Final Rule/Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants

2018-04-18 2018 2018-01-02 2018-03-23 Securities Act of 1933 33 10450 10471* Securities Exchange Act of 1934 34 82425 82944* Trust Indenture Act of 1939 39 2520 2520* Administrative Proceedings AP 5428 5657 Investment Advisers Act of 1940 IA 4836 4869 Investment Company Act of 1940 IC 32958 33056* Initial Decisions (ALJ) ID 1230 1246 Litigation Releases LR 24023 24080 Privacy Act PA 53 54 Accounting and Auditing Enforcement Release AAER 3917 3929 33-10456 https://www.sec.gov/rules/other/2018/33-10456.pdf 33-7424 34-38771 34-82656 https://www.sec.gov/rules/other/2018/33-10456.pdf 35-26733 39-2354 IC-22727 IC-33005 https://www.sec.gov/rules/ic/2018/ic-33005.pdf 33-10450 https://www.sec.gov/rules/final/2018/33-10450.pdf S7-09-14 2018-01-05 Final Rule/Treatment of Certain Communications Involving Security-Based Swaps That May Be Purchased Only By Eligible Contract Participants Rulemaking 33 Act; Rule 135d http://www.federalregister.gov/citation/83-FR-2046 83-FR-2046 33-10451 https://www.sec.gov/rules/other/2018/33-10451.pdf 34-82455 IA-4842 IC-32963 2018-01-08 Final Rule Rulemaking Adjustments to Civil Monetary Penalty Amounts http://www.federalregister.gov/citation/83-FR-1396 83-FR-1396 33-10452 https://www.sec.gov/litigation/admin/2018/33-10452.pdf 3-18334 2018-01-09 Order Making Findings, Specifying Procedures, and Temporarily Suspending Exemption Order Punch TV Studios, Inc. 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N/A 33-10463 https://www.sec.gov/litigation/admin/2018/33-10463.pdf 34-82808 3-18388 2018-03-06 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order New York Stock Exchange LLC American LLC f/k/a NYSE MKT LLC and NYSE Amex LLC NYSE Arca, Inc. N/A 33-10464 https://www.sec.gov/rules/other/2018/33-10464.pdf NO FILE NUMBER 2018-03-06 Order Granting Waiver From Being An Ineligible Issuer Other Intercontinental Exchange, Inc. N/A 33-10465 https://www.sec.gov/litigation/admin/2018/33-10465.pdf 34-82826 3-18392 2018-03-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Merrill Lynch, Pierce, Fenner & Smith Incorporated N/A 33-10466 https://www.sec.gov/rules/other/2018/33-10466.pdf NO FILE NUMBER 2018-03-08 Order Granting a Waiver of Disqualification Provision Waiver Order CF Waiver-Merrill Lynch, Pierce, Fenner & Smith Incorporated N/A 33-10467 https://www.sec.gov/rules/final/2018/33-10467.pdf 34-82830 39-2520 IC-33041 NO FILE NUMBER 2018-03-08 Adoption of Updated EDGAR Filer Manual Rulemaking Revisions to EDGAR Filer Manual, Volume I - "General Information" Volume II - "EDGAR Filing" http://www.federalregister.gov/citation/83-FR-11637 83-FR-11637 33-10468 https://www.sec.gov/litigation/opinions/2018/33-10468.pdf 34-82836 3-16509 2018-03-08 Order Denying Motion for Reconsideration Order Daspin, Edwin M. a/k/a "Edward (Ed) Michael" N/A 33-10469 https://www.sec.gov/litigation/admin/2018/33-10469.pdf 3-18398 2018-03-12 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Credit Karma, Inc. N/A 33-10470 https://www.sec.gov/rules/other/2018/33-10470.pdf 34-82869 IA-4869 IC-33045 S7-06-18 2018-03-14 Notice of Semiannual regulatory agenda Rulemaking Semiannual Regulatory Agenda N/A 33-10471 https://www.sec.gov/litigation/admin/2018/33-10471.pdf 34-82929 IC-33050 3-17716 2018-03-22 Order Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order/and Ordering Additional Proceedings Order Baker, Robert L. Bowen, Michael D. Herrara, Jacob B. N/A 33-7424A https://www.sec.gov/rules/final/2018/33-7424a.pdf 34-38771 35-26733 39-2354 IC-22727 NO FILE NO. 2018-01-24 Final Rule Other Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers http://www.federalregister.gov/citation/82-FR-4138 82-FR-4138 34-38771A https://www.sec.gov/rules/final/2018/33-7424a.pdf 33-7424 35-26733 39-2354 IC-22727 NO FILE NO. 2018-01-24 Final Rule Other Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers http://www.federalregister.gov/citation/82-FR-4138 82-FR-4138 34-82425 https://www.sec.gov/rules/sro/phlx/2018/34-82425.pdf SR-PHLX-2017-74 2018-01-02 Notice / Withdrawal /to Introduce the Intellicator Analytic Tool Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-841 83-FR-841 34-82426 https://www.sec.gov/rules/sro/dtc/2018/34-82426.pdf SR-DTC-2017-022 2018-01-02 Notice /to Amend the Loss Allocation Rules and Make Other Changes Notice The Depository Trust Company http://www.federalregister.gov/citation/83-FR-913 83-FR-913 34-82427 https://www.sec.gov/rules/sro/ficc/2018/34-82427.pdf SR-FICC-2017-022 2018-01-02 Notice /to Amend the Loss Allocation Rules and Make Other Changes Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-854 83-FR-854 34-82428 https://www.sec.gov/rules/sro/nscc/2018/34-82428.pdf SR-NSCC-2017-018 2018-01-02 Notice /to Amend the Loss Allocation Rules and Make Other Changes Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-897 83-FR-897 34-82429 https://www.sec.gov/rules/sro/cboebzx/2018/34-82429.pdf SR-CBOEBZX-2017-021 2018-01-02 Notice /to List and Trade Shares of the First Trust Bitcoin Strategy ETF and the First Trust Inverse Bitcoin Strategy ETF, Each a Series of the First Trust Exchange-Traded Fund VII, under Rule 14.11(i), Managed Fund Shares Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-929 83-FR-929 34-82430 https://www.sec.gov/rules/sro/nscc/2018/34-82430.pdf SR-NSCC-2017-017 2018-01-02 Notice /to Adopt a Recovery & Wind-down Plan and Related Rules Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-841 83-FR-841 34-82431 https://www.sec.gov/rules/sro/ficc/2018/34-82431.pdf SR-FICC-2017-021 2018-01-02 Notice /to Adopt a Recovery & Wind-down Plan and Related Rules Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-871 83-FR-871 34-82432 https://www.sec.gov/rules/sro/dtc/2018/34-82432.pdf SR-DTC-2017-021 2018-01-02 Notice /to Adopt a Recovery & Wind-down Plan and Related Rules Notice Depository Trust Company http://www.federalregister.gov/citation/83-FR-884 83-FR-884 34-82433 https://www.sec.gov/rules/sro/dtc/2018/34-82433.pdf SR-DTC-2017-023 2018-01-02 Notice /to Restore the Timeframe for Processing Credit Post-Payable Adjustments Notice The Depository Trust Company 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83-FR-1050 34-82437 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82437.pdf SR-CBOEEDGX-2017-009 2018-01-03 Notice / Immediate Effectiveness/to Adopt Risk Controls and Modify Rules 21.1, 21.10, and 21.17 in Connection with Technology Migration of Cboe Exchanges Notice Cboe EDGX Exchange, Inc http://www.federalregister.gov/citation/83-FR-1058 83-FR-1058 34-82438 https://www.sec.gov/litigation/admin/2018/34-82438.pdf IA-4837 3-18329 2018-01-03 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Bassily, Khaled N/A 34-82439 https://www.sec.gov/rules/sro/nasdaq/2018/34-82439.pdf SR-NASDAQ-2017-128 2018-01-03 Notice /to List and Trade the Shares of the Western Asset Total Return ETF Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-1062 83-FR-1062 34-82440 https://www.sec.gov/rules/sro/nms/2018/34-82440.pdf S7-24-89 2018-01-03 Notice / Immediate Effectiveness/Forty-First Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Notice Joint Industry Plan; Forty-First Amendment to the NASDAQ-UTP Plan Cboe BYX Exchange, Inc. 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N/A 34-82444 https://www.sec.gov/rules/sro/cboebzx/2018/34-82444.pdf SR-CBOEBZX-2017-023 2018-01-05 Notice /to List and Trade Shares of the iShares Gold Exposure ETF, a Series of the iShares U.S. ETF Trust, Under Exchange Rule 14.11(i), Managed Fund Shares Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-1438 83-FR-1438 34-82445 https://www.sec.gov/rules/sro/phlx/2018/34-82445.pdf SR-PHLX-2017-99 2018-01-05 Order/Granting Accelerated Approval of a Proposed Rule Change to Amend Rule 1059 to Make Permanent a Program that Allows Cabinet Trade Transactions to Take Place at a Price Below $1 Per Option Contract Order Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-1445 83-FR-1445 34-82446 https://www.sec.gov/rules/sro/ise/2018/34-82446.pdf SR-ISE-2017-112 2018-01-05 Notice / Immediate Effectiveness/to Amend Certain Non-Transaction Fees in the Exchanges Schedule of Fees Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-1446 83-FR-1446 34-82447 https://www.sec.gov/rules/sro/nyseamer/2018/34-82447.pdf SR-NYSEAMER-2017-40 2018-01-05 Notice / Immediate Effectiveness/to Amend Rule 7.31E Relating to Mid-Point Liquidity Orders and the MTS Modifier and Rule 7.36E to Add a Definition of Aggressing Order Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-1442 83-FR-1442 34-82448 https://www.sec.gov/rules/sro/nysearca/2018/34-82448.pdf SR-NYSEARCA-2017-131 2018-01-05 Notice / Order Accelerating /Granting Approval to List and Trade Shares of the Sprott Physical Gold and Silver Trust under NYSE Arca Rule 8.201-E Notice/Order NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-1428 83-FR-1428 34-82449 https://www.sec.gov/rules/sro/gemx/2018/34-82449.pdf SR-GEMX-2017-60 2018-01-05 Notice / Immediate Effectiveness/to Amend Various Fees and Rebates Set Forth in Section I of the Exchanges Schedule of Fees Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/83-FR-1388 83-FR-1388 34-82450 https://www.sec.gov/rules/sro/cboebzx/2018/34-82450.pdf SR-CBOEBZX-2017-019 2018-01-05 Notice / Immediate Effectiveness/Related to Market Data Fees Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-1391 83-FR-1391 34-82451 https://www.sec.gov/rules/sro/nms/2018/34-82451.pdf 4-698 2018-01-05 Notice / Immediate Effectiveness/of Amendment No. 4 to the National Market System Plan Governing the Consolidated Audit Trail Notice Cboe BZX Exchange, Inc. 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N/A 34-82453 https://www.sec.gov/litigation/admin/2018/34-82453.pdf IA-4840 3-18331 2018-01-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Boyd, Donna N/A 34-82454 https://www.sec.gov/litigation/admin/2018/34-82454.pdf IA-4841 3-18332 2018-01-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Tao, James C. N/A 34-82455 https://www.sec.gov/rules/other/2018/33-10451.pdf 33-10451 IA-4842 IC-32963 2018-01-08 Final Rule Rulemaking Adjustments to Civil Monetary Penalty Amounts http://www.federalregister.gov/citation/83-FR-1396 83-FR-1396 34-82456 https://www.sec.gov/rules/sro/box/2018/34-82456.pdf SR-BOX-2017-33 2018-01-08 Order/Approving a Proposed Rule Change to Amend the Minimum Order Size for the Floor Broker Guarantee Provided in BOX Rule 7600(f) Order BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-1651 83-FR-1651 34-82457 https://www.sec.gov/rules/sro/c2/2018/34-82457.pdf SR-C2-2017-033 2018-01-08 Notice / Immediate Effectiveness/to Rule 6.12, Order and Quote Execution and Priority Notice Cboe C2 Exchange, Inc http://www.federalregister.gov/citation/83-FR-1643 83-FR-1643 34-82458 https://www.sec.gov/rules/sro/ise/2018/34-82458.pdf SR-ISE-2017-111 2018-01-08 Notice /to Establish a Nonstandard Expirations Pilot Program Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-1636 83-FR-1636 34-82459 https://www.sec.gov/rules/sro/cboe/2018/34-82459.pdf SR-CBOE-2017-084 2018-01-08 Notice / Immediate Effectiveness/to Amend Rule 6.13, CBOE Hybrid System Automatic Execution Feature Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-1639 83-FR-1639 34-82460 https://www.sec.gov/rules/sro/gemx/2018/34-82460.pdf SR-GEMX-2017-62 2018-01-08 Notice / Immediate Effectiveness/Relating to Market Makers' Regulatory Fees Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/83-FR-1646 83-FR-1646 34-82461 https://www.sec.gov/rules/sro/cboe/2018/34-82461.pdf SR-CBOE-2017-083 2018-01-08 Notice / Immediate Effectiveness/to Amend the Fees Schedule Notice Cboe Exchange, Inc. http://www.federalregister.gov/citation/83-FR-1641 83-FR-1641 34-82462 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82462.pdf SR-CBOEEDGX-2017-010 2018-01-08 Notice / Immediate Effectiveness/to Adopt Fees for Certain Market Data Products on the Exchange's Equity Options Platform Notice Cboe EDGX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-1647 83-FR-1647 34-82463 https://www.sec.gov/litigation/admin/2018/34-82463.pdf 3-18333 2018-01-08 Order Instituting Administrative Proceedings and Notice of Hearing Order Blacksands Petroleum, Inc. China Education Alliance, Inc. DoMark International, Inc. East Coast Diversified Corp. N/A 34-82464 https://www.sec.gov/litigation/suspensions/2018/34-82464.pdf 500-1 2018-01-08 Trading Suspension Order Blacksands Petroleum, Inc. China Education Alliance, Inc. DoMark International, Inc. East Coast Diversified Corp. N/A 34-82465 https://www.sec.gov/rules/sro/ise/2018/34-82465.pdf SR-ISE-2017-113 2018-01-09 Notice / Immediate Effectiveness/to Amend the Exchange's Schedule of Fees at Chapter VIII, Section J, entitled "Nasdaq ISE Trades Feed" Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-2252 83-FR-2252 34-82466 https://www.sec.gov/rules/sro/gemx/2018/34-82466.pdf SR-GEMX-2017-63 2018-01-09 Notice / Immediate Effectiveness/to Amend the Exchange's Schedule of Fees at Chapter V, Section H, entitled "Nasdaq GEMX Trades Feed" Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/83-FR-2258 83-FR-2258 34-82467 https://www.sec.gov/rules/sro/nasdaq/2018/34-82467.pdf SR-NASDAQ-2017-134 2018-01-09 Notice / Immediate Effectiveness/to Amend Exchange Rule 7037 Notice The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-2261 83-FR-2261 34-82468 https://www.sec.gov/rules/sro/cboeedga/2018/34-82468.pdf SR-CBOEEDGA-2017-003 2018-01-09 Notice / Immediate Effectiveness/Related to Fees for the EDGA Depth Market Data Product Notice Cboe EDGA Exchange, Inc. http://www.federalregister.gov/citation/83-FR-2255 83-FR-2255 34-82469 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82469.pdf SR-CBOEEDGX-2017-006 2018-01-09 Notice / Immediate Effectiveness/Related to Fees for the EDGX Depth Market Data Product Notice Cboe EDGX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-2268 83-FR-2268 34-82470 https://www.sec.gov/rules/sro/phlx/2018/34-82470.pdf SR-PHLX-2018-05 2018-01-09 Notice / Immediate Effectiveness/to Amend a Cross-Reference in Rule 1017 (Openings in Options) Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-2276 83-FR-2276 34-82471 https://www.sec.gov/rules/sro/cboebyx/2018/34-82471.pdf SR-CBOEBYX-2017-003 2018-01-09 Notice / Immediate Effectiveness/Related to Fees for the BYX Depth Market Data Product Notice Cboe BYX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-2248 83-FR-2248 34-82472 https://www.sec.gov/rules/sro/ise/2018/34-82472.pdf SR-ISE-2018-03 2018-01-09 Notice / Immediate Effectiveness/to Amend the Price Level Protection Rule Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-2265 83-FR-2265 34-82473 https://www.sec.gov/rules/sro/occ/2018/34-82473.pdf SR-OCC-2017-011 2018-01-09 Notice /Related to The Options Clearing Corporations Model Risk Management Policy Notice The Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-2271 83-FR-2271 34-82474 https://www.sec.gov/rules/sro/phlx/2018/34-82474.pdf SR-PHLX-2017-75 2018-01-09 Order/Granting Approval of a Proposed Rule Change to Amend Rule 1009 to Modify the Criteria for Listing an Option on an Underlying Covered Security Order Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-2240 83-FR-2240 34-82475 https://www.sec.gov/rules/sro/cboebzx/2018/34-82475.pdf SR-CBOEBZX-2017-018 2018-01-09 Notice / Immediate Effectiveness/Related to Fees for the BZX Depth Market Data Product Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-2237 83-FR-2237 34-82476 https://www.sec.gov/rules/sro/batsbzx/2018/34-82476.pdf SR-BATSBZX-2017-58 2018-01-09 Order/as Modified by Amendment No. 2, to List and Trade Shares of the Cboe Vest S&P 500¿ Dividend Aristocrats¿ Target Income Index ETF under the ETF Series Solutions Trust Under Rule 14.11(c)(3) Order Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-2234 83-FR-2234 34-82477 https://www.sec.gov/rules/sro/cboebyx/2018/34-82477.pdf SR-CBOEBYX-2017-005 2018-01-09 Notice / Immediate Effectiveness/Related to Transaction Fees Notice Cboe BYX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-2244 83-FR-2244 34-82478 https://www.sec.gov/rules/sro/nasdaq/2018/34-82478.pdf SR-NASDAQ-2017-087 2018-01-09 Order / Instituting Proceedings to/to Modify the Listing