcement Case Katzen, Harrison N/A LR-23697 https://www.sec.gov/litigation/litreleases/2016/lr23697.htm 1:16-CV-24678-MGC 2016-12-01 Enforcement Case Onix Capital, LLC Chang-Rajii, Alberto Deep Ocean LLC Next Cab Ventures LLC Next Call Ventures LLC Next Chat Ventures LLC Next Pay Ventures LLC Next Track Ventures LLC Next U Ventures LLC Progressive Power LLC N/A LR-23698 https://www.sec.gov/litigation/litreleases/2016/lr23698.htm 16-CV-24872 2016-12-02 Enforcement Case Calleja, Rafael Antonio Jr. N/A LR-23699 https://www.sec.gov/litigation/litreleases/2016/lr23699.htm 14-CV-04834 2016-12-05 Enforcement Case Lindemann, Levi D. N/A LR-23700 https://www.sec.gov/litigation/litreleases/2016/lr23700.htm :11-CV-755 2016-12-07 Enforcement Case Stifel, Nicolaus & Co., Inc. Noack , David W. N/A LR-23701 https://www.sec.gov/litigation/litreleases/2016/lr23701.htm 1:16-CR-10245-ADB 2016-12-08 Enforcement Case Ponn, Nathanial D. N/A LR-23702 https://www.sec.gov/litigation/litreleases/2016/lr23702.htm 16-CV-12510 2016-12-13 Enforcement Case Cody, Richard G. Boston Investment Partners, LLC N/A LR-23703 https://www.sec.gov/litigation/litreleases/2016/lr23703.htm 1:16-CV-02473 2016-12-20 Enforcement Case Panos , Edward F. Panos , Allison G. N/A LR-23704 https://www.sec.gov/litigation/litreleases/2016/lr23704.htm 16-CV-06848 2016-12-20 Enforcement Case Nordlicht, Mark Platinum Management (NY) LLC (Platinum Management) Platinum Credit Management LP (Platinum Credit) Levy, David Small, Daniel Landesman, Uri Mann, Joseph SanFilippo, Joseph Shulse, Jeffrey N/A LR-23705 https://www.sec.gov/litigation/litreleases/2016/lr23705.htm 1:16-CV-02488 2016-12-21 Enforcement Case Braskem S.A. N/A LR-23706 https://www.sec.gov/litigation/litreleases/2016/lr23706.htm 16-CR-811 2016-12-21 Enforcement Case Dushek, Charles J. N/A LR-23707 https://www.sec.gov/litigation/litreleases/2016/lr23707.htm 3:16-CV-02103 2016-12-21 Enforcement Case Threshie, John L. Jr. N/A LR-23708 https://www.sec.gov/litigation/litreleases/2016/lr23708.htm 1:16-CV-25298 2016-12-22 Enforcement Case Teva Pharmaceutical Industries Limited N/A LR-23709 https://www.sec.gov/litigation/litreleases/2016/lr23709.htm 16-CV-9403-KM-JBC 2016-12-22 Enforcement Case Chamroonrat, Naris Plumer, Adam L. Nonko Trading N/A LR-23710 https://www.sec.gov/litigation/litreleases/2016/lr23710.htm 3-16-CV-12510-FDS 2016-12-22 Enforcement Case Boston Investment Partners, LLC Cody, Richard G. N/A LR-23711 https://www.sec.gov/litigation/litreleases/2016/lr23711.htm 16 CV 9947 2016-12-27 Enforcement Case Hong, Iat Zheng, Bo Chin, Hung N/A LR-23712 https://www.sec.gov/litigation/litreleases/2016/lr23712.htm 8:16-CV-02257-CJC- 2016-12-27 Enforcement Case PDC Capital Francisco, Emilio N/A LR-23713 https://www.sec.gov/litigation/litreleases/2016/lr23713.htm 15-CV-12350 2016-12-28 Enforcement Case Interinvest Corporation, Inc. Black, Hans Peter N/A LR-23714 https://www.sec.gov/litigation/litreleases/2016/lr23714.htm 