Requirements Related to Special Purpose Acquisition Companies Listing Standards to Reduce Round Lot Holders on Nasdaq Capital Market for Initial Listing From 300 to 150 and Eliminate Public Holders for Continued Listing from 300 to Zero, Require $5 Million in Net Tangible Assets for Initial and Continued Listing on Nasdaq Capital Market, and Impose a Deadline to Demonstrate Compliance with Initial Listing Requirements on All Nasdaq Markets Within 30 Days Following Each Business Combination Order NASDAQ Stock Market LLC http://www.federalregister.gov/citation/83-FR-2278 83-FR-2278 34-82479 https://www.sec.gov/rules/sro/nasdaq/2018/34-82479.pdf SR-NASDAQ-2018-002 2018-01-10 Notice / Immediate Effectiveness/to Add a New Rule 6200 to Codify Participant Risk Settings in the Exchange's Trading System (As Set Forth in a Proposed IM-6200-1) and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the Participant Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-2471 83-FR-2471 34-82480 https://www.sec.gov/rules/sro/finra/2018/34-82480.pdf SR-FINRA-2018-001 2018-01-10 Notice / Immediate Effectiveness/to Extend the Expiration Date of FINRA Rule 0180 (Application of Rules to Security-Based Swaps) Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-2480 83-FR-2480 34-82481 https://www.sec.gov/rules/sro/nasdaq/2018/34-82481.pdf SR-NASDAQ-2017-133 2018-01-10 Notice / Immediate Effectiveness/to Eliminate Transitional Rules that Have Expired Related to Compensation Committee Listing Standards Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-2471 83-FR-2471 34-82482 https://www.sec.gov/rules/sro/batsbzx/2018/34-82482.pdf SR-BATSBZX-2017-30 2018-01-10 Notice / Withdrawal /to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the Following Under Proposed Rule 14.11(k): ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF Notice Bats BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-2480 83-FR-2480 34-82483 https://www.sec.gov/rules/other/2018/33-10453.pdf 33-10453 2018-01-10 Order Approving Public Accounting Oversight Board Budget and Annual Accounting Support Fee for Calendar Year 2018 Order PCAOB 2018 Budget and Accounting Support Fee http://www.federalregister.gov/citation/83-FR-2470 83-FR-2470 34-82484 https://www.sec.gov/rules/sro/cboebzx/2018/34-82484.pdf SR-CBOEBZX-2018-001 2018-01-11 Notice /to List and Trade Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-2704 83-FR-2704 34-82485 https://www.sec.gov/litigation/admin/2018/34-82485.pdf IA-4843 3-18335 2018-01-11 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Belfiore, Jeffrey R. Chiera, Anthony P. N/A 34-82486 https://www.sec.gov/litigation/opinions/2018/34-82486.pdf 3-17963 2018-01-11 Order Requesting Additional Written Submissions Order Zipper, Bruce M. N/A 34-82487 https://www.sec.gov/rules/sro/nysearca/2018/34-82487.pdf SR-NYSEARCA-2017-138 2018-01-11 Notice / Immediate Effectiveness/to List and Trade the Shares of the Goldman Sachs Access Emerging Markets Local Currency Bond ETF under Commentary .02 to NYSE Arca Rule 5.2-E(j)(3) Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-2695 83-FR-2695 34-82488 https://www.sec.gov/rules/sro/miax/2018/34-82488.pdf SR-MIAX-2018-01 2018-01-11 Notice / Immediate Effectiveness/to Amend MIAX Options Rules 700, 1308, and 1322 Notice Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/83-FR-2694 83-FR-2694 34-82489 https://www.sec.gov/rules/sro/nyseamer/2018/34-82489.pdf SR-NYSEAMER-2017-42 2018-01-11 Notice / Immediate Effectiveness/to Modify the NYSE American Options Fee Schedule Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-2700 83-FR-2700 34-82490 https://www.sec.gov/rules/sro/pearl/2018/34-82490.pdf SR-PEARL-2017-40 2018-01-11 Notice / Immediate Effectiveness/to Amend the MIAX PEARL Fee Schedule Notice MIAX PEARL, LLC http://www.federalregister.gov/citation/83-FR-2686 83-FR-2686 34-82491 https://www.sec.gov/rules/sro/box/2018/34-82491.pdf SR-BOX-2018-01 2018-01-11 Notice / Immediate Effectiveness/to Amend BOX Rule 3030 to Establish Rules Related to the Use of Floor Broker Error Accounts Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-2692 83-FR-2692 34-82492 https://www.sec.gov/rules/sro/nysearca/2018/34-82492.pdf SR-NYSEARCA-2017-87 2018-01-12 Order/to List and Trade Shares of the JPMorgan Long/Short ETF under NYSE Arca Rule 8.600-E Order NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-2850 83-FR-2850 34-82493 https://www.sec.gov/rules/sro/nasdaq/2018/34-82493.pdf SR-NASDAQ-2018-001 2018-01-12 Notice / Immediate Effectiveness/to Amend Transaction Credits at Rule 7018(a) Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-2859 83-FR-2859 34-82494 https://www.sec.gov/rules/sro/nscc/2018/34-82494.pdf SR-NSCC-2017-020 2018-01-12 Notice /to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-2828 83-FR-2828 34-82495 https://www.sec.gov/rules/sro/phlx/2018/34-82495.pdf SR-PHLX-2018-08 2018-01-12 Notice / Immediate Effectiveness/to Amend the Exchange's Fee Schedule at Chapter IX Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-2839 83-FR-2839 34-82496 https://www.sec.gov/rules/sro/iceeu/2018/34-82496.pdf SR-ICEEU-2017-016 2018-01-12 Notice /Relating to the ICE Clear Europe Recovery Plan Notice ICE Clear Europe Limited http://www.federalregister.gov/citation/83-FR-2855 83-FR-2855 34-82497 https://www.sec.gov/rules/sro/iceeu/2018/34-82497.pdf SR-ICEEU-2017-017 2018-01-12 Notice /Relating to the ICE Clear Europe Wind Down Framework and Plan (the Wind-Down Plan or the Plan), As Most Recently Amended Notice ICE Clear Europe Limited http://www.federalregister.gov/citation/83-FR-2847 83-FR-2847 34-82498 https://www.sec.gov/rules/sro/nyseamer/2018/34-82498.pdf SR-NYSEAMER-2017-26 2018-01-12 Order/Approving a Proposed Rule Change to Amend Rule 971.1NY to Amend the Duration of a Customer Best Execution Auction Order NYSE American LLC http://www.federalregister.gov/citation/83-FR-2823 83-FR-2823 34-82499 https://www.sec.gov/rules/sro/phlx/2018/34-82499.pdf SR-PHLX-2018-02 2018-01-12 Notice / Immediate Effectiveness/to Adopt Pricing for NDXP Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-2834 83-FR-2834 34-82500 https://www.sec.gov/litigation/opinions/2018/34-82500.pdf 3-13678 2018-01-12 Extension Order Order Saad, John M.E. N/A 34-82501 https://www.sec.gov/rules/sro/occ-an/2018/34-82501.pdf SR-OCC-2017-808 2018-01-12 Notice of Filing and No Objection to Advance Notice /as Modified by Amendment No. 1, Concerning the Adoption of a New Minimum Cash Requirement for the Clearing Fund Notice The Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-2843 83-FR-2843 34-82502 https://www.sec.gov/rules/sro/occ/2018/34-82502.pdf SR-OCC-2017-019 2018-01-12 Order/Approving Proposed Rule Change, as Modified by Amendment No. 1, Concerning The Options Clearing Corporation's Adoption of a New Minimum Cash Requirement for the Clearing Fund Order The Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-2825 83-FR-2825 34-82503 https://www.sec.gov/rules/sro/batsbyx/2018/34-82503.pdf SR-BATSBYX-2017-11 SR-BATSBZX-2017-38 SR-BATSEDGA-2017-13 SR-BATSEDGX-2017-22 SR-BOX-2017-16 SR-C2-2017-017 SR-CBOE-2017-040 SR-CHX-2017-08 SR-FINRA-2017-011 SR-IEX-2017-16 SR-MIAX-2017-18 SR-PEARL-2017-20 SR-BX-2017-023 SR-GEMX-2017-17 SR-ISE-2017-45 SR-MRX-2017-04 SR-PHLX-2017-37 SR-NASDAQ-2017-046 SR-NYSE-2017-22 SR-NYSEARCA-2017-52 SR-NYSEMKT-2017-26 2018-01-16 Notice / Withdrawal /to Establish Fees for Industry Members to Fund the Consolidated Audit Trail Notice Bats BYX Exchange, Inc. (n/k/a Cboe BYX Exchange, Inc.) Bats BZX Exchange, Inc. (n/k/a Cboe BZX Exchange, Inc.) Bats EDGA Exchange, Inc. (n/k/a Cboe EDGA Exchange, Inc.) Bats EDGX Exchange, Inc. (n/k/a Cboe EDGX Exchange, Inc.) BOX Options Exchange LLC C2 Options Exchange, Incorporated (n/k/a Cboe C2 Options Exchange, Inc.) Chicago Board Options Exchange, Incorporated (n/k/a Cboe Exchange, Inc.) Chicago Stock Exchange, Inc Financial Industry Regulatory Authority, Inc Investors’ Exchange LLC Miami International Securities Exchange, LLC MIAX PEARL, LLC Nasdaq BX, Inc. Nasdaq GEMX, LLC Nasdaq ISE, LLC Nasdaq MRX, LLC Nasdaq PHLX LLC Nasdaq Stock Market LLC New York Stock Exchange LLC NYSE Arca, Inc NYSE MKT LLC (n/k/a NYSE American LLC) http://www.federalregister.gov/citation/83-FR-3043 83-FR-3043 34-82504 https://www.sec.gov/rules/sro/nysearca/2018/34-82504.pdf SR-NYSEARCA-2018-01 2018-01-16 Notice / Immediate Effectiveness/to Amend Rule 7.31-E Relating to Mid-Point Liquidity Orders and the Minimum Trade Size Modifier and Rule 7.36-E to Add a Definition of Aggressing Order Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-3038 83-FR-3038 34-82505 https://www.sec.gov/rules/sro/phlx/2018/34-82505.pdf SR-PHLX-2018-06 2018-01-16 Notice / Immediate Effectiveness/to Relocate Price Improvement XL Rule Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-3037 83-FR-3037 34-82506 https://www.sec.gov/rules/sro/nyse/2018/34-82506.pdf SR-NYSE-2018-01 2018-01-16 Notice /to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchange"s Listed Company Manual Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-3035 83-FR-3035 34-82507 https://www.sec.gov/litigation/admin/2018/34-82507.pdf 3-18336 2018-01-17 Order Instituting Administrative Proceedings and Notice of Hearing Order Ambicom Holdings, Inc. Arrow Cars International, Inc. CDEX, Inc. EFactor Group Corp. iCoreConnect, Inc. a/k/a iMedicor, Inc. or Vemics, Inc. N/A 34-82508 https://www.sec.gov/litigation/suspensions/2018/34-82508.pdf 500-1 2018-01-17 Trading Suspension Order Ambicom Holdings, Inc. CDEX, Inc. EFactor Group Corp. iCoreConnect, Inc. a/k/a iMedicor, Inc. or Vemics, Inc. N/A 34-82509 https://www.sec.gov/litigation/admin/2018/34-82509.pdf IA-4844 3-18337 2018-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Tarpinian, John N/A 34-82510 https://www.sec.gov/litigation/admin/2018/34-82510.pdf 3-18338 2018-01-17 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Kaplan, David B. Esq. N/A 34-82511 https://www.sec.gov/litigation/admin/2018/34-82511.pdf 3-18338 2018-01-17 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Kaplan, David B. Esq. N/A 34-82512 https://www.sec.gov/rules/sro/cboebyx/2018/34-82512.pdf SR-CBOEBYX-2018-001 2018-01-17 Notice / Immediate Effectiveness/to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates Notice Cboe BYX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3240 83-FR-3240 34-82513 https://www.sec.gov/rules/sro/occ-an/2018/34-82513.pdf SR-OCC-2017-809 2018-01-17 Notice / Advance Notice/Concerning Enhanced and New Tools for Recovery Scenarios Notice The Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-3244 83-FR-3244 34-82514 https://www.sec.gov/rules/sro/occ-an/2018/34-82514.pdf SR-OCC-2017-810 2018-01-17 Notice / Advance Notice/Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan Notice The Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-3224 83-FR-3224 34-82515 https://www.sec.gov/rules/exorders/2018/34-82515.pdf TP 18-07 2018-01-17 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 Pacer WealthShield ETF N/A 34-82516 https://www.sec.gov/rules/sro/gemx/2018/34-82516.pdf SR-GEMX-2018-01 2018-01-17 Notice / Immediate Effectiveness/Relating to Market Maker Orders Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/83-FR-3235 83-FR-3235 34-82517 https://www.sec.gov/rules/sro/cboebzx/2018/34-82517.pdf SR-CBOEBZX-2018-003 2018-01-17 Notice / Immediate Effectiveness/to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3242 83-FR-3242 34-82518 https://www.sec.gov/rules/sro/cboeedga/2018/34-82518.pdf SR-CBOEEDGA-2018-001 2018-01-17 Notice / Immediate Effectiveness/to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates Notice Cboe EDGA Exchange, Inc http://www.federalregister.gov/citation/83-FR-3203 83-FR-3203 34-82519 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82519.pdf SR-CBOEEDGX-2018-002 2018-01-17 Notice / Immediate Effectiveness/to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates Notice Cboe EDGX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3233 83-FR-3233 34-82520 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82520.pdf SR-CBOEEDGX-2018-001 2018-01-17 Notice / Immediate Effectiveness/to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates Notice Cboe EDGX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3194 83-FR-3194 34-82521 https://www.sec.gov/rules/sro/ise/2018/34-82521.pdf SR-ISE-2018-04 2018-01-17 Notice / Immediate Effectiveness/Relating to Market Maker Orders Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-3199 83-FR-3199 34-82522 https://www.sec.gov/rules/sro/batsbzx/2018/34-82522.pdf SR-BATSBZX-2017-34 2018-01-17 Notice / Order Granting Approval to Introduce Cboe Market Close, a Closing Match Process for Non-BZX Listed Securities under New Exchange Rule 11.28 Notice Bats BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3205 83-FR-3205 34-82523 https://www.sec.gov/rules/sro/mrx/2018/34-82523.pdf SR-MRX-2018-02 2018-01-17 Notice / Immediate Effectiveness/Relating to Market Maker Orders Notice Nasdaq MRX, LLC http://www.federalregister.gov/citation/83-FR-3196 83-FR-3196 34-82524 https://www.sec.gov/rules/sro/batsbzx/2018/34-82524.pdf SR-BATSBZX-2017-37 SR-BATSEDGX-2017-23 SR-BOX-2017-17 SR-C2-2017-018 SR-CBOE-2017-041 SR-FINRA-2017-013 SR-ISE-2017-46 SR-IEX-2017-18 SR-MIAX-2017-20 SR-PEARL-2017-23 SR-NASDAQ-2017-055 SR-BX-2017-027 SR-PHLX-2017-43 SR-NYSE-2017-23 SR-NYSEARCA-2017-59 SR-NYSEARCA-2017-57 SR-NYSEMKT-2017-30 SR-NYSEMKT-2017-29 2018-01-17 Notice / Withdrawal /as Modified by Amendments Thereto, to Eliminate Requirements That Will Be Duplicative of CAT Notice Bats BZX Exchange, Inc. Bats EDGX Exchange, Inc. BOX Options Exchange LLC C2 Options Exchange, Incorporated Chicago Board Options Exchange, Incorporated Financial Industry Regulatory Authority, Inc. International Securities Exchange, LLC Investors Exchange LLC Miami International Securities Exchange LLC MIAX PEARL, LLC The NASDAQ Stock Market LLC NASDAQ BX, Inc. NASDAQ PHLX LLC New York Stock Exchange LLC NYSE Arca, Inc. NYSE MKT LLC http://www.federalregister.gov/citation/83-FR-3239 83-FR-3239 34-82525 https://www.sec.gov/litigation/admin/2018/34-82525.pdf 500-1 3-18326 2018-01-17 Order Making Findings and Revoking Registration Order American Soil Technologies, Inc. N/A 34-82526 https://www.sec.gov/litigation/opinions/2018/34-82526.pdf 3-17963 2018-01-17 Extension Order Order Zipper, Bruce M. N/A 34-82527 https://www.sec.gov/litigation/admin/2018/34-82527.pdf 3-18339 2018-01-18 Order Instituting Administrative Proceedings and Notice of Hearing Order Altona Resources, Inc. APEX 10, Inc. APEX 11, Inc. Clone Algo, Inc. N/A 34-82528 https://www.sec.gov/litigation/admin/2018/34-82528.pdf IA-4845 3-18340 2018-01-18 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Mazzola, Frank G. N/A 34-82529 https://www.sec.gov/rules/sro/cboe/2018/34-82529.pdf SR-CBOE-2018-003 2018-01-18 Notice / Immediate Effectiveness/to Delete Obsolete Rules Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-3372 83-FR-3372 34-82530 https://www.sec.gov/rules/sro/nasdaq/2018/34-82530.pdf SR-NASDAQ-2017-124 2018-01-18 Order/Granting Approval to List and Trade Shares of Brandes Value NextShares Under Nasdaq Rule 5745 Order NASDAQ Stock Market LLC http://www.federalregister.gov/citation/83-FR-3377 83-FR-3377 34-82531 https://www.sec.gov/rules/sro/nyse/2018/34-82531.pdf SR-NYSE-2017-53 2018-01-18 Notice / Designation of Longer Period for Commission Action/to Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline to Demonstrate Compliance with the Initial Listing Requirements Following a Business Combination Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-3371 83-FR-3371 34-82532 https://www.sec.gov/rules/sro/nysearca/2018/34-82532.pdf SR-NYSEARCA-2018-02 2018-01-18 Notice /Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares under NYSE Arca Rule 8.200-E Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-3380 83-FR-3380 34-82533 https://www.sec.gov/litigation/admin/2018/34-82533.pdf 3-18341 2018-01-18 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Industrial and Commercial Bank of China Financial Services, LLC N/A 34-82534 https://www.sec.gov/rules/sro/occ/2018/34-82534.pdf SR-OCC-2017-022 2018-01-18 Notice / Designation of Longer Period for Commission