0:16-CV-63036 2016-12-28 Enforcement Case AJN Investments, LLC Ogden, Jason Adam N/A SIPA-174 https://www.sec.gov/rules/other/2016/sipa-174.pdf SIPC-2016-01 2016-02-22 Notice of determination of the Board of Directors of the Securities Investor Protection Corporation regarding the standard maximum cash advance amount, beginning January 1, 2017 Notice Securities Investor Protection Corporation http://www.federalregister.gov/citation/81-FR-9561 81-FR-9561 SIPA-175 https://www.sec.gov/rules/other/2016/sipa-175.pdf SIPC-2015-01 2016-03-14 Final rule Final Rule Securities Investor Protection Corporation http://www.federalregister.gov/citation/81-FR-14372 81-FR-14372 SIPA-176 https://www.sec.gov/rules/other/2016/sipa-176.pdf SIPC-2016-01 2016-03-30 Order / Approving the Determination of the Board of Directors of the Securities Investor Protection Corporation not to Adjust for Inflation the Standard Maximum Cash Advance Amount and Notice of the Standard Maximum Cash Advance Amount Order Securities Investor Protection Corporation http://www.federalregister.gov/citation/81-FR-19250 81-FR-19250 SIPA-177 https://www.sec.gov/rules/other/2016/sipa-177.pdf SIPC-2016-02 2016-06-15 Notice / Proposed Bylaw Amendments Relating to Assessment of SIPC Members Notice Securities Investor Protection Corporation http://www.federalregister.gov/citation/81-FR-39986 81-FR-39986 SIPA-178 https://www.sec.gov/rules/other/2016/sipa-178.pdf SIPC-2016-02 2016-08-30 Order/Relating to SIPC Fund Assessments on SIPC Members Orders Securities Investor Protection Corporation http://www.federalregister.gov/citation/81-FR-61263 81-FR-61263 AAER-3731 https://www.sec.gov/litigation/admin/2016/33-10002.pdf 33-10002 34-76876 3-16729 2016-01-12 AP Settled Miller Energy Resources, Inc. N/A AAER-3732 https://www.sec.gov/litigation/admin/2016/34-76879.pdf 34-76879 3-17047 2016-01-12 AP Settled Hackney, Reid A., CPA N/A AAER-3733 https://www.sec.gov/litigation/admin/2016/34-76938.pdf 34-76938 3-17060 2016-01-20 AP Settled Ocwen Financial Corp. N/A AAER-3734 https://www.sec.gov/litigation/litreleases/2016/lr23454.htm LR-23454 3-15-CV-1461-YGR (LB) 2016-01-27 Enforcement Case Miller, Andrew M. N/A AAER-3735 https://www.sec.gov/litigation/admin/2016/34-76978.pdf 34-76978 3-17069 2016-01-27 AP Litigated Lee, Justin Moongyu Lee, Esq., CPA N/A AAER-3736 https://www.sec.gov/litigation/admin/2016/34-77005.pdf 34-77005 3-17080 2016-02-01 AP Settled SAP SE N/A AAER-3737 https://www.sec.gov/litigation/opinions/2016/33-10032.pdf 33-10032 34-77039 3-16386 2016-02-02 Notice Anderson, Traci J., CPA N/A AAER-3738 https://www.sec.gov/litigation/admin/2016/34-77057.pdf 34-77057 3-17100 2016-02-04 AP Settled Plaza, Ignacio Cueto N/A AAER-3739 https://www.sec.gov/litigation/admin/2016/34-77058.pdf 34-77058 3-17101 2016-02-04 AP Settled SciClone Pharmaceuticals, Inc. N/A AAER-3740 https://www.sec.gov/litigation/admin/2016/33-10036.pdf 33-10036 34-77073 3-17104 2016-02-05 AP