Action/Related to The Options Clearing Corporations Margin Methodology Notice Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-3376 83-FR-3376 34-82535 https://www.sec.gov/litigation/admin/2018/34-82535.pdf 3-16786 2018-01-18 Order Appointing Fund Administrator and Setting Administrator Bond Amount Order Bankrate, Inc. N/A 34-82536 https://www.sec.gov/litigation/admin/2018/34-82536.pdf 3-18342 2018-01-18 Order Instituting Proceedings, Making Findings, and Revoking Registration Order EMRISE Corp. N/A 34-82537 https://www.sec.gov/rules/sro/mrx/2018/34-82537.pdf SR-MRX-2018-01 2018-01-19 Notice / Immediate Effectiveness/to Amend the Schedule of Fees to Introduce a New Pricing Model Notice Nasdaq MRX, LLC http://www.federalregister.gov/citation/83-FR-3784 83-FR-3784 34-82538 https://www.sec.gov/rules/sro/cboebzx/2018/34-82538.pdf SR-CBOEBZX-2018-005 2018-01-19 Notice /to List and Trade Shares of the Cboe Vest S&P 500¿ Premium Income ETF Under Rule 14.11(c)(5) Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3807 83-FR-3807 34-82539 https://www.sec.gov/litigation/admin/2018/34-82539.pdf IA-4846 3-18343 2018-01-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Bivona, John V. N/A 34-82540 https://www.sec.gov/rules/sro/cboe/2018/34-82540.pdf SR-CBOE-2018-004 2018-01-19 Notice / Immediate Effectiveness/to Establish Fees for Customized Functionality and/or Connectivity on the Silexx Trading Platform Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-3837 83-FR-3837 34-82541 https://www.sec.gov/rules/sro/nasdaq/2018/34-82541.pdf SR-NASDAQ-2018-004 2018-01-19 Notice / Immediate Effectiveness/to Amend Exchange Rule 7047 Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-3790 83-FR-3790 34-82542 https://www.sec.gov/rules/sro/icc/2018/34-82542.pdf SR-ICC-2018-001 2018-01-19 Notice /Security-Based Swap Submission, or Advance Notice Relating to the ICC Rules, ICC Risk Management Model Description Document, ICC Risk Management Framework, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework Notice ICE Clear Credit LLC http://www.federalregister.gov/citation/83-FR-3821 83-FR-3821 34-82543 https://www.sec.gov/rules/sro/occ/2018/34-82543.pdf SR-OCC-2018-003 2018-01-19 Notice / Immediate Effectiveness/to Modify OCCs Rules Regarding the Exercise Procedures for Certain Options on Futures Notice Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-3782 83-FR-3782 34-82544 https://www.sec.gov/rules/sro/nscc/2018/34-82544.pdf SR-NSCC-2017-019 2018-01-19 Order/Approving Proposed Rule Change to Enhance the Process for Submitting and Accepting ETF Creations and Redemptions Order National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-3804 83-FR-3804 34-82545 https://www.sec.gov/rules/sro/bx/2018/34-82545.pdf SR-BX-2018-001 2018-01-19 Notice / Immediate Effectiveness/to Add a New Rule 4765 and Commentary Thereto to Codify Participant Risk Settings and to Authorize the Exchange to Share those Risk Settings with the Clearing Member that Clears Transactions on behalf of the Participant Notice Nasdaq BX, Inc http://www.federalregister.gov/citation/83-FR-3834 83-FR-3834 34-82546 https://www.sec.gov/rules/sro/cboebzx/2018/34-82546.pdf SR-CBOEBZX-2018-002 2018-01-19 Notice / Immediate Effectiveness/to Harmonize the Definition of Non-Professional User in its Fee Schedule with that of its Affiliates Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-3797 83-FR-3797 34-82547 https://www.sec.gov/rules/sro/box/2018/34-82547.pdf SR-BOX-2018-02 2018-01-19 Notice / Immediate Effectiveness/to Clarify the Manner in Which the Exchange Assesses its Options Regulatory Fee Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-3813 83-FR-3813 34-82548 https://www.sec.gov/rules/sro/cboe/2018/34-82548.pdf SR-CBOE-2018-005 2018-01-19 Notice / Immediate Effectiveness/to Amend the Fees Schedule Concerning Firm Incentive Programs Notice Cboe Exchange, Inc. http://www.federalregister.gov/citation/83-FR-3816 83-FR-3816 34-82549 https://www.sec.gov/rules/sro/nysearca/2018/34-82549.pdf SR-NYSEARCA-2018-04 2018-01-19 Notice /to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF; Royce Premier ETF; and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-3846 83-FR-3846 34-82550 https://www.sec.gov/rules/sro/phlx/2018/34-82550.pdf SR-PHLX-2018-03 2018-01-19 Notice / Immediate Effectiveness/to Add a New Rule 3215 and Commentary Thereto to Codify PSX Participant Risk Settings in PSX and to Authorize the Exchange to Share those Settings with the Clearing Member that Clears Transactions on behalf of the PSX Participant Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-3839 83-FR-3839 34-82551 https://www.sec.gov/litigation/opinions/2018/34-82551.pdf 3-17668 2018-01-19 Order Dismissing Petition to Terminate Trading Suspension Order Helpeo, Inc. N/A 34-82552 https://www.sec.gov/rules/sro/cboebzx/2018/34-82552.pdf SR-CBOEBZX-2017-006 2018-01-19 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of a Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3819 83-FR-3819 34-82553 https://www.sec.gov/rules/sro/cboe/2018/34-82553.pdf SR-CBOE-2018-007 2018-01-19 Notice / Immediate Effectiveness/to Amend the Fees Schedule Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-3824 83-FR-3824 34-82554 https://www.sec.gov/litigation/admin/2018/34-82554.pdf AAER-3917 3-18344 2018-01-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Cary, Justin Samuel CPA N/A 34-82555 https://www.sec.gov/litigation/opinions/2018/34-82555.pdf 3-17981 2018-01-19 Order Dismissing Petition to Terminate Trading Suspension Order Sunshine Capital, Inc. Anderson, Jimmy Wayne N/A 34-82556 https://www.sec.gov/litigation/admin/2018/34-82556.pdf AAER-3918 3-18346 2018-01-22 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Order Holder, Cynthia CPA Wada, Jeffrey CPA Middendorf, David CPA Whittle, Thomas CPA Britt, David CPA N/A 34-82557 https://www.sec.gov/litigation/admin/2018/34-82557.pdf AAER-3919 3-18347 2018-01-22 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/and Notice of Hearing Order Sweet, Brian CPA N/A 34-82558 https://www.sec.gov/rules/sro/cboebzx/2018/34-82558.pdf SR-CBOEBZX-2017-005 2018-01-22 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of a Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust, Under Rule 14.11(c)(3), Index Fund Shares Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3820 83-FR-3820 34-82559 https://www.sec.gov/rules/sro/cboebzx/2018/34-82559.pdf SR-CBOEBZX-2017-011 2018-01-22 Notice / Designation of Longer Period for Commission Action/to List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3820 83-FR-3820 34-82560 https://www.sec.gov/rules/sro/cboebzx/2018/34-82560.pdf SR-CBOEBZX-2017-013 2018-01-22 Notice / Withdrawal /To List and Trade Shares of the REX Bitcoin Strategy ETF and the REX Short Bitcoin Strategy ETF, Each a Series of the Exchange Listed Funds Trust, Under Rule 14.11(i), Managed Fund Shares Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3819 83-FR-3819 34-82561 https://www.sec.gov/rules/sro/cboebzx/2018/34-82561.pdf SR-CBOEBZX-2017-021 2018-01-22 Notice / Withdrawal /To List and Trade Shares of the First Trust Bitcoin Strategy ETF and the First Trust Inverse Bitcoin Strategy ETF, Each a Series of the First Trust Exchange-Traded Fund VII, Under Rule 14.11(i), Managed Fund Shares Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-3789 83-FR-3789 34-82562 https://www.sec.gov/rules/other/2018/34-82562.pdf 2018-4 2018-01-22 Order Determining Whistleblower Award Claim Order Redacted N/A 34-82563 https://www.sec.gov/rules/sro/nyse/2018/34-82563.pdf SR-NYSE-2018-03 2018-01-22 Notice / Immediate Effectiveness/to Amend Its Price List Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-3799 83-FR-3799 34-82564 https://www.sec.gov/rules/sro/nasdaq/2018/34-82564.pdf SR-NASDAQ-2017-123 2018-01-22 Order/Granting to List and Trade Shares of the Causeway International Value NextShares" and the Causeway Global Value NextShares" Under Nasdaq Rule 5745 Order Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-3842 83-FR-3842 34-82565 https://www.sec.gov/rules/sro/nyse/2018/34-82565.pdf SR-NYSE-2017-42 2018-01-22 Notice / Designation of Longer Period for Commission Action/to Amend the NYSE Listed Company Manual to Modify Its Requirements with Respect to Physical Delivery of Proxy Materials to the Exchange Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-3812 83-FR-3812 34-82566 https://www.sec.gov/rules/sro/nyse/2018/34-82566.pdf SR-NYSE-2018-04 2018-01-22 Notice / Immediate Effectiveness/to Amend Its Listing Standard for Warrants in Section 703.12 of the Exchanges Listed Company Manual Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-3794 83-FR-3794 34-82567 https://www.sec.gov/rules/sro/bx/2018/34-82567.pdf SR-BX-2018-005 2018-01-23 Notice / Immediate Effectiveness/to Amend its Fees at Rule 7023 Notice Nasdaq BX, Inc http://www.federalregister.gov/citation/83-FR-4092 83-FR-4092 34-82568 https://www.sec.gov/rules/sro/ise/2018/34-82568.pdf SR-ISE-2018-07 2018-01-23 Notice / Immediate Effectiveness/to Assess Fees for OTTO Port, CTI Port, FIX Port, FIX Drop Port and Disaster Recovery Port Connectivity Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-4086 83-FR-4086 34-82569 https://www.sec.gov/rules/sro/phlx/2018/34-82569.pdf SR-PHLX-2018-10 2018-01-23 Notice / Immediate Effectiveness/to Amend Section VIII of the Exchanges Pricing Schedule Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-4100 83-FR-4100 34-82570 https://www.sec.gov/rules/sro/lchsa/2018/34-82570.pdf SR-LCH SA-2017-012 2018-01-23 Notice / Designation of Longer Period for Commission Action/to Adopt LCH SAs Recovery Plan Notice LCH SA http://www.federalregister.gov/citation/83-FR-4088 83-FR-4088 34-82571 https://www.sec.gov/rules/sro/lchsa/2018/34-82571.pdf SR-LCH SA-2017-013 2018-01-23 Notice / Designation of Longer Period for Commission Action/to Adopt LCH SAs Wind Down Plan Notice LCH SA http://www.federalregister.gov/citation/83-FR-4081 83-FR-4081 34-82572 https://www.sec.gov/rules/sro/ise/2018/34-82572.pdf SR-ISE-2018-06 2018-01-23 Notice / Immediate Effectiveness/to Amend Rule 502 Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-4108 83-FR-4108 34-82573 https://www.sec.gov/rules/sro/nasdaq/2018/34-82573.pdf SR-NASDAQ-2018-005 2018-01-23 Notice / Immediate Effectiveness/Relating to the Criteria for Listing Underlying Securities Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-4089 83-FR-4089 34-82574 https://www.sec.gov/rules/sro/bx/2018/34-82574.pdf SR-BX-2018-004 2018-01-23 Notice / Immediate Effectiveness/to Amend Chapter IV, Section 3 Notice Nasdaq BX, Inc http://www.federalregister.gov/citation/83-FR-4104 83-FR-4104 34-82575 https://www.sec.gov/rules/exorders/2018/34-82575.pdf TP 18-08 2018-01-23 Order/Granting Limited Exemptions from Rules 101 and 102 of Regulation M in Connection with Distributions of AT1 Contingent Convertible Securities Pursuant to Rules 101(d) and 102(e) of Regulation M Order Distributions of AT1 Contingent Convertible Securities http://www.federalregister.gov/citation/83-FR-4083 83-FR-4083 34-82576 https://www.sec.gov/rules/sro/occ/2018/34-82576.pdf SR-OCC-2018-001 2018-01-24 Notice /Related to The Options Clearing Corporation's Fee Policy Notice Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-4324 83-FR-4324 34-82577 https://www.sec.gov/rules/sro/phlx/2018/34-82577.pdf SR-PHLX-2018-09 2018-01-24 Notice / Immediate Effectiveness/to Relocate and Amend Rule 1080(l) Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-4354 83-FR-4354 34-82578 https://www.sec.gov/rules/sro/finra/2018/34-82578.pdf SR-FINRA-2018-002 2018-01-24 Notice / Immediate Effectiveness/Relating to the New Securities Industry Essentials Examination Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-4375 83-FR-4375 34-82579 https://www.sec.gov/rules/sro/dtc-an/2018/34-82579.pdf SR-DTC-2017-803 2018-01-24 Notice / Advance Notice/Extension of the Review Period to Adopt a Recovery & Wind-down Plan and Related Rules Notice The Depository Trust Company http://www.federalregister.gov/citation/83-FR-4310 83-FR-4310 34-82580 https://www.sec.gov/rules/sro/ficc-an/2018/34-82580.pdf SR-FICC-2017-805 2018-01-24 Notice / Advance Notice/Extension of the Review Period to Adopt a Recovery & Wind-down Plan and Related Rules Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-4341 83-FR-4341 34-82581 https://www.sec.gov/rules/sro/nscc-an/2018/34-82581.pdf SR-NSCC-2017-805 2018-01-24 Notice / Advance Notice/Extension of the Review Periodto Adopt a Recovery & Wind-down Plan and Related Rules Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-4327 83-FR-4327 34-82582 https://www.sec.gov/rules/sro/dtc-an/2018/34-82582.pdf SR-DTC-2017-804 2018-01-24 Notice / Advance Notice/Extension of the Review Period to Amend the Loss Allocation Rules and Make Other Changes Notice The Depository Trust Corporation http://www.federalregister.gov/citation/83-FR-4297 83-FR-4297 34-82583 https://www.sec.gov/rules/sro/ficc-an/2018/34-82583.pdf SR-FICC-2017-806 2018-01-24 Notice / Advance Notice/Extension of the Review Period to Amend the Loss Allocation Rules and Make Other Changes Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-4358 83-FR-4358 34-82584 https://www.sec.gov/rules/sro/nscc-an/2018/34-82584.pdf SR-NSCC-2017-806 2018-01-24 Notice / Advance Notice/Extension of the Review Period to Amend the Loss Allocation Rules and Make Other Changes Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-4377 83-FR-4377 34-82585 https://www.sec.gov/rules/sro/occ/2018/34-82585.pdf SR-OCC-2017-020 2018-01-25 Notice / Designation of Longer Period for Commission Action/Concerning Enhanced and New Tools for Recovery Scenarios Notice Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-4526 83-FR-4526 34-82586 https://www.sec.gov/rules/sro/occ/2018/34-82586.pdf SR-OCC-2017-021 2018-01-25 Notice / Designation of Longer Period for Commission Action/Concerning Updates to and Formalization of OCC's Recovery and Orderly Wind-Down Plan Notice Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-4527 83-FR-4527 34-82587 https://www.sec.gov/rules/sro/nysearca/2018/34-82587.pdf SR-NYSEARCA-2018-05 2018-01-25 Notice / Immediate Effectiveness/Relating to the Guggenheim Ultra Short Duration ETF and the Guggenheim Total Return Bond ETF Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-4528 83-FR-4528 34-82588 https://www.sec.gov/rules/sro/ficc/2018/34-82588.pdf SR-FICC-2018-001 2018-01-26 Notice /to the Required Fund Deposit Calculation in the Government Securities Division Rulebook Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-4687 83-FR-4687 34-82589 https://www.sec.gov/rules/sro/nasdaq/2018/34-82589.pdf SR-NASDAQ-2018-006 2018-01-26 Notice / Immediate Effectiveness/to Make a Technical Adjustment to its Rules to Allow Sub-Penny Quoting and Order Entry in Managed Fund Shares Priced Less than $1.00 Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-4715 83-FR-4715 34-82590 https://www.sec.gov/litigation/admin/2018/34-82590.pdf 3-17740 2018-01-26 Extension Order Order Augustine Capital Management, LLC (f/k/a Augustine Capital Management, Inc.) Porter, John T. Duszynski, Thomas F. CPA N/A 34-82591 https://www.sec.gov/rules/sro/batsbzx/2018/34-82591.pdf SR-BATSBZX-2017-54 2018-01-26 Notice / Order Accelerating /as Modified by Amendment No. 4 Thereto, to List and Trade Shares of the iShares Inflation Hedged Corporate Bond ETF Under Rule 14.11(i), Managed Fund Shares Notice/Order Bats BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-4707 83-FR-4707 34-82592 https://www.sec.gov/rules/sro/nysearca/2018/34-82592.pdf SR-NYSEARCA-2017-99 2018-01-26 Notice / Filing of Amendment No. /2/Order / Instituting Proceedings to/as Modified by Amendment No. 2, to List and Trade Shares of the Hartford Schroders Tax-Aware Bond ETF under NYSE Arca Rule 8.600-E Notice/Order NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-4704 83-FR-4704 34-82593 https://www.sec.gov/rules/sro/nysearca/2018/34-82593.pdf SR-NYSEARCA-2017-140 2018-01-26 Order/Granting Approval to List and Trade Shares of the Perth Mint Physical Gold ETF Trust Pursuant to NYSE Arca Rule 8.201-E Order NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-4718 83-FR-4718 34-82594 2018-01-29 INTENTIONALLY OMITTED 34-82595 