Settled Whelan, Kelly A., CPA BioElectronics Corp. Bedwell, Robert P., CPA St. John's, LLC IBEX, LLC Whelan, Andrew J. N/A AAER-3741 https://www.sec.gov/litigation/admin/2016/33-10037.pdf 33-10037 34-77087 3-17107 2016-02-09 AP Settled Monsanto Company Hartke, Anthony P., CPA Brunnquell, Sara M., CPA Nienas, Jonathan W. N/A AAER-3742 https://www.sec.gov/litigation/admin/2016/33-10039.pdf 33-10039 34-77114 3-17112 2016-02-11 AP Settled Woo, Susan, CPA Frazer Frost, LLP Suen, Miranda, CPA N/A AAER-3743 https://www.sec.gov/litigation/admin/2016/34-77145.pdf 34-77145 3-17118 2016-02-16 AP Settled PTC Inc. N/A AAER-3744 https://www.sec.gov/litigation/admin/2016/34-77161.pdf 34-77161 3-17120 2016-02-17 AP Settled Glidewell, Donald J., CPA N/A AAER-3745 https://www.sec.gov/litigation/admin/2016/34-77162.pdf 34-77162 3-17121 2016-02-17 AP Settled Barcenas, Julieta Favela N/A AAER-3746 https://www.sec.gov/litigation/admin/2016/34-77207.pdf 34-77207 3-17126 2016-02-23 AP Litigated Maiher, Jason N/A AAER-3747 https://www.sec.gov/litigation/admin/2016/34-77224.pdf 34-77224 IA-4344 3-17130 2016-02-24 AP Settled Lee, David S., CPA N/A AAER-3748 https://www.sec.gov/litigation/admin/2016/34-77231.pdf 34-77231 3-17134 2016-02-25 AP Litigated Quintanilla, Timothy, CPA N/A AAER-3749 https://www.sec.gov/alj/aljdec/2016/34-77248.pdf 34-77248 3-16399 2016-02-26 Notice Halpern, Barbara, CPA Halpern & Associates LLC N/A AAER-3750 https://www.sec.gov/litigation/admin/2016/34-77254.pdf 34-77254 3-17140 2016-02-29 AP Settled KeyBanc Capital Markets Inc. N/A AAER-3751 https://www.sec.gov/litigation/admin/2016/34-77261.pdf 34-77261 3-17145 2016-03-01 AP Settled Qualcomm Incorporated N/A AAER-3752 https://www.sec.gov/litigation/admin/2016/33-10053.pdf 33-10053 3-17162 2016-03-09 AP Settled Westlands Water District Birmingham, Thomas W. Ciapponi, Louie David N/A AAER-3753 https://www.sec.gov/litigation/admin/2016/34-77342.pdf 34-77342 3-17163 2016-03-10 AP Settled Allred, Joseph R., CPA N/A AAER-3754 https://www.sec.gov/litigation/admin/2016/34-77343.pdf 34-77343 3-17164 2016-03-10 AP Settled Gray, Wayne, CPA N/A AAER-3755 https://www.sec.gov/litigation/admin/2016/34-77344.pdf 34-77344 3-17165 2016-03-10 AP Settled Krueger, David S., CPA N/A AAER-3756 https://www.sec.gov/litigation/admin/2016/34-77345.pdf 34-77345 3-17166 2016-03-10 AP Settled Magnum Hunter Resources Corporation N/A AAER-3757 https://www.sec.gov/litigation/admin/2016/34-77346.pdf 34-77346 3-17167 2016-03-10 AP Settled Ormand, Ronald D. N/A AAER-3758 https://www.sec.gov/litigation/admin/2016/33-10055.pdf 33-10055 34-77372 3-17171 2016-03-15 AP Settled ModusLink Global Solutions, Inc. Lawler, Joseph C. Venable, Catherine L. Crane, Steven G. N/A AAER-3759 https://www.sec.gov/litigation/admin/2016/34-77431.pdf 34-77431 3-17177 2016-03-23 AP Settled Novartis AG N/A AAER-3760 https://www.sec.gov/litigation/admin/2016/34-77447.pdf 34-77447 3-17180 2016-03-25 AP Litigated Berman & Company, P.A. Berman, Elliot R., CPA N/A AAER-3761 https://www.sec.gov/litigation/admin/2016/34-77473.pdf 34-77473 IA-4360 IC-32060 3-17186 2016-03-30 AP Settled Sen, Helena C., CPA Burrill, G. Steven, CPA Burill Capital Management, LLC Hebert, Victor A., Esq. N/A AAER-3762 https://www.sec.gov/litigation/admin/2016/34-77531.pdf 34-77531 3-17197 2016-04-05 AP Settled Caughran, William H., Esq. N/A AAER-3763 https://www.sec.gov/litigation/admin/2016/34-77542.pdf 34-77542 3-17201 2016-04-06 AP Settled Williford, Gregory Scott, CPA Thakkar CPA, PLLC Thakkar, Poorvesh Thakkar, Mahesh, CPA N/A AAER-3764 https://www.sec.gov/litigation/admin/2016/34-77596.pdf 34-77596 3-17207 2016-04-12 AP Settled INTL FCStone INC. N/A AAER-3765 https://www.sec.gov/litigation/admin/2016/34-77644.pdf 34-77644 3-17212 2016-04-19 AP Settled Bolles, Sherralyn, CPA Logitech International, S.A. Doktorczyk, Michael N/A AAER-3766 https://www.sec.gov/litigation/admin/2016/33-10068.pdf 33-10068 34-77645 3-17213 2016-04-19 AP Settled Seidel, Jeffrey A. Ener1, Inc. Kamischke, Robert R. Gassenheimer, Charles L. N/A AAER-3767 https://www.sec.gov/litigation/admin/2016/34-77646.pdf 34-77646 3-17214 2016-04-19 AP Settled Hesselgesser, Robert D., CPA N/A AAER-3768 https://www.sec.gov/litigation/admin/2016/34-77657.pdf 34-77657 3-17215 2016-04-20 AP Settled Messenbaugh, Laura P., CPA N/A AAER-3769 https://www.sec.gov/litigation/opinions/2016/34-77683.pdf 34-77683 3-17134 2016-04-21 Order Quintanilla, Timothy, CPA N/A AAER-3770 https://www.sec.gov/litigation/admin/2016/34-77717.pdf 34-77717 3-17227 2016-04-26 AP Settled Castner, Ralph W., CPA Cabela's Incorporated N/A AAER-3771 https://www.sec.gov/litigation/admin/2016/34-77718.pdf 34-77718 3-17228 2016-04-26 AP Litigated David S. Hall, P.C. d/b/a The Hall Group CPAs Cisneros, Susan A. Cochran, Michelle L. Helterbran, CPA Hall, David S., CPA N/A AAER-3772 https://www.sec.gov/litigation/admin/2016/34-77745.pdf 34-77745 IA-4380 3-17238 2016-04-29 AP Settled Santos, Postal & Company, P.C. Scolaro, Joseph A., CPA N/A AAER-3773 https://www.sec.gov/litigation/admin/2016/34-77755.pdf 34-77755 3-17240 2016-05-02 AP Settled MaloneBailey, LLP Norris, Jay Phillip, CPA N/A AAER-3774 https://www.sec.gov/litigation/admin/2016/34-77882.pdf 34-77882 3-15168 2016-05-20 Order Bennett, Darren M., CPA Aesoph, John J., CPA N/A AAER-3775 https://www.sec.gov/litigation/admin/2016/33-10081.pdf 33-10081 34-77887 3-17257 2016-05-24 AP Settled Swisher Hygiene Inc. N/A AAER-3776 https://www.sec.gov/litigation/admin/2016/33-10085.pdf 33-10085 34-77967 3-17268 2016-06-01 AP Settled Starrett, Jane E., CPA N/A AAER-3777 https://www.sec.gov/litigation/admin/2016/34-77997.pdf 34-77997 3-17277 2016-06-06 AP Settled Kobylarek, David A., CPA Silberstein Ungar PLLC Gorback, Seth A. Ungar, Joel M., CPA Silberstein, Ronald N., CPA N/A AAER-3778 https://www.sec.gov/litigation/admin/2016/33-10089.pdf 33-10089 34-78007 3-16729 2016-06-07 AP Settled