https://www.sec.gov/litigation/admin/2018/34-82595.pdf 3-17899 3-17900 2018-01-29 Order Appointing Fund Administrator and Setting Administrator Bond Amount Order Credit Suisse Securities (USA) LLC Katz, Sanford Michael N/A 34-82596 https://www.sec.gov/rules/sro/occ/2018/34-82596.pdf SR-OCC-2018-004 2018-01-30 Notice / Immediate Effectiveness/to Revise The Options Clearing Corporation's Schedule of Fees Notice Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-4944 83-FR-4944 34-82597 https://www.sec.gov/rules/sro/bx/2018/34-82597.pdf SR-BX-2018-007 2018-01-30 Notice / Immediate Effectiveness/to Relocate the Consolidated Audit Trail Compliance Rules Notice Nasdaq BX, Inc http://www.federalregister.gov/citation/83-FR-4942 83-FR-4942 34-82598 https://www.sec.gov/rules/sro/gemx/2018/34-82598.pdf SR-GEMX-2018-02 2018-01-30 Notice / Immediate Effectiveness/to Relocate the Consolidated Audit Trail Compliance Rules Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/83-FR-4936 83-FR-4936 34-82599 https://www.sec.gov/rules/sro/ise/2018/34-82599.pdf SR-ISE-2018-09 2018-01-30 Notice / Immediate Effectiveness/to Relocate the Consolidated Audit Trail Compliance Rules Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-4947 83-FR-4947 34-82600 https://www.sec.gov/rules/sro/mrx/2018/34-82600.pdf SR-MRX-2018-03 2018-01-30 Notice / Immediate Effectiveness/to Relocate the Consolidated Audit Trail Compliance Rules Notice Nasdaq MRX, LLC http://www.federalregister.gov/citation/83-FR-4934 83-FR-4934 34-82601 https://www.sec.gov/rules/sro/phlx/2018/34-82601.pdf SR-PHLX-2018-11 2018-01-30 Notice / Immediate Effectiveness/to Relocate the Consolidated Audit Trail Compliance Rules Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-4949 83-FR-4949 34-82602 https://www.sec.gov/rules/sro/nysearca/2018/34-82602.pdf SR-NYSEARCA-2017-139 2018-01-30 Notice / Designation of Longer Period for Commission Action/to List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF under NYSE Arca Rule 8.200-E, Commentary .02 Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-4941 83-FR-4941 34-82603 https://www.sec.gov/litigation/admin/2018/34-82603.pdf 3-18351 2018-01-30 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Fischer, Daniel T. N/A 34-82604 https://www.sec.gov/rules/sro/nasdaq/2018/34-82604.pdf SR-NASDAQ-2018-007 2018-01-30 Notice / Immediate Effectiveness/to Relocate the Consolidated Audit Trail Compliance Rules Notice The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-5154 83-FR-5154 34-82605 https://www.sec.gov/litigation/admin/2018/34-82605.pdf 500-1 3-18326 2018-01-30 Order Making Findings and Revoking Registration Order Crimson Forest Entertainment Group, Inc. N/A 34-82606 https://www.sec.gov/litigation/opinions/2018/34-82606.pdf 3-17677 2018-01-30 Order Extending Time to Issue Decision Order Lek Securities Corporation N/A 34-82607 https://www.sec.gov/rules/sro/box/2018/34-82607.pdf SR-BOX-2017-36 2018-01-31 Notice / Designation of Longer Period for Commission Action/to Adopt Rule 7600(i) to Allow Split-price Transactions on the Trading Floor Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-5286 83-FR-5286 34-82608 https://www.sec.gov/rules/sro/nysearca/2018/34-82608.pdf SR-NYSEARCA-2018-08 2018-01-31 Notice /to Amend NYSE Arca Rule 1.1(ll) to Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product If the Exchange Does Not Conduct a Closing Auction or If a Closing Auction Trade Is Less Than a Round Lot Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-5284 83-FR-5284 34-82609 https://www.sec.gov/rules/sro/phlx/2018/34-82609.pdf SR-PHLX-2018-12 2018-01-31 Notice / Immediate Effectiveness/to Relocate the Execution Protections Rule Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-5287 83-FR-5287 34-82610 https://www.sec.gov/litigation/admin/2018/34-82610.pdf 3-18353 2018-02-01 Order Instituting Administrative Proceedings and Notice of Hearing Order Canwealth Minerals Corp. Cubed, Inc. ECO Integrated Technologies, Inc. Enviro Cleanse, Inc. N/A 34-82611 https://www.sec.gov/rules/sro/phlx/2018/34-82611.pdf SR-PHLX-2017-103 2018-02-01 Order/to Expand the Short Term Option Series Program to Allow Monday Expirations for SPY Optio Order Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-5473 83-FR-5473 34-82612 https://www.sec.gov/rules/sro/ise/2018/34-82612.pdf SR-ISE-2017-111 2018-02-01 Order/to Establish a Nonstandard Expirations Pilot Program Order Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-5470 83-FR-5470 34-82613 https://www.sec.gov/rules/sro/nyse/2018/34-82613.pdf SR-NYSE-2017-36 2018-02-01 Notice / Designation of Longer Period for Commission Action/to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt New Equity Trading Rules for Trading UTP Securities on Pillar, Including Orders and Modifiers, Order Ranking and Display, and Order Execution and Routing Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-5499 83-FR-5499 34-82614 https://www.sec.gov/rules/sro/cboebzx/2018/34-82614.pdf SR-CBOEBZX-2018-006 2018-02-01 Notice / Immediate Effectiveness/to Rule 21.1, Definitions, to Adopt a New Time in Force and to Modify an Existing Time in Force Applicable to the Exchange's Equity Options Platform Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-5469 83-FR-5469 34-82615 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82615.pdf SR-CBOEEDGX-2018-003 2018-02-01 Notice / Immediate Effectiveness/to Rule 21.1, Definitions, to Modify a Time in Force Applicable to the Exchange's Equity Options Platform Notice Cboe EDGX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-5493 83-FR-5493 34-82616 https://www.sec.gov/rules/sro/msrb/2018/34-82616.pdf SR-MSRB-2018-01 2018-02-01 Notice /Consisting of Amendments to Rule G-21, on Advertising, Proposed New Rule G-40, on Advertising by Municipal Advisors, and a Technical Amendment to Rule G-42, on Duties of Non-Solicitor Municipal Advisors Notice Municipal Securities Rulemaking Board http://www.federalregister.gov/citation/83-FR-5474 83-FR-5474 34-82617 https://www.sec.gov/rules/sro/nysearca/2018/34-82617.pdf SR-NYSEARCA-2018-06 2018-02-01 Notice / Immediate Effectiveness/to Provide Users with Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-5500 83-FR-5500 34-82618 https://www.sec.gov/rules/sro/nyseamer/2018/34-82618.pdf SR-NYSEAMER-2018-02 2018-02-01 Notice / Immediate Effectiveness/to Provide Users with Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-5494 83-FR-5494 34-82619 https://www.sec.gov/litigation/admin/2018/34-82619.pdf 3-18354 2018-02-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Andrews, Thomas Edward N/A 34-82620 https://www.sec.gov/rules/sro/nyse/2018/34-82620.pdf SR-NYSE-2018-05 2018-02-01 Notice / Immediate Effectiveness/to Provide Users with Access to Two Additional Third Party Systems and Connectivity to One Additional Third Party Data Feed Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-5488 83-FR-5488 34-82621 https://www.sec.gov/litigation/admin/2018/34-82621.pdf 3-18355 2018-02-01 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Christensen, Scott Walter N/A 34-82622 https://www.sec.gov/rules/sro/cboe/2018/34-82622.pdf SR-CBOE-2018-008 2018-02-02 Notice /Relating to Flexibly Structured Options Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-5668 83-FR-5668 34-82623 https://www.sec.gov/rules/sro/iex/2018/34-82623.pdf SR-IEX-2018-01 2018-02-02 Notice / Immediate Effectiveness/to Modify the Default Handling of Market Orders Entered with a Time-in-Force of DAY Notice Investors Exchange LLC http://www.federalregister.gov/citation/83-FR-5655 83-FR-5655 34-82624 https://www.sec.gov/litigation/admin/2018/34-82624.pdf 3-18356 2018-02-02 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Karlis, Craig N/A 34-82625 https://www.sec.gov/rules/sro/nysearca/2018/34-82625.pdf SR-NYSEARCA-2018-11 2018-02-02 Notice / Immediate Effectiveness/Relating to Certain Changes Regarding the U.S. Equity Cumulative Dividends Fund'Series 2027 and the U.S. Equity Ex-Dividend Fund Series 2027 Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-5671 83-FR-5671 34-82626 https://www.sec.gov/rules/exorders/2018/34-82626.pdf S7-27-11 2018-02-02 Order Extending Until February 5, 2019 Certain Temporary Exemptions under the Securities Exchange Act of 1934 in Connection with the Revision of the Definition of "Security" to Encompass Security-Based Swaps and Request for Comment Other Extension of Certain Temporary Relief in Connection With the Revision of the Definition of "Security" to Encompass Security-based Swaps http://www.federalregister.gov/citation/83-FR-5665 83-FR-5665 34-82627 https://www.sec.gov/rules/sro/nyse/2018/34-82627.pdf SR-NYSE-2017-30 2018-02-02 Order/Accelerating/Order Granting Accelerated Approval of Proposed Rule Change, as Modified by Amendment No. 3, to Amend Section 102.01B of the NYSE Listed Company Manual to Provide for the Listing of Companies that List Without a Prior Exchange Act Registration and that Are Not Listing in Connection with an Underwritten Initial Public Offering and Related Changes to Rules 15, 104, and 123D Order New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-5650 83-FR-5650 34-82628 https://www.sec.gov/rules/sro/bx/2018/34-82628.pdf SR-BX-2018-006 2018-02-05 Notice / Immediate Effectiveness/to Amend Exchange Rules 7030, 7034, and 7051 Notice Nasdaq BX, Inc http://www.federalregister.gov/citation/83-FR-5818 83-FR-5818 34-82629 https://www.sec.gov/rules/sro/nasdaq/2018/34-82629.pdf SR-NASDAQ-2017-074 2018-02-05 Notice / Designation of Longer Period for Commission Action/to Adopt the Midpoint Extended Life Order Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-5822 83-FR-5822 34-82630 https://www.sec.gov/litigation/admin/2018/34-82630.pdf IA-4852 3-18357 2018-02-05 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Wedbush Securities Inc. N/A 34-82631 https://www.sec.gov/rules/sro/nscc-an/2018/34-82631.pdf SR-NSCC-2017-808 2018-02-05 Notice / Advance Notice/as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-5658 83-FR-5658 34-82632 https://www.sec.gov/litigation/admin/2018/34-82632.pdf 3-18358 2018-02-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Wilson, Andrew H. N/A 34-82633 https://www.sec.gov/litigation/opinions/2018/34-82633.pdf 3-18256 2018-02-05 Order Denying Second Motion for Stay Order Zipper, Bruce N/A 34-82634 https://www.sec.gov/litigation/admin/2018/34-82634.pdf IC-33001 3-17902 2018-02-06 Order Making Findings, and Imposing Remedial Sanctions Order Lynch, John T. Jr. N/A 34-82635 https://www.sec.gov/rules/sro/nysenat/2018/34-82635.pdf SR-NYSENAT-2018-03 2018-02-06 Notice / Immediate Effectiveness/to Amend Certain of the Governing Documents of its Intermediate Parent Companies Notice NYSE National, Inc. http://www.federalregister.gov/citation/83-FR-6057 83-FR-6057 34-82636 https://www.sec.gov/rules/sro/iex/2018/34-82636.pdf SR-IEX-2018-02 2018-02-06 Notice / Immediate Effectiveness/to Adopt an IEX Enhanced Market Maker (IEMM) Program Notice Investors Exchange LLC http://www.federalregister.gov/citation/83-FR-6059 83-FR-6059 34-82637 https://www.sec.gov/rules/sro/nyseamer/2018/34-82637.pdf SR-NYSEAMER-2018-03 2018-02-06 Notice / Immediate Effectiveness/to Amend Certain of the Governing Documents of its Intermediate Parent Companies Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-6055 83-FR-6055 34-82638 https://www.sec.gov/rules/sro/nysearca/2018/34-82638.pdf SR-NYSEARCA-2018-09 2018-02-06 Notice / Immediate Effectiveness/to Amend Certain of the Governing /Documents of its Intermediate Parent Companies Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-6072 83-FR-6072 34-82639 https://www.sec.gov/litigation/admin/2018/34-82639.pdf 3-18360 2018-02-06 Order Instituting Administrative Proceedings and Notice of Hearing Order California Mines Corp. Cindisue Mining Corp. Dune Energy, Inc. N/A 34-82640 https://www.sec.gov/rules/sro/nyse/2018/34-82640.pdf SR-NYSE-2018-07 2018-02-06 Notice / Immediate Effectiveness/to Amend Certain of the Governing Documents of its Intermediate Parent Companies Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-6076 83-FR-6076 34-82641 https://www.sec.gov/rules/sro/icc/2018/34-82641.pdf SR-ICC-2018-002 2018-02-06 Notice /to ICC's End-of-Day Price Discovery Policies and Procedures Notice ICE Clear Credit LLC http://www.federalregister.gov/citation/83-FR-6078 83-FR-6078 34-82642 https://www.sec.gov/rules/sro/cboebzx/2018/34-82642.pdf SR-CBOEBZX-2018-007 2018-02-06 Notice / Immediate Effectiveness/Related to Fees for Use on Cboe BZX Exchange, Inc. Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-6074 83-FR-6074 34-82643 https://www.sec.gov/rules/sro/cboebzx/2018/34-82643.pdf SR-CBOEBZX-2017-012 2018-02-06 Notice / Designation of Longer Period for Commission Action/as Modified by Amendment No. 1, to List and Trade Shares of the LHA Market State(R) Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, under Rule 14.11(i), Managed Fund Shares Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-6071 83-FR-6071 34-82644 https://www.sec.gov/rules/sro/ise/2018/34-82644.pdf SR-ISE-2018-10 2018-02-06 Notice / Immediate Effectiveness/to Amend the Exchange's Schedule of Fees to Modify Complex Order Fees and Rebates Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-6069 83-FR-6069 34-82645 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82645.pdf SR-CBOEEDGX-2018-004 2018-02-07 Notice / Immediate Effectiveness/Related to Fees for Use on the Exchanges Equity Options Platform Notice Cboe EDGX Exchange, Inc http://www.federalregister.gov/citation/83-FR-6302 83-FR-6302 34-82646 https://www.sec.gov/rules/sro/cboe/2018/34-82646.pdf SR-CBOE-2018-010 2018-02-07 Notice / Immediate Effectiveness/to Delete Obsolete Rules Notice Cboe Exchange, Inc. http://www.federalregister.gov/citation/83-FR-6294 83-FR-6294 34-82647 https://www.sec.gov/rules/sro/c2/2018/34-82647.pdf SR-C2-2018-002 2018-02-07 Notice / Immediate Effectiveness/Related to Market Data Fees Notice Cboe C2 Exchange, Inc http://www.federalregister.gov/citation/83-FR-6275 83-FR-6275 34-82648 https://www.sec.gov/rules/sro/cboe/2018/34-82648.pdf SR-CBOE-2018-015 2018-02-07 Notice / Immediate Effectiveness/to Amend the Fees Schedule Concerning the Floor Broker SPX Surcharge Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-6280 83-FR-6280 34-82649 https://www.sec.gov/rules/sro/phlx/2018/34-82649.pdf SR-PHLX-2018-15 2018-02-07 Notice / Immediate Effectiveness/to Delete Cross-Reference to Rule 124(d) from Rule 1092 Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-6283 83-FR-6283 34-82650 https://www.sec.gov/rules/sro/cboe/2018/34-82650.pdf SR-CBOE-2018-013 2018-02-07 Notice / Immediate Effectiveness/Related to Market Data Fees Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-6290 83-FR-6290 34-82651 https://www.sec.gov/litigation/admin/2018/34-82651.pdf 3-18363 2018-02-07 Order of Forthwith Suspension Order Russell, Thomas Osmonde III, Esq. N/A 34-82652 https://www.sec.gov/rules/sro/cboebzx/2018/34-82652.pdf SR-CBOEBZX-2018-009 2018-02-07 Notice / Immediate Effectiveness/Related to Fees for Use on the Exchange's Equity Options Platform Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-6288 83-FR-6288 34-82653 https://www.sec.gov/rules/sro/phlx/2018/34-82653.pdf SR-PHLX-2018-13 2018-02-07 Notice / Immediate Effectiveness/to Amend the Exchanges Pricing Schedule to Exclude NDX and NDXP Options from the Strategy Caps and from Special Pricing for FLEX Transactions Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-6299 83-FR-6299 34-82654 https://www.sec.gov/rules/sro/box/2018/34-82654.pdf SR-BOX-2018-04 2018-02-07 Notice / Immediate Effectiveness/to Amend Section VI. (Technology Fees) of the BOX Fee Schedule Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-6284 83-FR-6284 34-82655 https://www.sec.gov/rules/sro/box/2018/34-82655.pdf SR-BOX-2018-03 2018-02-07 Notice / Immediate Effectiveness/to Amend the Fee Schedule to Amend the BOX Volume Rebate Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-6281 83-FR-6281 34-82656 https://www.sec.gov/rules/other/2018/33-10456.pdf 33-10456 265-28 2018-02-07 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Notice Investor Advisory Committee http://www.federalregister.gov/citation/83-FR-6279 83-FR-6279 34-82656A https://www.sec.gov/rules/other/2018/33-10456a.pdf 33-10456 265-28 2018-02-07 Notice of Meeting of Securities and Exchange Commission Dodd-Frank Investor Advisory Committee Notice Investor Advisory Committee http://www.federalregister.gov/citation/83-FR-8727 83-FR-8727 34-82657 https://www.sec.gov/rules/sro/occ/2018/34-82657.pdf SR-OCC-2018-005 2018-02-08 Notice / Immediate Effectiveness/to Revise The Options Clearing Corporation's Schedule of Fees Notice The Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-6651 83-FR-6651 34-82658 https://www.sec.gov/rules/sro/occ/2018/34-82658.pdf SR-OCC-2017-007 2018-02-08 Order/Related to The Options Clearing Corporation's Margin Policy Order The Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-6646 83-FR-6646 34-82659 https://www.sec.gov/rules/sro/iceeu/2018/34-82659.pdf SR-ICEEU-2017-011 2018-02-08 Order/Relating to Amendments to the ICE Clear Europe Collateral and Haircut Policy Order ICE Clear Europe Limited http://www.federalregister.gov/citation/83-FR-6660 83-FR-6660 34-82660 https://www.sec.gov/rules/sro/cboebzx/2018/34-82660.pdf SR-CBOEBZX-2018-008 2018-02-08 Notice / Immediate Effectiveness/Relating to the Options Regulatory Fee Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-6664 83-FR-6664 34-82661 https://www.sec.gov/rules/sro/nysearca/2018/34-82661.pdf SR-NYSEARCA-2018-10 2018-02-08 Notice / Immediate Effectiveness/to Amend the NYSE Arca Equities Fees and Charges Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-6627 83-FR-6627 34-82662 https://www.sec.gov/rules/sro/dtc/2018/34-82662.pdf SR-DTC-2017-024 2018-02-08 Order/to Amend Procedures in the DTC Settlement Service Guide Relating to the Intra-Month Collection of Required Participants Fund Deposits Order The Depository Trust Company http://www.federalregister.gov/citation/83-FR-6624 83-FR-6624 34-82663 https://www.sec.gov/rules/sro/dtc/2018/34-82663.pdf SR-DTC-2017-023 2018-02-08 Order/to Restore the Timeframe for Processing Credit Post-Payable Adjustments Order The Depository Trust Company http://www.federalregister.gov/citation/83-FR-6629 83-FR-6629 34-82664 https://www.sec.gov/rules/sro/cboe/2018/34-82664.pdf SR-CBOE-2018-014 2018-02-08 Notice / Immediate Effectiveness/Relating to the Options Regulatory Fee Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-6662 83-FR-6662 34-82665 https://www.sec.gov/rules/sro/c2/2018/34-82665.pdf SR-C2-2018-003 2018-02-08 Notice / Immediate Effectiveness/Relating to the Options Regulatory Fee Notice Cboe C2 Exchange, Inc http://www.federalregister.gov/citation/83-FR-6650 83-FR-6650 34-82666 https://www.sec.gov/rules/sro/ise/2018/34-82666.pdf SR-ISE-2017-106 2018-02-08 Notice / Designation of Longer Period for Commission Action/to Permit the Listing and Trading of NQX Index Options on a Pilot Basis Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-6626 83-FR-6626 34-82667 https://www.sec.gov/litigation/opinions/2018/33-10457.pdf 33-10457 3-16386 2018-02-08 Supplemental Briefing Order Order CYIOS Corporation Carnahan, Timothy W. N/A 34-82668 https://www.sec.gov/litigation/admin/2018/34-82668.pdf IA-4855 3-18364 2018-02-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Dandridge, Victor M III N/A 34-82669 https://www.sec.gov/rules/sro/dtc/2018/34-82669.pdf SR-DTC-2017-021 SR-FICC-2017-021 SR-NSCC-2017-017 2018-02-08 Notice / Designation of Longer Period for Commission Action/to Adopt a Recovery & Wind-down Plan and Related Rules Notice The Depository Trust Company Fixed Income Clearing Corporation National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-6653 83-FR-6653 34-82670 https://www.sec.gov/rules/sro/dtc/2018/34-82670.pdf SR-DTC-2017-022 SR-FICC-2017-022 SR-NSCC-2017-018 2018-02-08 Notice / Designation of Longer Period for Commission Action/to Amend the Loss Allocation Rules and Make Other Changes Notice The Depository Trust Company Fixed Income Clearing Corporation National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-6626 83-FR-6626 34-82671 https://www.sec.gov/rules/sro/dtc/2018/34-82671.pdf SR-DTC-2018-001 2018-02-08 Notice /to Amend the By-Laws Notice The Depository Trust Company http://www.federalregister.gov/citation/83-FR-6639 83-FR-6639 34-82672 https://www.sec.gov/rules/sro/ficc/2018/34-82672.pdf SR-FICC-2018-002 2018-02-08 Notice /to Amend the By-Laws and Make Other Changes Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-6654 83-FR-6654 34-82673 https://www.sec.gov/rules/sro/miax/2018/34-82673.pdf SR-MIAX-2018-02 2018-02-08 Notice / Immediate Effectiveness/to Amend Its Fee Schedule Notice Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/83-FR-6630 83-FR-6630 34-82674 https://www.sec.gov/rules/sro/nscc/2018/34-82674.pdf SR-NSCC-2018-001 2018-02-08 Notice /to Amend the By-Laws and Make Other Changes Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-6633 83-FR-6633 34-82675 https://www.sec.gov/rules/sro/lchsa/2018/34-82675.pdf SR-LCH SA-2018-001 2018-02-09 Notice /Security-Based Swap Submission, or Advance Notice Relating to Self-Referencing Transactions Notice LCH SA http://www.federalregister.gov/citation/83-FR-6915 83-FR-6915 34-82676 https://www.sec.gov/rules/sro/nscc-an/2018/34-82676.pdf SR-NSCC-2017-807 2018-02-09 Notice of Filing and No Objection to Advance Notice /to Increase the Authorized Amount Under the Prefunded Liquidity Program Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-6912 83-FR-6912 34-82677 https://www.sec.gov/litigation/admin/2018/34-82677.pdf 3-15211 2018-02-09 Order Amending the Plan of Distribution Order Lorenzo, Gregg C. Lorenzo, Francis V. Charles Vista, LLC N/A 34-82678 https://www.sec.gov/rules/sro/iceeu/2018/34-82678.pdf SR-ICEEU-2018-002 2018-02-09 Notice /Security-Based Swap Submission, or Advance Notice Relating to Amendments to the ICE Clear Europe Limited CDS Procedures, CDS Risk Policy, and CDS Risk Model Description Notice ICE Clear Europe Limited http://www.federalregister.gov/citation/83-FR-6912 83-FR-6912 34-82679 2018-02-09 INTENTIONALLY OMITTED 34-82680 https://www.sec.gov/litigation/admin/2018/34-82680.pdf 3-16757 2018-02-09 Order Extending Time to Enter an Order Approving or Disapproving Plan of Distribution Other Citigroup Alternative Investment LLC Citigroup Global Markets Inc. N/A 34-82681 https://www.sec.gov/litigation/admin/2018/34-82681.pdf IA-4856 3-18366 2018-02-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Buck, Thomas J. N/A 34-82682 https://www.sec.gov/litigation/opinions/2018/34-82682.pdf 3-18316 2018-02-09 Extension Order Order Bloomberg L.P N/A 34-82682A 2018-02-09 INTENTIONALLY OMITTED 34-82683 2018-02-09 INTENTIONALLY OMITTED 34-82684 https://www.sec.gov/rules/sro/nysearca/2018/34-82684.pdf SR-NYSEARCA-2017-69 2018-02-09 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of ProShares QuadPro Funds under NYSE Arca Rule 8.200-E Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-6914 83-FR-6914 34-82685 https://www.sec.gov/litigation/opinions/2018/34-82685.pdf 3-18316 2018-02-09 Amended Extension Order Order Bloomberg L.P. N/A 34-82686 https://www.sec.gov/litigation/admin/2018/34-82686.pdf 3-18367 2018-02-12 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Deutsche Bank Securities Inc. Solomon, Benjamin N/A 34-82687 https://www.sec.gov/rules/sro/iceeu/2018/34-82687.pdf SR-ICEEU-2018-003 2018-02-12 Notice / Immediate Effectiveness/Relating to the ICE Clear Europe Rules For the Transition of Trading in Certain F&O Contracts Notice ICE Clear Europe Limited http://www.federalregister.gov/citation/83-FR-7090 83-FR-7090 34-82688 https://www.sec.gov/litigation/admin/2018/34-82688.pdf 3-18368 2018-02-12 Order Instituting Public Administrative Proceedings and Imposing Temporary Suspension Order Rust, Jay Mac Esq. N/A 34-82689 https://www.sec.gov/rules/sro/cboe/2018/34-82689.pdf SR-CBOE-2018-016 2018-02-12 Notice /to Amend Rules Related to the Complex Order Book Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-7092 83-FR-7092 34-82690 https://www.sec.gov/rules/sro/box/2018/34-82690.pdf SR-BOX-2018-06 2018-02-12 Notice /to Adopt IM-8040-3 to Rule 8040 Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-7084 83-FR-7084 34-82691 https://www.sec.gov/litigation/admin/2018/34-82691.pdf 3-18369 2018-02-12 Order of Forthwith Suspension Order Rust, Jay Mac Esq. N/A 34-82692 https://www.sec.gov/rules/sro/iceeu/2018/34-82692.pdf SR-ICEEU-2018-001 2018-02-12 Notice /Security-Based Swap Submission or Advance Notice Relating to Amendments to the ICE Clear Europe CDS Clearing Stress Testing Policy (the "Stress Testing Policy" Notice ICE Clear Europe Limited http://www.federalregister.gov/citation/83-FR-7096 83-FR-7096 34-82693 https://www.sec.gov/rules/sro/finra/2018/34-82693.pdf SR-FINRA-2018-003 2018-02-12 Notice /Relating to Simplified Arbitration Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-7086 83-FR-7086 34-82694 https://www.sec.gov/litigation/admin/2018/34-82694.pdf 3-18370 2018-02-12 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Chackerian, Ara N/A 34-82695 https://www.sec.gov/litigation/admin/2018/34-82695.pdf 3-18339 2018-02-13 Order Making Findings and Revoking Registration Order APEX 11, Inc. N/A 34-82696 https://www.sec.gov/litigation/opinions/2018/34-82696.pdf 3-15350 2018-02-12 Supplemental Briefing Order Order Securities Industry Financial Markets Association N/A 34-82697 https://www.sec.gov/rules/sro/box/2018/34-82697.pdf SR-BOX-2018-07 2018-02-13 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-7279 83-FR-7279 34-82698 https://www.sec.gov/rules/sro/gemx/2018/34-82698.pdf SR-GEMX-2018-05 2018-02-13 Notice / Immediate Effectiveness/to Memorialize Functionality Which is Designed to Assist Members in the Event that They Lose Communication Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/83-FR-7241 83-FR-7241 34-82699 https://www.sec.gov/rules/sro/ise/2018/34-82699.pdf SR-ISE-2018-12 2018-02-13 Notice / Immediate Effectiveness/to Memorialize Functionality Designed to Assist Members in the Event that They Lose Communication Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-7252 83-FR-7252 34-82700 https://www.sec.gov/rules/sro/ise/2018/34-82700.pdf SR-ISE-2018-13 2018-02-13 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-7248 83-FR-7248 34-82701 https://www.sec.gov/rules/sro/mrx/2018/34-82701.pdf SR-MRX-2018-04 2018-02-13 Notice / Immediate Effectiveness/to Memorialize Functionality Designed to Assist Members in the Event that They Lose Communication Notice Nasdaq MRX, LLC http://www.federalregister.gov/citation/83-FR-7274 83-FR-7274 34-82702 https://www.sec.gov/rules/sro/nasdaq/2018/34-82702.pdf SR-NASDAQ-2018-008 2018-02-13 Notice /to Modify the Listing Requirements Contained in Listing Rule 5635(d) to Change the Definition of Market Value for Purposes of the Shareholder Approval Rules and Eliminate the Requirement for Shareholder Approval of Issuances at a Price Less than Book Value but Greater than Market Value Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-7269 83-FR-7269 34-82703 https://www.sec.gov/litigation/admin/2018/34-82703.pdf 3-18371 2018-02-13 Order of Forthwith Suspension Order Scheltema, James R.J. Esq., CPA N/A 34-82704 https://www.sec.gov/rules/sro/bx/2018/34-82704.pdf SR-BX-2018-008 2018-02-13 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program Notice Nasdaq BX, Inc http://www.federalregister.gov/citation/83-FR-7245 83-FR-7245 34-82705 https://www.sec.gov/rules/sro/cboebzx/2018/34-82705.pdf SR-CBOEBZX-2018-010 2018-02-13 Notice /to Adopt BZX Rule 14.11(k) to Permit the Listing and Trading of Managed Portfolio Shares and to List and Trade Shares of the ClearBridge Appreciation ETF, ClearBridge Large Cap ETF, ClearBridge MidCap Growth ETF, ClearBridge Select ETF, and ClearBridge All Cap Value ETF Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-7256 83-FR-7256 34-82706 https://www.sec.gov/rules/sro/nyse/2018/34-82706.pdf SR-NYSE-2018-08 2018-02-13 Notice / Immediate Effectiveness/to Amend Its Price List for Equity Transactions in Stocks with a Per Share Stock Price of $1.00 or More to Introduce a New Market at-the-Close and Limit at-the-Close Tier 3 Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-7282 83-FR-7282 34-82707 https://www.sec.gov/litigation/admin/2018/34-82707.pdf 500-1 3-18336 2018-02-13 Order Making Findings and Revoking Registration Order iCoreConnect, Inc. a/k/a iMedicor, Inc. or Vemics, Inc. N/A 34-82708 https://www.sec.gov/rules/sro/gemx/2018/34-82708.pdf SR-GEMX-2018-04 2018-02-14 Notice / Immediate Effectiveness/to Amend the Exchange's Schedule of Fees Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/83-FR-7522 83-FR-7522 34-82709 https://www.sec.gov/rules/sro/nasdaq/2018/34-82709.pdf SR-NASDAQ-2018-011 2018-02-14 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-7513 83-FR-7513 34-82710 https://www.sec.gov/litigation/admin/2018/34-82710.pdf AAER-3920 3-18372 2018-02-14 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Block, Brian S. CPA N/A 34-82711 https://www.sec.gov/litigation/admin/2018/34-82711.pdf 3-18175 2018-02-14 Order Making Findings, and Imposing Remedial Sanctions Order Bank, Daryl G. N/A 34-82712 https://www.sec.gov/rules/sro/ise/2018/34-82712.pdf SR-ISE-2018-14 2018-02-14 Notice / Immediate Effectiveness/to Amend the Exchange's INET Port Fees to Indicate that Those Fees are Prorated Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-7512 83-FR-7512 34-82713 https://www.sec.gov/rules/sro/gemx/2018/34-82713.pdf SR-GEMX-2018-06 2018-02-14 Notice / Immediate Effectiveness/to Amend Port Fees Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/83-FR-7519 83-FR-7519 34-82714 https://www.sec.gov/rules/sro/mrx/2018/34-82714.pdf SR-MRX-2018-05 2018-02-14 Notice / Immediate Effectiveness/to Amend INET Port Fees at Section II, C to Indicate Those Fees Are Not Prorated Notice Nasdaq MRX, LLC http://www.federalregister.gov/citation/83-FR-7521 83-FR-7521 34-82715 https://www.sec.gov/rules/sro/cboebzx/2018/34-82715.pdf SR-CBOEBZX-2018-011 2018-02-14 Notice / Immediate Effectiveness/to Temporarily Amend Rule 11.23(d)(2)(E) Relating to the Halt Auction Collar for a Halt Auction for REX VolMAXX Short Weekly Futures Strategy ETF Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-7524 83-FR-7524 34-82716 https://www.sec.gov/rules/sro/nysearca/2018/34-82716.pdf SR-NYSEARCA-2018-12 2018-02-14 Notice / Immediate Effectiveness/to Temporarily Amend Rule 7.35-E(a)(8) Relating to the Auction Reference Price for the Trading Halt Auction for ProShares Short VIX Short-Term Futures ETF Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-7517 83-FR-7517 34-82717 https://www.sec.gov/litigation/admin/2018/34-82717.pdf 3-18353 2018-02-14 Order Making Findings and Revoking Registration Order ECO Integrated Technologies, Inc. N/A 34-82718 https://www.sec.gov/litigation/admin/2018/34-82718.pdf 3-18152 2018-02-14 Order Making Findings and Revoking Registration Order Golden River Resources Corp. N/A 34-82719 https://www.sec.gov/rules/sro/miax/2018/34-82719.pdf SR-MIAX-2018-05 2018-02-15 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program Notice Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/83-FR-7790 83-FR-7790 34-82720 https://www.sec.gov/rules/sro/pearl/2018/34-82720.pdf SR-PEARL-2018-03 2018-02-15 Notice / Immediate Effectiveness/to Expand the Short Term Option Series Program Notice MIAX PEARL LLC http://www.federalregister.gov/citation/83-FR-7820 83-FR-7820 34-82721 https://www.sec.gov/rules/sro/pearl/2018/34-82721.pdf SR-PEARL-2018-01 2018-02-15 Notice / Immediate Effectiveness/to Amend Rule 517A, Aggregate Risk Manager for EEMs ("ARM-E"), and Rule 517B, Aggregate Risk Manager for Market Makers ("ARM-M") Notice MIAX PEARL LLC http://www.federalregister.gov/citation/83-FR-7824 83-FR-7824 34-82722 https://www.sec.gov/litigation/admin/2018/34-82722.pdf 3-17899 3-17900 2018-02-15 Order Appointing Tax Administrator Order Credit Suisse Securities (USA) LLC Katz, Sanford Michael N/A 34-82723 https://www.sec.gov/rules/sro/nasdaq/2018/34-82723.pdf SR-NASDAQ-2018-010 2018-02-15 Notice / Immediate Effectiveness/to Amend Rule 7039 to Modify Pricing for the Nasdaq Last Sale Data Product and to Make Other Related Changes to Nasdaq Rules Notice The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-7812 83-FR-7812 34-82724 https://www.sec.gov/litigation/suspensions/2018/34-82724.pdf 500-1 