Boyd, Paul W., CPA N/A AAER-3779 https://www.sec.gov/litigation/admin/2016/33-10090.pdf 33-10090 34-78008 3-16729 2016-06-07 AP Settled Hall, David M. N/A AAER-3780 https://www.sec.gov/litigation/admin/2016/33-10091.pdf 33-10091 34-78009 3-16729 2016-06-07 AP Settled Vogt, III, Carlton, W., CPA N/A AAER-3781 https://www.sec.gov/litigation/admin/2016/33-10092.pdf 33-10092 34-78010 3-17112 2016-06-07 AP Settled Suen, Miranda, CPA Frazer Frost, LLP Woo, Susan, CPA N/A AAER-3782 https://www.sec.gov/litigation/admin/2016/34-78017.pdf 34-78017 3-17278 2016-06-08 AP Settled Years, Ronald J. Doody, Donald S. IEC Electronics Corp. N/A AAER-3783 https://www.sec.gov/litigation/admin/2016/34-78030.pdf 34-78030 3-17283 2016-06-10 AP Settled ICON Capital LLC (f/k/a ICON Capital Corporation N/A AAER-3784 https://www.sec.gov/litigation/admin/2016/34-78113.pdf 34-78113 3-17305 2016-06-21 AP Settled Analogic Corporation Frost, Lars N/A AAER-3785 https://www.sec.gov/litigation/admin/2016/34-78145.pdf 34-78145 3-17134 2016-06-23 AP Settled Quintanilla, Timothy, CPA N/A AAER-3786 https://www.sec.gov/litigation/litreleases/2016/lr23585.htm LR-23585 15 MISC.0221 2016-06-28 Enforcement Case Rivard, David N/A AAER-3787 https://www.sec.gov/litigation/admin/2016/34-78270.pdf 34-78270 3-17330 2016-07-08 AP Settled Chen, Toni Tong, CPA N/A AAER-3788 https://www.sec.gov/litigation/admin/2016/34-78273.pdf 34-78273 IA-4447 3-17332 2016-07-11 AP Settled Ackman, Blair D., CPA N/A AAER-3789 https://www.sec.gov/litigation/admin/2016/34-78341.pdf 34-78341 3-17345 2016-07-15 AP Settled Phoenix Companies, Inc. N/A AAER-3790 https://www.sec.gov/litigation/admin/2016/34-78393.pdf 34-78393 3-17356 2016-07-22 AP Settled EFP Rotenberg, LLP Bottini, Nicholas, CPA N/A AAER-3791 https://www.sec.gov/litigation/admin/2016/34-78395.pdf 34-78395 3-14171 2016-07-22 Order Schneider, James, M. CPA N/A AAER-3792 https://www.sec.gov/litigation/admin/2016/34-78402.pdf 34-78402 3-17357 2016-07-25 AP Settled LAN Airlines S.A. N/A AAER-3793 https://www.sec.gov/litigation/admin/2016/34-78413.pdf 34-78413 3-17361 2016-07-26 AP Settled Chen, Yi, CPA N/A AAER-3794 https://www.sec.gov/litigation/admin/2016/34-78558.pdf 34-78558 3-17379 2016-08-11 AP Settled Key Energy Services, Inc. N/A AAER-3795 https://www.sec.gov/litigation/admin/2016/34-78607.pdf 34-78607 3-17126 2016-08-17 AP Settled Maiher, Jason N/A AAER-3796 https://www.sec.gov/litigation/opinions/2016/ia-4495.pdf IA-4495 IC-32236 3-16462 2016-08-24 Orders Tilton, Lynn Patriarch Partners, LLC Patriarch Partners VIII, LLC Patriarch Partners XIV, LLC Patriarch Partners XV, LLc N/A AAER-3797 https://www.sec.gov/litigation/admin/2016/34-78711.pdf 34-78711 3-17510 2016-08-29 AP Settled Dulek, Thomas CPA N/A AAER-3798 https://www.sec.gov/litigation/admin/2016/34-78730.pdf 34-78730 3-17517 2016-08-30 AP Settled AstraZeneca PLC N/A AAER-3799 https://www.sec.gov/litigation/admin/2016/34-78824.pdf 34-78824 3-17534 2016-09-13 