2018-02-15 Trading Suspension Order Cherubim Interests, Inc. N/A 34-82725 https://www.sec.gov/litigation/suspensions/2018/34-82725.pdf 500-1 2018-02-15 Trading Suspension Order PDX Partners, Inc. N/A 34-82726 https://www.sec.gov/litigation/suspensions/2018/34-82726.pdf 500-1 2018-02-15 Trading Suspension Order Victura Construction Group, Inc. N/A 34-82727 https://www.sec.gov/rules/sro/chx/2018/34-82727.pdf SR-CHX-2016-20 2018-02-15 Order Setting Aside Action by Delegated Authority and Disapproving a Proposed Rule Change, as Modified by Amendments No. 1 and No. 2, Regarding the Acquisition of CHX Holdings, Inc. by North America Casin Holdings, Inc. Order Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/83-FR-7793 83-FR-7793 34-82728 https://www.sec.gov/rules/sro/gemx/2018/34-82728.pdf SR-GEMX-2018-07 2018-02-16 Notice / Immediate Effectiveness/to Amend Rule 100 Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/83-FR-8125 83-FR-8125 34-82729 https://www.sec.gov/rules/sro/iceeu/2018/34-82729.pdf SR-ICEEU-2018-004 2018-02-16 Notice / Immediate Effectiveness/Relating to a New F&O Concentration Charge Policy Notice ICE Clear Europe Limited http://www.federalregister.gov/citation/83-FR-8138 83-FR-8138 34-82730 https://www.sec.gov/rules/sro/nasdaq/2018/34-82730.pdf SR-NASDAQ-2017-131 2018-02-16 Order/Granting Approval to List and Trade the Shares of the Reinhart Intermediate Bond NextShares Fund Under Nasdaq Rule 5745 Order NASDAQ Stock Market LLC http://www.federalregister.gov/citation/83-FR-8118 83-FR-8118 34-82731 https://www.sec.gov/rules/sro/nyse/2018/34-82731.pdf SR-NYSE-2018-06 2018-02-16 Notice / Immediate Effectiveness/to Amend Section 902.11 of the Exchanges Listed Company Manual Concerning Fees Applicable to Acquisition Companies for Shares Issued in Connection with the Consummation of a Business Combination Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-8140 83-FR-8140 34-82732 https://www.sec.gov/rules/sro/mrx/2018/34-82732.pdf SR-MRX-2018-06 2018-02-16 Notice / Immediate Effectiveness/to Amend Rule 100 Notice Nasdaq MRX, LLC http://www.federalregister.gov/citation/83-FR-8122 83-FR-8122 34-82733 https://www.sec.gov/rules/sro/cboe/2018/34-82733.pdf SR-CBOE-2018-018 2018-02-16 Notice / Immediate Effectiveness/Relating to Expand the Short Term Options Series Program to Allow Monday Expirations for SPDR S&P 500 ETF Trust Options Notice Cboe Exchange, Inc. http://www.federalregister.gov/citation/83-FR-8142 83-FR-8142 34-82734 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82734.pdf SR-CBOEEDGX-2018-007 2018-02-16 Notice / Immediate Effectiveness/to Expand the Short Term Options Series Program to Allow Monday Expirations for SPDR S&P 500 ETF Trust Options on the Exchange's Equity Options Platform Notice Cboe EDGX Exchange, Inc http://www.federalregister.gov/citation/83-FR-8134 83-FR-8134 34-82735 https://www.sec.gov/rules/sro/cboebzx/2018/34-82735.pdf SR-CBOEBZX-2018-012 2018-02-16 Notice / Immediate Effectiveness/to Expand the Short Term Options Series Program to Allow Monday Expirations for SPDR S&P 500 ETF Trust Options on the Exchanges Equity Options Platform Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-8128 83-FR-8128 34-82736 https://www.sec.gov/litigation/admin/2018/34-82736.pdf AAER-3922 3-18374 2018-02-16 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Baer, Simcha CPA N/A 34-82737 https://www.sec.gov/rules/sro/nyseamer/2018/34-82737.pdf SR-NYSEAMER-2018-04 2018-02-16 Notice / Immediate Effectiveness/to Amend Its Listing Standard for Warrants in Section 105 of the NYSE American Company Guide Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-8132 83-FR-8132 34-82738 https://www.sec.gov/litigation/suspensions/2018/34-82738.pdf 500-1 2018-02-16 Trading Suspension Order EnzymeBioSystems N/A 34-82739 https://www.sec.gov/rules/sro/batsbzx/2018/34-82739.pdf SR-BATSBZX-2017-72 2018-02-20 Order / Instituting Proceedings to/to List and Trade Shares of the Innovator S&P 500 15% Shield Strategy ETF Series, Innovator S&P 500 -5% to -35% Shield Strategy ETF Series, Innovator S&P 500 Enhance and 10% Shield Strategy ETF Series, and Innovator S&P 500 Ultra Strategy ETF Series Under Rule 14.11(i) Order Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-8309 83-FR-8309 34-82740 https://www.sec.gov/rules/sro/miax/2018/34-82740.pdf SR-MIAX-2018-04 2018-02-20 Notice / Immediate Effectiveness/to Amend Its Fee Schedule Notice Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/83-FR-8304 83-FR-8304 34-82741 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82741.pdf SR-CBOEEDGX-2018-005 2018-02-20 Notice / Immediate Effectiveness/to Modify EDGX Rule 21.1 and Related Functionality Applicable to the Exchanges Options Platform Notice Cboe EDGX Exchange, Inc http://www.federalregister.gov/citation/83-FR-8306 83-FR-8306 34-82742 https://www.sec.gov/litigation/admin/2018/34-82742.pdf 500-1 3-18326 2018-02-20 Order Making Findings and Revoking Registration Order Andalay Solar, Inc. N/A 34-82743 https://www.sec.gov/litigation/admin/2018/34-82743.pdf 3-18375 2018-02-21 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Strum, Jonathan Esq. N/A 34-82744 https://www.sec.gov/litigation/admin/2018/34-82744.pdf AAER-3924 3-18376 2018-02-21 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Weinberg & Baer LLC Weinberg, Alan CPA N/A 34-82745 https://www.sec.gov/litigation/admin/2018/34-82745.pdf 3-17315 2018-02-21 Extension Order Order Ross, Sinclaire & Associates, LLC Sinclaire, Murray Jr. N/A 34-82746 https://www.sec.gov/rules/interp/2018/33-10459.pdf 33-10459 2018-02-21 Final Interpretation Rulemaking Commission Statement and Guidance on Public Company Cybersecurity Disclosures http://www.federalregister.gov/citation/83-FR-8166 83-FR-8166 34-82747 https://www.sec.gov/rules/sro/finra/2018/34-82747.pdf SR-FINRA-2018-008 2018-02-21 Notice / Immediate Effectiveness/to Revise the General Securities Representative (Series 7) Examination Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-8524 83-FR-8524 34-82748 https://www.sec.gov/rules/sro/finra/2018/34-82748.pdf SR-FINRA-2018-009 2018-02-21 Notice / Immediate Effectiveness/to Revise the Direct Participation Programs Representative (Series 22) Examination Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-8529 83-FR-8529 34-82749 https://www.sec.gov/rules/sro/ise/2018/34-82749.pdf SR-ISE-2018-15 2018-02-21 Notice / Immediate Effectiveness/Relating to Gateway Fees Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-8554 83-FR-8554 34-82750 https://www.sec.gov/rules/sro/finra/2018/34-82750.pdf SR-FINRA-2018-004 2018-02-21 Notice / Immediate Effectiveness/to Revise the Investment Banking Representative (Series 79) Examination Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-8526 83-FR-8526 34-82751 https://www.sec.gov/rules/sro/finra/2018/34-82751.pdf SR-FINRA-2018-005 2018-02-21 Notice / Immediate Effectiveness/to Revise the Research Analyst (Series 86 and 87) Examinations Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-8559 83-FR-8559 34-82752 https://www.sec.gov/rules/sro/finra/2018/34-82752.pdf SR-FINRA-2018-006 2018-02-21 Notice / Immediate Effectiveness/to Revise the Operations Professional (Series 99) Examination Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-8536 83-FR-8536 34-82753 https://www.sec.gov/rules/sro/phlx/2018/34-82753.pdf SR-PHLX-2018-17 2018-02-21 Notice / Immediate Effectiveness/to Amend Section VI.A. of the Exchange's Pricing Schedule to Clarify the Exchange's Billing Practices with Respect to Permit Fees Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-8557 83-FR-8557 34-82754 https://www.sec.gov/rules/sro/finra/2018/34-82754.pdf SR-FINRA-2018-007 2018-02-21 Notice / Immediate Effectiveness/to Revise the Investment Company and Variable Contracts Products Representative (Series 6) Examination Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-8533 83-FR-8533 34-82755 https://www.sec.gov/litigation/opinions/2018/33-10460.pdf 33-10460 3-15211 2018-02-21 Order Denying Stay Order Lorenzo, Francis V. N/A 34-82756 https://www.sec.gov/rules/sro/pearl/2018/34-82756.pdf SR-PEARL-2018-02 2018-02-21 Notice /Relating to Trading in Index Options Notice MIAX PEARL, LLC http://www.federalregister.gov/citation/83-FR-8538 83-FR-8538 34-82757 https://www.sec.gov/rules/sro/nasdaq/2018/34-82757.pdf SR-NASDAQ-2017-128 2018-02-21 Notice / Designation of Longer Period for Commission Action/to List and Trade the Shares of the Western Asset Total Return ETF Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-8532 83-FR-8532 34-82758 https://www.sec.gov/rules/sro/cboebzx/2018/34-82758.pdf SR-CBOEBZX-2017-023 2018-02-22 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of the iShares Gold Exposure ETF, a Series of the iShares U.S. ETF Trust, Under Exchange Rule 14.11(i), Managed Fund Shares Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-8717 83-FR-8717 34-82759 https://www.sec.gov/rules/sro/cboebzx/2018/34-82759.pdf SR-CBOEBZX-2018-001 2018-02-22 Notice / Designation of Longer Period for Commission Action/to List and Trade the Shares of the GraniteShares Bitcoin ETF and the GraniteShares Short Bitcoin ETF, a Series of the GraniteShares ETP Trust, Under Rule 14.11(f)(4), Trust Issued Receipts Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-8719 83-FR-8719 34-82760 https://www.sec.gov/rules/exorders/2018/34-82760.pdf TP 18-09 2018-02-22 Order Granting Limited Exemptions from Rule 10b-17(b)(1)(v)(A) and (B) and Rules 101 and 102 of Regulation M Other Xtrackers High Yield Corporate Bond -- Interest Rate hedged ETF N/A 34-82761 https://www.sec.gov/rules/sro/nasdaq/2018/34-82761.pdf SR-NASDAQ-2018-012 2018-02-22 Notice /to List and Trade, Under Nasdaq Rule 5705, the Shares of the Horizons Russell 2000 Covered Call ETF Notice The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-8719 83-FR-8719 34-82762 https://www.sec.gov/litigation/admin/2018/34-82762.pdf 3-18378 2018-02-22 Order Instituting Administrative Proceedings and Notice of Hearing Order Affirmative Insurance Holdings, Inc. Armada Oil, Inc. China Energy Technology Corp., Ltd. Chuma Holdings, Inc. N/A 34-82763 https://www.sec.gov/litigation/suspensions/2018/34-82763.pdf 500-1 2018-02-22 Trading Suspension Order Affirmative Insurance Holdings, Inc. Armada Oil, Inc. China Energy Technology Corp., Ltd. Chuma Holdings, Inc. N/A 34-82764 https://www.sec.gov/litigation/admin/2018/34-82764.pdf 500-1 3-18333 2018-02-22 Order Making Findings and Revoking Registration Order Blacksands Petroleum, Inc. N/A 34-82765 https://www.sec.gov/rules/sro/phlx/2018/34-82765.pdf SR-PHLX-2018-16 2018-02-23 Notice / Immediate Effectiveness/to Amend Rule 1082 and Eliminate Obsolete Language Referring to Legacy Phlx XL System Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-8913 83-FR-8913 34-82766 https://www.sec.gov/rules/sro/phlx/2018/34-82766.pdf SR-PHLX-2018-14 2018-02-23 Notice /to Adopt New Order Type Protections, Butterfly and Box Spread Protections for Complex Order Strategy Trades Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-8914 83-FR-8914 34-82767 https://www.sec.gov/litigation/admin/2018/34-82767.pdf IA-4858 3-18379 2018-02-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Hicks, Stephen N/A 34-82768 https://www.sec.gov/litigation/admin/2018/34-82768.pdf 3-17672 2018-02-23 Extension Order Order 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 34-82769 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82769.pdf SR-CBOEEDGX-2018-006 2018-02-23 Notice / Immediate Effectiveness/to Amend EDGX Rule 21.1(c) to Further Align the Exchange's Rules with that of Cboe BZX Exchange, Inc. as they Relate to the Equity Options Platform Notice Cboe EDGX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-8912 83-FR-8912 34-82770 https://www.sec.gov/rules/sro/cboe/2018/34-82770.pdf SR-CBOE-2017-057 2018-02-23 Notice / Order Accelerating /to Amend Interpretation and Policy .07 of Exchange Rule 4.11, Position Limits, to Increase the Position Limits for Options on Certain Exchange Traded Products Notice/Order Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-8907 83-FR-8907 34-82771 https://www.sec.gov/rules/sro/cboe/2018/34-82771.pdf SR-CBOE-2018-017 2018-02-26 Notice / Immediate Effectiveness/to Amend Rule 6.56, Compression Forums, to Provide Additional Opportunities to Disclose Compression-List Positions Monthly Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-9032 83-FR-9032 34-82772 https://www.sec.gov/rules/sro/finra/2018/34-82772.pdf SR-FINRA-2018-010 2018-02-26 Notice / Immediate Effectiveness/to Revise the Securities Trader (Series 57) Examination Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-9039 83-FR-9039 34-82773 https://www.sec.gov/litigation/admin/2018/33-10461.pdf 33-10461 IA-4859 IC-33034 3-17157 2018-02-26 Order Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order Order Zoernack, Steven EquityStar Capital Management, LLC N/A 34-82774 https://www.sec.gov/rules/sro/finra/2018/34-82774.pdf SR-FINRA-2018-011 2018-02-26 Notice / Immediate Effectiveness/to Revise the Private Securities Offerings Representative (Series 82) Examination Notice Financial Industry Regulatory Authority, Inc http://www.federalregister.gov/citation/83-FR-9050 83-FR-9050 34-82775 https://www.sec.gov/rules/sro/nasdaq/2018/34-82775.pdf SR-NASDAQ-2018-014 2018-02-26 Notice / Immediate Effectiveness/to Update Rule 4758 to Reflect the Name Change of NYSE MKT to NYSE American Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-9046 83-FR-9046 34-82776 https://www.sec.gov/rules/sro/cboebzx/2018/34-82776.pdf SR-CBOEBZX-2018-013 2018-02-26 Notice / Immediate Effectiveness/to Introduce a New Data Feed on the Exchanges Equity Options Platform Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-9047 83-FR-9047 34-82777 https://www.sec.gov/litigation/opinions/2018/34-82777.pdf 3-18350 2018-02-26 Order Scheduling Briefs Order Meyers Associates, L.P. (n/k/a Windsor Street Capital, L.P.) N/A 34-82778 https://www.sec.gov/litigation/opinions/2018/34-82778.pdf 3-17734 2018-02-26 Order Scheduling Briefs Order Sequeira, Keith Patrick N/A 34-82779 https://www.sec.gov/rules/sro/ficc-an/2018/34-82779.pdf SR-FICC-2018-801 2018-02-26 Notice / Advance Notice/to the Method of Calculating Netting Members Margin in the Government Securities Division Rulebook Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-9055 83-FR-9055 34-82780 https://www.sec.gov/rules/sro/nscc-an/2018/34-82780.pdf SR-NSCC-2017-808 2018-02-26 Notice of Filing and No Objection to Advance Notice /to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge Notice National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-9035 83-FR-9035 34-82781 https://www.sec.gov/rules/sro/nscc/2018/34-82781.pdf SR-NSCC-2017-020 2018-02-26 Notice / Order Accelerating /as Modified by Amendment No. 1, to Enhance the Calculation of the Volatility Component of the Clearing Fund Formula that Utilizes a Parametric Value-at-Risk Model and Eliminate the Market Maker Domination Charge Notice/Order National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-9042 83-FR-9042 34-82782 https://www.sec.gov/rules/sro/iceeu/2018/34-82782.pdf SR-ICEEU-2017-017 2018-02-27 Notice / Designation of Longer Period for Commission Action/Concerning the ICE Clear Europe Wind-Down Plan Notice ICE Clear Europe Limited http://www.federalregister.gov/citation/83-FR-9351 83-FR-9351 34-82783 https://www.sec.gov/litigation/admin/2018/34-82783.pdf 3-17212 2018-02-27 Order Establishing a Fair Fund Order Doktorczyk, Michael Logitech International, S.A. Bolles, Sherralyn CPA N/A 34-82784 https://www.sec.gov/rules/sro/iex/2018/34-82784.pdf SR-IEX-2018-04 2018-02-27 Notice / Immediate Effectiveness/to Amend Rule 5.170 to Reflect an Update to a FINRA Rule Notice Investors Exchange LLC http://www.federalregister.gov/citation/83-FR-9349 83-FR-9349 34-82785 https://www.sec.gov/rules/sro/occ/2018/34-82785.pdf SR-OCC-2017-011 2018-02-27 Order/Related to The Options Clearing Corporations Model Risk Management Policy Order Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-9345 83-FR-9345 34-82786 https://www.sec.gov/rules/sro/iceeu/2018/34-82786.pdf SR-ICEEU-2017-016 2018-02-27 Notice / Designation of Longer Period for Commission Action/Concerning the ICE Clear Europe Recovery Plan