AP Settled Portugal Telecom, SGPS, S.A., nka PHAROL SGPS, S.A. N/A AAER-3800 https://www.sec.gov/litigation/admin/2016/34-78825.pdf 34-78825 3-17535 2016-09-13 AP Settled Zhang, Jun Ping N/A AAER-3801 https://www.sec.gov/litigation/admin/2016/33-10211.pdf 33-10211 34-78864 3-17546 2016-09-16 AP Settled Dittman, Scott M. CPA N/A AAER-3802 https://www.sec.gov/litigation/admin/2016/34-78872.pdf 34-78872 3-17552 2016-09-19 AP Settled Ernst & Young LLP Bednar, Gregory S. N/A AAER-3803 https://www.sec.gov/litigation/admin/2016/34-78873.pdf 34-78873 3-17553 2016-09-19 AP Settled Ernst & Young LLP Brehl, Robert J. Hartford, Pamela J. Kamienski, Michael T. N/A AAER-3804 https://www.sec.gov/litigation/admin/2016/34-78896.pdf 34-78896 3-17561 2016-09-21 AP Settled Park National Corporation N/A AAER-3805 https://www.sec.gov/litigation/admin/2016/34-78897.pdf 34-78897 3-17562 2016-09-21 AP Settled Waegelein, Robert N/A AAER-3806 https://www.sec.gov/litigation/admin/2016/33-10221.pdf 33-10221 34-78944 3-17582 2016-09-27 AP Settled Weatherford International plc f/k/a Weatherford International Ltd. Hudgins, James M. Kitay, Darryl S. N/A AAER-3807 https://www.sec.gov/litigation/admin/2016/33-10222.pdf 33-10222 34-78947 3-17583 2016-09-27 AP Settled Orrstown Financial Services, Inc. Quinn, Thomas R. Everly, Bradley S. Embly, Jeffrey W. Barton, Douglas P. N/A AAER-3808 https://www.sec.gov/litigation/admin/2016/34-78957.pdf 34-78957 3-17586 2016-09-28 AP Settled Anheuser-Busch InBev SA/NV N/A AAER-3809 https://www.sec.gov/litigation/admin/2016/34-79004.pdf 34-79004 3-17605 2016-09-30 AP Settled D'Arelli Pruzansky, P.A. D’Arelli, Joseph Pruzansky, Mitchell J. N/A AAER-3810 https://www.sec.gov/litigation/admin/2016/34-79005.pdf 34-79005 3-17606 2016-09-30 AP Settled GlaxoSmithKline plc N/A AAER-3811 https://www.sec.gov/litigation/admin/2016/34-79019.pdf 34-79019 3-17611 2016-09-30 AP Settled Ritter, Alan N/A AAER-3812 https://www.sec.gov/litigation/admin/2016/34-79020.pdf 34-79020 IA-4544 3-17612 2016-09-30 AP Settled Duban, Dennis N/A AAER-3813 https://www.sec.gov/litigation/admin/2016/34-79021.pdf 34-79021 3-17613 2016-09-30 AP Settled Brazile, Steven M. N/A AAER-3814 https://www.sec.gov/litigation/admin/2016/34-79109.pdf 34-79109 3-17628 2016-10-18 AP Settled Ernst & Young LLP Fronckiewicz, Craig R. CPA Adams, Sarah E. CPA N/A AAER-3815 https://www.sec.gov/litigation/admin/2016/34-79120.pdf 34-79120 3-17633 2016-10-19 AP Litigated Aronson, David A. CPA N/A AAER-3816 https://www.sec.gov/litigation/admin/2016/34-79127.pdf 34-79127 3-17639 2016-10-20 AP Settled FMC Technologies, Inc. Favret, Jeffrey CPA Croft, Steven CPA N/A AAER-3817 https://www.sec.gov/litigation/admin/2016/34-79137.pdf 34-79137 3-17640 2016-10-21 AP Settled Chandler, Julianne M. N/A AAER-3818 https://www.sec.gov/litigation/admin/2016/34-79147.pdf 34-79147 3-17228 2016-10-24 AP Settled David S. Hall, P.C. d/b/a The Hall Group, CPAs Hall, David S. CPA N/A AAER-3819 