Notice ICE Clear Europe Limited http://www.federalregister.gov/citation/83-FR-9345 83-FR-9345 34-82787 https://www.sec.gov/rules/other/2018/34-82787.pdf 2018-02-27 Order/Granting an Extension of Time to File Audited Financial Statements of DBRS Ratings Limited in Accordance With Exchange Act Rule 17g-3(a)(1) Order DBRS Ratings Limited N/A 34-82788 https://www.sec.gov/rules/sro/nysearca/2018/34-82788.pdf SR-NYSEARCA-2018-13 2018-02-27 Notice / Immediate Effectiveness/Relating to the Wilshire Micro-Cap ETF Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-9347 83-FR-9347 34-82789 https://www.sec.gov/litigation/suspensions/2018/34-82789.pdf 500-1 2018-02-27 Trading Suspension Order Analytica Bio-Energy Corp. N/A 34-82790 https://www.sec.gov/rules/sro/nasdaq/2018/34-82790.pdf SR-NASDAQ-2018-013 2018-02-28 Notice / Immediate Effectiveness/to Amend Rule 7018(a) Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-9351 83-FR-9351 34-82791 https://www.sec.gov/rules/sro/nasdaq/2018/34-82791.pdf SR-NASDAQ-2018-015 2018-02-28 Notice / Immediate Effectiveness/to Modify IM-5900-7 to Update the Values of, and Permit a Third-Party Provider Selected by Nasdaq to Offer, Certain Complimentary Services Provided to Certain Newly Listing Companies Pursuant to the Rule Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-9354 83-FR-9354 34-82792 https://www.sec.gov/litigation/admin/2018/33-10462.pdf 33-10462 IA-4862 3-18381 2018-02-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Ameriprise Financial Services, Inc. N/A 34-82793 https://www.sec.gov/rules/sro/occ/2018/34-82793.pdf SR-OCC-2018-004 2018-02-28 Suspension of and Order Instituting Proceedings to Determine Whether to Approve or Disapprove the Proposed Rule Change to Revise The Options Clearing Corporation's Schedule of Fees Order The Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-9562 83-FR-9562 34-82794 https://www.sec.gov/rules/other/2018/34-82794.pdf SR-BATSBZX-2017-34 2018-03-01 Order Granting Petitions for Review and Scheduling Filing of Statements Other Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-9561 83-FR-9561 34-82795 https://www.sec.gov/rules/sro/nysearca/2018/34-82795.pdf SR-NYSEARCA-2018-02 2018-03-01 Notice / Designation of Longer Period for Commission Action/Relating to Listing and Trading of the Direxion Daily Bitcoin Bear 1X Shares, Direxion Daily Bitcoin 1.25X Bull Shares, Direxion Daily Bitcoin 1.5X Bull Shares, Direxion Daily Bitcoin 2X Bull Shares and Direxion Daily Bitcoin 2X Bear Shares Under NYSE Arca Rule 8.200-E Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-9768 83-FR-9768 34-82796 https://www.sec.gov/rules/sro/nyse/2018/34-82796.pdf SR-NYSE-2017-42 2018-03-01 Order/Granting Approval to Amend the NYSE Listed Company Manual to Modify Its Requirements with Respect to Physical Delivery of Proxy Materials to the Exchange Order New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-9765 83-FR-9765 34-82797 https://www.sec.gov/litigation/opinions/2018/34-82797.pdf 3-17677 2018-03-01 Order Extending Time to Issue Decision Order Lek Securities Corporation N/A 34-82798 https://www.sec.gov/rules/sro/icc/2018/34-82798.pdf SR-ICC-2018-003 2018-03-01 Notice /Security-Based Swap Submission, or Advance Notice Relating to the ICC Operational Risk Management Framework Notice ICE Clear Credit LLC http://www.federalregister.gov/citation/83-FR-9786 83-FR-9786 34-82799 https://www.sec.gov/rules/sro/iex/2018/34-82799.pdf SR-IEX-2018-03 2018-03-01 Notice / Immediate Effectiveness/to Amend Certain Auction Rules Governing the Pricing of Non-Displayed Orders Resting on the Continuous Book for the Opening and Closing Auctions Notice Investors Exchange LLC http://www.federalregister.gov/citation/83-FR-9781 83-FR-9781 34-82800 https://www.sec.gov/litigation/suspensions/2018/34-82800.pdf 500-1 2018-03-01 Trading Suspension Order HD View 360 Inc. N/A 34-82801 https://www.sec.gov/rules/sro/occ/2018/34-82801.pdf SR-OCC-2017-022 2018-03-02 Order / Instituting Proceedings to/Related to The Options Clearing Corporation's Margin Methodology Order Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-9761 83-FR-9761 34-82802 https://www.sec.gov/rules/sro/nyseamer/2018/34-82802.pdf SR-NYSEAMER-2018-05 2018-03-02 Notice /for New Rule 971.2NY for An Electronic Price Improvement Auction for Complex Orders Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-9769 83-FR-9769 34-82803 2018-03-05 INTENTIONALLY OMITTED 34-82804 https://www.sec.gov/rules/sro/nyse/2018/34-82804.pdf SR-NYSE-2017-53 2018-03-05 Order / Instituting Proceedings to/To Amend the Listed Company Manual for Special Purpose Acquisition Companies To Lower the Initial Holders Requirement From 300 to 150 Round Lot Holders and To Eliminate Completely the 300 Public Stockholders Continued Listing Requirement, To Require at Least $5 Million in Net Tangible Assets for Initial and Continued Listing, and To Impose a 30-Day Deadline to Demonstrate Compliance with Certain Initial Listing Requirements Following a Business Combination Order New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-10530 83-FR-10530 34-82805 https://www.sec.gov/litigation/admin/2018/34-82805.pdf 3-18384 2018-03-05 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Edwin Shaw, LLC N/A 34-82806 https://www.sec.gov/litigation/admin/2018/34-82806.pdf 3-18386 2018-03-05 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Stocking, Jacob W.L. N/A 34-82807 https://www.sec.gov/rules/other/2018/34-82807.pdf 2018-5 2018-03-06 Order Determining Whistleblower Award Claim Order Redacted N/A 34-82808 https://www.sec.gov/litigation/admin/2018/33-10463.pdf 33-10463 3-18388 2018-03-06 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order New York Stock Exchange LLC American LLC f/k/a NYSE MKT LLC and NYSE Amex LLC NYSE Arca, Inc. N/A 34-82809 https://www.sec.gov/rules/sro/nyseamer/2018/34-82809.pdf SR-NYSEAMER-2018-06 2018-03-06 Notice / Immediate Effectiveness/to Modify the NYSE American Options Fee Schedule Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-10542 83-FR-10542 34-82810 https://www.sec.gov/rules/sro/bx/2018/34-82810.pdf SR-BX-2018-009 2018-03-06 Notice / Immediate Effectiveness/to Relocate Its Data Feed Offerings Notice Nasdaq BX, Inc http://www.federalregister.gov/citation/83-FR-10527 83-FR-10527 34-82811 https://www.sec.gov/rules/sro/nasdaq/2018/34-82811.pdf SR-NASDAQ-2018-016 2018-03-06 Notice / Immediate Effectiveness/to Relocate the Nasdaq Options Market LLC Data Feed Offerings Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-10528 83-FR-10528 34-82812 https://www.sec.gov/rules/sro/pearl/2018/34-82812.pdf SR-PEARL-2018-05 2018-03-06 Notice / Immediate Effectiveness/to Amend Exchange Rule 403, Withdrawal of Approval of Underlying Securities Notice MIAX PEARL, LLC http://www.federalregister.gov/citation/83-FR-10533 83-FR-10533 34-82813 https://www.sec.gov/rules/sro/phlx/2018/34-82813.pdf SR-PHLX-2018-19 2018-03-06 Notice / Immediate Effectiveness/to Relocate the Exchange's Data Feeds Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-10541 83-FR-10541 34-82814 https://www.sec.gov/rules/sro/miax/2018/34-82814.pdf SR-MIAX-2018-07 2018-03-06 Notice / Immediate Effectiveness/to Amend Exchange Rule 403, Withdrawal of Approval of Underlying Securities Notice Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/83-FR-10538 83-FR-10538 34-82815 https://www.sec.gov/rules/sro/iex/2018/34-82815.pdf SR-IEX-2018-05 2018-03-06 Notice / Immediate Effectiveness/to Amend Rule 11.270 (Clearly Erroneous Executions) to Preclude Members from Requesting a Review of a Volatility Auction as a Clearly Erroneous Execution Notice Investors Exchange LLC http://www.federalregister.gov/citation/83-FR-10536 83-FR-10536 34-82816 https://www.sec.gov/litigation/admin/2018/34-82816.pdf IA-4864 IC-33039 3-18387 2018-03-06 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Valor Capital Asset Management, LLC Magee, Robert Mark N/A 34-82817 https://www.sec.gov/rules/sro/mrx/2018/34-82817.pdf SR-MRX-2018-07 2018-03-06 Notice / Immediate Effectiveness/to Clarify Certain Terms Used in the Schedule of Fees Notice Nasdaq MRX, LLC http://www.federalregister.gov/citation/83-FR-10759 83-FR-10759 34-82818 https://www.sec.gov/litigation/admin/2018/34-82818.pdf IA-4865 3-18389 2018-03-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Kohli , Peter R. N/A 34-82819 https://www.sec.gov/rules/sro/nysenat/2018/34-82819.pdf SR-NYSENAT-2018-02 2018-03-07 Notice /to Support the Re-launch of the Exchange on the Pillar Trading Platform Notice NYSE National, Inc http://www.federalregister.gov/citation/83-FR-11098 83-FR-11098 34-82820 https://www.sec.gov/rules/sro/ficc-an/2018/34-82820.pdf SR-FICC-2018-801 2018-03-07 Notice / Advance Notice/Extension of Review Period of Advance Notice to Implement Changes to the Method of Calculating Netting Members Margin in the Government Securities Division Rulebook Notice Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-10761 83-FR-10761 34-82821 https://www.sec.gov/litigation/admin/2018/34-82821.pdf 3-18391 2018-03-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Lovy, Eric Eric Beltran N/A 34-82822 https://www.sec.gov/rules/sro/nasdaq/2018/34-82822.pdf SR-NASDAQ-2018-017 2018-03-07 Notice / Immediate Effectiveness/to Amend the Exchanges Transaction Fees at Rule 7014 to Eliminate the Small Cap Incentive Program and the Limit Up Limit Down Pricing Program Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-10933 83-FR-10933 34-82823 https://www.sec.gov/rules/sro/miax/2018/34-82823.pdf SR-MIAX-2018-09 2018-03-07 Notice / Immediate Effectiveness/to Amend Its Fee Schedule Notice Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/83-FR-10935 83-FR-10935 34-82824 https://www.sec.gov/rules/sro/nysearca/2018/34-82824.pdf SR-NYSEARCA-2018-04 2018-03-07 Notice / Designation of Longer Period for Commission Action/to Adopt a New NYSE Arca Rule 8.900-E and to List and Trade Shares of the Royce Pennsylvania ETF, Royce Premier ETF, and Royce Total Return ETF under Proposed NYSE Arca Equities Rule 8.900-E Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-10934 83-FR-10934 34-82825 https://www.sec.gov/rules/sro/nasdaq/2018/34-82825.pdf SR-NASDAQ-2017-074 2018-03-07 Notice / Amendment No./3/Order/Accelerating/as Modified by Amendment Nos. 1, 2, and 3, to Adopt the Midpoint Extended Life Order Notice/Order The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-10937 83-FR-10937 34-82826 https://www.sec.gov/litigation/admin/2018/33-10465.pdf 33-10465 3-18392 2018-03-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Merrill Lynch, Pierce, Fenner & Smith Incorporated N/A 34-82827 https://www.sec.gov/rules/sro/pearl/2018/34-82827.pdf SR-PEARL-2018-04 2018-03-08 Notice / Immediate Effectiveness/to Amend Exchange Rule 402, Criteria for Underlying Securities Notice MIAX PEARL, LLC http://www.federalregister.gov/citation/83-FR-11269 83-FR-11269 34-82828 https://www.sec.gov/rules/sro/miax/2018/34-82828.pdf SR-MIAX-2018-06 2018-03-08 Notice / Immediate Effectiveness/to Amend Exchange Rule 402, Criteria for Underlying Securities Notice Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/83-FR-11278 83-FR-11278 34-82829 https://www.sec.gov/rules/sro/finra/2018/34-82829.pdf SR-FINRA-2018-012 2018-03-08 Notice / Immediate Effectiveness/Relating to Eliminate the Fee for an Explained Decision Notice Financial Industry Regulatory Authority, Inc. http://www.federalregister.gov/citation/83-FR-11256 83-FR-11256 34-82830 https://www.sec.gov/rules/final/2018/33-10467.pdf 33-10467 39-2520 IC-33041 NO FILE NUMBER 2018-03-08 Adoption of Updated EDGAR Filer Manual Rulemaking Revisions to EDGAR Filer Manual, Volume I - "General Information" Volume II - "EDGAR Filing" http://www.federalregister.gov/citation/83-FR-11637 83-FR-11637 34-82831 https://www.sec.gov/rules/sro/nyse/2018/34-82831.pdf SR-NYSE-2018-01 2018-03-08 Order/to Amend the Complimentary Products and Services Available to Certain Eligible New Listings Pursuant to Section 907.00 of the Exchanges Listed Company Manual Order New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-11267 83-FR-11267 34-82832 https://www.sec.gov/rules/sro/cboebzx/2018/34-82832.pdf SR-CBOEBZX-2018-005 2018-03-08 Notice / Designation of Longer Period for Commission Action/to List and Trade Shares of the Cboe Vest S&P 500¿ Premium Income ETF Under Rule 14.11(c)(5) Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-11269 83-FR-11269 34-82833 https://www.sec.gov/rules/sro/cboebyx/2018/34-82833.pdf SR-CBOEBYX-2018-002 2018-03-08 Notice / Immediate Effectiveness/Related to Transaction Fees Notice Cboe BYX Exchange, Inc http://www.federalregister.gov/citation/83-FR-11262 83-FR-11262 34-82834 https://www.sec.gov/rules/sro/cboebzx/2018/34-82834.pdf SR-CBOEBZX-2018-015 2018-03-08 Notice / Immediate Effectiveness/Related to Transaction Fees Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-11252 83-FR-11252 34-82835 https://www.sec.gov/litigation/admin/2018/34-82835.pdf 3-16877 3-16878 2018-03-08 Order Appointing Tax Administrator Order Richards, Howard Securus Wealth Management, LLC Goodland, James N/A 34-82836 https://www.sec.gov/litigation/opinions/2018/33-10468.pdf 33-10468 3-16509 2018-03-08 Order Denying Motion for Reconsideration Order Daspin, Edwin M. a/k/a "Edward (Ed) Michael" N/A 34-82837 https://www.sec.gov/litigation/admin/2018/34-82837.pdf IA-4868 3-18393 2018-03-08 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Voya Investments, LLC Directed Services LLC N/A 34-82838 https://www.sec.gov/litigation/admin/2018/34-82838.pdf 3-18394 2018-03-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Kelley, Deborah D. N/A 34-82839 https://www.sec.gov/litigation/admin/2018/34-82839.pdf 3-18395 2018-03-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Schonhorn, Gregg Z. N/A 34-82840 https://www.sec.gov/litigation/admin/2018/34-82840.pdf 3-18396 2018-03-09 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Ritch, Robert Joseph N/A 34-82841 https://www.sec.gov/litigation/suspensions/2018/34-82841.pdf 500-1 2018-03-09 Trading Suspension Order Manzo Pharmaceuticals, Inc. N/A 34-82842 https://www.sec.gov/rules/sro/cboebzx/2018/34-82842.pdf SR-CBOEBZX-2017-005 2018-03-09 Order / Instituting Proceedings to/to List and Trade Shares of a Series of the Cboe Vest S&P 500 Buffer Protect Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares Order Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-11273 83-FR-11273 34-82843 https://www.sec.gov/rules/sro/cboebzx/2018/34-82843.pdf SR-CBOEBZX-2017-006 2018-03-09 Order / Instituting Proceedings to/to List and Trade Shares of a Series of the Cboe Vest S&P 500 Enhanced Growth Strategy ETF Under the ETF Series Solutions Trust Under Rule 14.11(c)(3), Index Fund Shares Order Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-11264 83-FR-11264 34-82844 https://www.sec.gov/rules/sro/cboebzx/2018/34-82844.pdf SR-CBOEBZX-2018-016 2018-03-09 Notice / Immediate Effectiveness/to Delist the Shares of the iShares Edge U.S. Fixed Income Balanced Risk ETF from Listing Pursuant to Rule 14.11(i) and Approval Orders Issued by the Commission as a Series of Managed Fund Shares, and to Re-List Pursuant to Rule 14.11(c)(4) as a Series of Index Fund Shares Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-11283 83-FR-11283 34-82845 https://www.sec.gov/rules/sro/box/2018/34-82845.pdf SR-BOX-2018-08 2018-03-09 Notice / Immediate Effectiveness/to Amend Rule 7600(c) to State that the Qualified Open Outcry (QOO) Order is Subject to the Trade-through Exceptions Outlined in Rule 15010(b) Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-11281 83-FR-11281 34-82846 https://www.sec.gov/rules/sro/ise/2018/34-82846.pdf SR-ISE-2018-16 2018-03-09 Notice /to Introduce the ATR Protection for Orders that are Routed to Away Markets Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-11254 83-FR-11254 34-82847 https://www.sec.gov/rules/sro/gemx/2018/34-82847.pdf SR-GEMX-2018-09 2018-03-09 Notice /to Introduce the ATR Protection for Orders that are Routed to Away Markets Notice Nasdaq GEMX, LLC http://www.federalregister.gov/citation/83-FR-11259 83-FR-11259 34-82848 https://www.sec.gov/rules/sro/mrx/2018/34-82848.pdf SR-MRX-2018-08 2018-03-09 Notice /to Introduce the ATR Protection for Orders that are Routed