https://www.sec.gov/litigation/admin/2016/34-79176.pdf 34-79176 3-17104 2016-10-27 AP Settled Bedwell, Robert P. CPA N/A AAER-3820 https://www.sec.gov/litigation/admin/2016/34-79193.pdf 34-79193 3-17651 2016-10-31 AP Litigated Beamish, Adrian D. CPA N/A AAER-3821 https://www.sec.gov/litigation/admin/2016/33-10242.pdf 33-10242 34-79196 3-17654 2016-10-31 AP Settled PKF O’Connor Davies, LLP Consolo, Domenick F. CPA N/A AAER-3822 https://www.sec.gov/litigation/admin/2016/34-79256.pdf 34-79256 3-17670 2016-11-07 AP Settled PowerSecure International, Inc. N/A AAER-3823 https://www.sec.gov/litigation/admin/2016/33-10256.pdf 33-10256 3-17678 2016-11-15 AP Settled Egan, Christopher N/A AAER-3824 https://www.sec.gov/litigation/admin/2016/34-79335.pdf 34-79335 3-17684 2016-11-17 AP Settled JPMorgan Chase & Co. N/A AAER-3825 https://www.sec.gov/litigation/admin/2016/34-79364.pdf 34-79364 3-17691 2016-11-21 AP Settled PMB Helin Donovan, LLP Bauer, Christopher CPA Jamieson, Jeffrey CPA N/A AAER-3826 https://www.sec.gov/litigation/admin/2016/34-79368.pdf 34-79368 IA-4572 3-17694 2016-11-21 AP Settled Grassi & Co., CPAs, P.C. N/A AAER-3827 https://www.sec.gov/litigation/admin/2016/34-79369.pdf 34-79369 IA-4573 3-17695 2016-11-21 AP Settled Purwin, Gary R. CPA N/A AAER-3828 https://www.sec.gov/litigation/admin/2016/34-79393.pdf 34-79393 3-14044 2016-11-23 Orders Merkley, Kendall G. CPA N/A AAER-3829 https://www.sec.gov/litigation/admin/2016/34-79394.pdf 34-79394 3-15033 2016-11-23 Orders Krohn, Michael K. CPA N/A AAER-3830 https://www.sec.gov/litigation/admin/2016/34-79395.pdf 34-79395 3-13190 2016-11-23 Orders Shapiro, Mark David CPA N/A AAER-3831 https://www.sec.gov/litigation/admin/2016/34-79396.pdf 34-79396 3-15358 2016-11-23 Orders Zucker, Brian CPA N/A AAER-3832 https://www.sec.gov/litigation/admin/2016/34-79397.pdf 34-79397 3-13952 2016-11-23 Orders Hozie, Stephen A. N/A AAER-3833 https://www.sec.gov/litigation/admin/2016/34-79454.pdf 34-79454 3-17705 2016-12-02 AP Settled United Continental Holdings, Inc. N/A AAER-3834 https://www.sec.gov/litigation/admin/2016/34-79483.pdf 34-79483 2016-12-06 AP Settled KPMG LLP N/A AAER-3835 https://www.sec.gov/litigation/admin/2016/34-79650.pdf 34-79650 3-17742 2016-12-21 AP Settled Jack Henry & Associates, Inc. N/A AAER-3836 https://www.sec.gov/litigation/admin/2016/34-79668.pdf 34-79668 3-17745 2016-12-22 AP Settled Saraf, Alok CA N/A AAER-3837 https://www.sec.gov/litigation/admin/2016/34-79669.pdf 34-79669 3-17746 2016-12-22 AP Settled Wipro Limited Komandur, Badree ACA Arunachalam, Satish CA N/A AAER-3838 https://www.sec.gov/litigation/admin/2016/34-79691.pdf 34-79691 3-9135 2016-12-27 Orders Greifeld, Philip M. CPA N/A AAER-3839 https://www.sec.gov/litigation/admin/2016/34-79698.pdf 34-79698 3-17753 2016-12-27 AP Settled Loppert, David A. N/A AAER-3840 https://www.sec.gov/litigation/admin/2016/34-79702.pdf 34-79702 3-17754 2016-12-29 AP Settled General Cable Corporation N/A