to Away Markets Notice Nasdaq MRX, LLC http://www.federalregister.gov/citation/83-FR-11276 83-FR-11276 34-82849 https://www.sec.gov/litigation/admin/2018/34-82849.pdf AAER-3925 3-18397 2018-03-09 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order/and Imposing a Civil Money Penalty Order Elbit Imaging Ltd. N/A 34-82850 https://www.sec.gov/rules/sro/nysearca/2018/34-82850.pdf SR-NYSEARCA-2017-69 2018-03-09 Notice / Withdrawal /to List and Trade Shares of ProShares QuadPro Funds under NYSE Arca Rule 8.200-E Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-11275 83-FR-11275 34-82851 https://www.sec.gov/rules/sro/nysearca/2018/34-82851.pdf SR-NYSEARCA-2018-16 2018-03-09 Notice / Immediate Effectiveness/to Amend Rule 5.3-O Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-11576 83-FR-11576 34-82852 https://www.sec.gov/rules/sro/nyseamer/2018/34-82852.pdf SR-NYSEAMER-2018-09 2018-03-09 Notice / Immediate Effectiveness/to Amend Rule 915 Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-11573 83-FR-11573 34-82853 https://www.sec.gov/rules/sro/icc/2018/34-82853.pdf SR-ICC-2018-001 2018-03-12 Order/Relating to the ICC Rules, ICC Risk Management Model Description Document, ICC Risk Management Framework, ICC Stress Testing Framework, and ICC Liquidity Risk Management Framework Order ICE Clear Credit LLC http://www.federalregister.gov/citation/83-FR-11570 83-FR-11570 34-82854 https://www.sec.gov/rules/sro/cboe/2018/34-82854.pdf SR-CBOE-2018-012 2018-03-12 Notice / Immediate Effectiveness/to Establish Fees for Options that Overlie the S&P Select Sector Index Options Notice Cboe Exchange, Inc. http://www.federalregister.gov/citation/83-FR-11803 83-FR-11803 34-82855 https://www.sec.gov/rules/sro/cboe/2018/34-82855.pdf SR-CBOE-2018-019 2018-03-12 Notice / Immediate Effectiveness/to Amend the Fees Schedule Notice Cboe Exchange, Inc. http://www.federalregister.gov/citation/83-FR-11794 83-FR-11794 34-82856 https://www.sec.gov/rules/sro/occ/2018/34-82856.pdf SR-OCC-2018-001 2018-03-12 Order/Related to The Options Clearing Corporation's Fee Policy Order The Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-11807 83-FR-11807 34-82857 https://www.sec.gov/rules/sro/nysearca/2018/34-82857.pdf SR-NYSEARCA-2018-14 2018-03-12 Notice / Immediate Effectiveness/to Expand the Short Term Options Series Program Notice NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-11797 83-FR-11797 34-82858 https://www.sec.gov/rules/sro/nyseamer/2018/34-82858.pdf SR-NYSEAMER-2018-08 2018-03-12 Notice / Immediate Effectiveness/to Expand the Short Term Options Series Program Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-11800 83-FR-11800 34-82859 https://www.sec.gov/litigation/admin/2018/34-82859.pdf AAER-3926 3-18399 2018-03-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order BDO Canada LLP N/A 34-82860 https://www.sec.gov/litigation/admin/2018/34-82860.pdf AAER-3927 3-18400 2018-03-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order KPMG Inc. N/A 34-82861 https://www.sec.gov/litigation/admin/2018/34-82861.pdf AAER-3928 3-18401 2018-03-13 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Deloitte & Touche Chartered Accountants N/A 34-82862 https://www.sec.gov/litigation/admin/2018/34-82862.pdf AAER-3929 3-18402 2018-03-13 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order KPMG N/A 34-82863 https://www.sec.gov/rules/sro/lchsa/2018/34-82863.pdf SR-LCH SA-2018-002 2018-03-13 Notice / Immediate Effectiveness/Relating to End of Day Price Contribution Notice LCH SA http://www.federalregister.gov/citation/83-FR-12052 83-FR-12052 34-82864 https://www.sec.gov/rules/sro/nyseamer/2018/34-82864.pdf SR-NYSEAMER-2018-07 2018-03-13 Notice / Immediate Effectiveness/Amending the NYSE American Company Guide to Require that Listed Companies Provide Notice to the Exchange of Announcements of Dividends or Stock Distributions at Least Ten Minutes in Advance of Public Release Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-12054 83-FR-12054 34-82865 https://www.sec.gov/rules/sro/phlx/2018/34-82865.pdf SR-PHLX-2018-21 2018-03-13 Notice / Immediate Effectiveness/to Amend the Transaction Fees at Section VIII Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-12066 83-FR-12066 34-82866 https://www.sec.gov/rules/sro/phlx/2018/34-82866.pdf SR-PHLX-2018-20 2018-03-13 Notice /to a Proposal to Amend Rule 1079, FLEX Index, Equity and Currency Options and Rule 1059, Accommodation Transactions Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-12058 83-FR-12058 34-82867 https://www.sec.gov/rules/sro/pearl/2018/34-82867.pdf SR-PEARL-2018-07 2018-03-13 Notice / Immediate Effectiveness/to Amend the MIAX PEARL Fee Schedule Notice MIAX PEARL, LLC http://www.federalregister.gov/citation/83-FR-12044 83-FR-12044 34-82868 https://www.sec.gov/rules/sro/miax/2018/34-82868.pdf SR-MIAX-2018-08 2018-03-13 Notice / Immediate Effectiveness/to Amend Its Fee Schedule Notice Miami International Securities Exchange LLC http://www.federalregister.gov/citation/83-FR-12063 83-FR-12063 34-82869 https://www.sec.gov/rules/other/2018/33-10470.pdf 33-10470 IA-4869 IC-33045 S7-06-18 2018-03-14 Notice of Semiannual regulatory agenda Rulemaking Semiannual Regulatory Agenda N/A 34-82870 https://www.sec.gov/rules/sro/chx/2018/34-82870.pdf SR-CHX-2018-001 2018-03-14 Notice / Filing to Adopt the Route QCT Cross Routing Option Notice Chicago Stock Exchange, Inc. http://www.federalregister.gov/citation/83-FR-12214 83-FR-12214 34-82871 https://www.sec.gov/rules/sro/nasdaq/2018/34-82871.pdf SR-NASDAQ-2017-088 2018-03-14 Notice / Designation of Longer Period for Commission Action/as Modified by Amendment No. 1, to Allow Participants to Designate when an Order with a RTFY or SCAN Routing Order Attribute will be Activated During Pre-Market Hours Notice The Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-12229 83-FR-12229 34-82872 https://www.sec.gov/rules/sro/cboebzx/2018/34-82872.pdf SR-CBOEBZX-2017-011 2018-03-14 Order/Granting Approval of a Proposed Rule Change to List and Trade the Common Shares of Beneficial Interest of the PowerShares Income Builder Portfolio, a Series of PowerShares Exchange-Traded Fund Trust II Order CboeBZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-12218 83-FR-12218 34-82873 https://www.sec.gov/rules/proposed/2018/34-82873.pdf S7-05-18 2018-03-14 Proposed Rule/Transaction Fee Pilot for NMS Stocks Rulemaking 34 Act; Rule 610T http://www.federalregister.gov/citation/83-FR-13008 83-FR-13008 34-82874 https://www.sec.gov/rules/sro/cboebzx/2018/34-82874.pdf SR-CBOEBZX-2018-017 2018-03-14 Notice / Immediate Effectiveness/to Amend the Market Data Section of the Fee Schedule Applicable to its Equity Options Platform Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-12210 83-FR-12210 34-82875 https://www.sec.gov/rules/sro/cboe/2018/34-82875.pdf SR-CBOE-2018-022 2018-03-14 Notice / Immediate Effectiveness/to Rule 6.56, Compression Forums Notice Cboe Exchange, Inc. http://www.federalregister.gov/citation/83-FR-12234 83-FR-12234 34-82876 https://www.sec.gov/rules/sro/ficc/2018/34-82876.pdf SR-FICC-2018-001 2018-03-14 Order / Instituting Proceedings to/Whether to Approve or Disapprove a Proposed Rule Change to the Required Fund Deposit Calculation in the Government Securities Division Rulebook Order Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-12229 83-FR-12229 34-82877 https://www.sec.gov/litigation/admin/2018/34-82877.pdf 3-18403 2018-03-14 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Bailey, Edmund W. N/A 34-82878 https://www.sec.gov/litigation/opinions/2018/34-82878.pdf 3-18359 2018-03-14 Order Scheduling Briefs Order Myers Associates, L.P. N/A 34-82879 https://www.sec.gov/litigation/opinions/2018/34-82879.pdf 3-17934 2018-03-14 Opinion / Order Sustaining Disciplinary Action/ere Opinion/Order Gadelkareem, Ahmed N/A 34-82880 https://www.sec.gov/litigation/admin/2018/34-82880.pdf 3-18404 2018-03-15 Order Instituting Administrative Proceedings and Notice of Hearing Order Gray, David N/A 34-82881 https://www.sec.gov/rules/sro/cboebzx/2018/34-82881.pdf SR-CBOEBZX-2018-019 2018-03-15 Notice /to List on the Exchange Eighteen ADRPLUS Funds of the Precidian ETFs Trust Under Rule 14.11(i), Managed Fund Shares Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-12449 83-FR-12449 34-82882 https://www.sec.gov/litigation/admin/2018/34-82882.pdf 3-11676 2018-03-15 Order Authorizing the Transfer to the U.S. Treasury of the Remaining Funds and Any Funds Returned to the Disgorgement Fund in the Future, Discharging the Plan Administrator, Canceling the plan Administrator's Bond, and Terminating the Disgorgement Fund Order Adams, John W. AIP, LLC N/A 34-82883 https://www.sec.gov/rules/sro/lchsa/2018/34-82883.pdf SR-LCH SA-2018-001 2018-03-15 Order/Accelerating/Relating to Self-Referencing Transactions Order LCH SA http://www.federalregister.gov/citation/83-FR-12447 83-FR-12447 34-82884 https://www.sec.gov/rules/other/2018/34-82884.pdf 265-30 2018-03-15 Notice of meeting Other Fixed Income Market Structure Advisory Committee http://www.federalregister.gov/citation/83-FR-12431 83-FR-12431 34-82885 https://www.sec.gov/rules/sro/nms/2018/34-82885.pdf 4-533 2018-03-15 Notice / Immediate Effectiveness/of Amendment to the National Market System Plan for the Selection and Reservation of Securities Symbols to Add Miami International Securities Exchange, LLC as a Party Thereto Notice Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/83-FR-12430 83-FR-12430 34-82886 https://www.sec.gov/litigation/opinions/2018/34-82886.pdf 3-13678 2018-03-15 Extension Order Order Saad, John M.E. N/A 34-82887 https://www.sec.gov/rules/sro/nms/2018/34-82887.pdf 4-631 2018-03-15 Notice of Filing and Immediate Effectiveness of Amendment No/16 to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. Notice Cboe BZX Exchange, Inc. Cboe BYX Exchange, Inc. Cboe EDGA Exchange, Inc. Cboe EDGX Exchange, Inc. Chicago Stock Exchange, Inc. Financial Industry Regulatory Authority, Inc. Investors Exchange LLC NASDAQ BX, Inc. NASDAQ PHLX LLC The Nasdaq Stock Market LLC NYSE National, Inc. New York Stock Exchange LLC NYSE American LLC NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-12414 83-FR-12414 34-82888 https://www.sec.gov/rules/sro/nms/2018/34-82888.pdf 4-631 2018-03-15 Notice / Filing of Amendment No. /17 to the National Market System Plan to Address Extraordinary Market Volatility by Cboe BZX Exchange, Inc., Cboe BYX Exchange, Inc., Cboe EDGA Exchange, Inc., Cboe EDGX Exchange, Inc., Chicago Stock Exchange, Inc., Financial Industry Regulatory Authority, Inc., Investors Exchange LLC, NASDAQ BX, Inc., NASDAQ PHLX LLC, The Nasdaq Stock Market LLC, NYSE National, Inc., New York Stock Exchange LLC, NYSE American LLC, and NYSE Arca, Inc. Notice Cboe BZX Exchange, Inc. Cboe BYX Exchange, Inc. Cboe EDGA Exchange, Inc. Cboe EDGX Exchange, Inc. Chicago Stock Exchange, Inc. Financial Industry Regulatory Authority, Inc. Investors Exchange LLC NASDAQ BX, Inc. NASDAQ PHLX LLC The Nasdaq Stock Market LLC NYSE National, Inc. New York Stock Exchange LLC NYSE American LLC NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-12432 83-FR-12432 34-82889 https://www.sec.gov/rules/sro/box/2018/34-82889.pdf SR-BOX-2018-09 2018-03-16 Notice / Immediate Effectiveness/to Correct an Error in IM-7600-2 Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-12625 83-FR-12625 34-82890 https://www.sec.gov/rules/sro/iceeu/2018/34-82890.pdf SR-ICEEU-2018-002 2018-03-16 Order/Accelerating/Relating to the ICE Clear Europe Limited CDS Procedures, CDS Risk Policy, and CDS Risk Model Description Order ICE Clear Europe Limited http://www.federalregister.gov/citation/83-FR-12630 83-FR-12630 34-82891 https://www.sec.gov/rules/sro/box/2018/34-82891.pdf SR-BOX-2017-36 2018-03-16 Notice / Order Accelerating /Amendment No. 1 to Adopt Rule 7600(i) to Allow Split-Price Transactions on the BOX Trading Floor Notice/Order BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-12627 83-FR-12627 34-82892 https://www.sec.gov/rules/sro/nms/2018/34-82892.pdf 4-698 2018-03-16 Notice / Withdrawal /of Amendment No. 4 to the National Market System Plan Governing the Consolidated Audit Trail Notice BOX Options Exchange LLC Cboe BYX Exchange, Inc. Cboe BZX Exchange, Inc. Cboe EDGA Exchange, Inc. Cboe EDGX Exchange, Inc. Cboe C2 Exchange, Inc. Cboe Exchange, Inc. Chicago Stock Exchange, Inc. Financial Industry Regulatory Authority, Inc. Investors' Exchange LLC Miami International Securities Exchange, LLC MIAX PEARL, LLC Nasdaq BX, Inc. Nasdaq GEMX, LLC Nasdaq ISE, LLC Nasdaq MRX, LLC Nasdaq PHLX LLC The Nasdaq Stock Market LLC New York Stock Exchange LLC NYSE American, LLC NYSE Arca, Inc. http://www.federalregister.gov/citation/83-FR-12633 83-FR-12633 34-82893 https://www.sec.gov/litigation/admin/2018/34-82893.pdf 3-18405 2018-03-16 Order Instituting Administrative Proceedings and Notice of Hearing Order New Global Energy, Inc. N/A 34-82894 https://www.sec.gov/litigation/suspensions/2018/34-82894.pdf 500-1 2018-03-16 Trading Suspension Order New Global Energy, Inc. N/A 34-82895 https://www.sec.gov/rules/sro/cboebzx/2018/34-82895.pdf SR-CBOEBZX-2018-020 2018-03-16 Notice / Immediate Effectiveness/to Amend its Listing Rules Under Rule 14.11(d)(2)(K)(i) Related to Equity Index-Linked Securities Notice Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-12633 83-FR-12633 34-82896 https://www.sec.gov/rules/other/2018/34-82896.pdf SR-BATSBZX-2017-34 2018-03-16 Order/Granting Motion for Extension of Time Order Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-12633 83-FR-12633 34-82897 https://www.sec.gov/rules/other/2018/34-82897.pdf 2018-6 2018-03-19 Order Determining Whistleblower Award Claim Order Redacted N/A 34-82898 https://www.sec.gov/litigation/admin/2018/34-82898.pdf 3-18406 2018-03-19 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Electronic Transaction Clearing, Inc. N/A 34-82899 https://www.sec.gov/rules/sro/nysearca/2018/34-82899.pdf SR-NYSEARCA-2018-15 2018-03-19 Notice /Regarding Investments of the PGIM Ultra Short Bond ETF, a Series of PGIM ETF Trust under NYSE Arca Rule 8.600-E Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-12824 83-FR-12824 34-82900 https://www.sec.gov/rules/sro/pearl/2018/34-82900.pdf SR-PEARL-2018-09 2018-03-19 Notice / Immediate Effectiveness/to Amend the MIAX PEARL Fee Schedule Notice MIAX PEARL, LLC http://www.federalregister.gov/citation/83-FR-12836 83-FR-12836 34-82901 https://www.sec.gov/rules/sro/lchsa/2018/34-82901.pdf SR-LCH SA-2017-012 SR-LCH SA-2017-013 2018-03-19 Order / Instituting Proceedings to/to LCH SA's Recovery and Wind Down Plans Order LCH SA http://www.federalregister.gov/citation/83-FR-12833 83-FR-12833 34-82902 https://www.sec.gov/litigation/admin/2018/34-82902.pdf 3-16877 3-16878 2018-03-19 Order Appointing Fund Administrator and Waiving Bond Other Richards, Howard Securus Wealth Management, LLC Goodland, James N/A 34-82903 https://www.sec.gov/litigation/suspensions/2018/34-82903.pdf 500-1 2018-03-19 Trading Suspension Order Kelvin Medical, Inc. N/A 34-82904 https://www.sec.gov/rules/sro/cboeedga/2018/34-82904.pdf SR-CBOEEDGA-2018-004 2018-03-20 Notice / Immediate Effectiveness/to Expand an Offering Known as Cboe Connect to Provide Connectivity to Single-Dealer Platforms Connected to the Exchanges Network and to Propose a Per Share Executed Fee for Such Service Notice Cboe EDGA Exchange, Inc http://www.federalregister.gov/citation/83-FR-12995 83-FR-12995 34-82905 https://www.sec.gov/rules/sro/nasdaq/2018/34-82905.pdf SR-NASDAQ-2018-021 2018-03-20 Notice / Immediate Effectiveness/to Amend Transaction Fees at Rule 7018 to Charge No Transaction Fee for Execution of Midpoint Extended Life Orders Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-12988 83-FR-12988 34-82906 https://www.sec.gov/rules/sro/cboebzx/2018/34-82906.pdf SR-CBOEBZX-2017-012 2018-03-20 Order/as Modified by Amendment No. 2, to List and Trade Shares of the LHA Market State(R) Tactical U.S. Equity ETF, a Series of the ETF Series Solutions, under Rule 14.11(i), Managed Fund Shares Order Cboe BZX Exchange, Inc. http://www.federalregister.gov/citation/83-FR-12992 83-FR-12992 34-82907 https://www.sec.gov/rules/sro/nysearca/2018/34-82907.pdf SR-NYSEARCA-2018-08 2018-03-20 Order/Granting to Amend NYSE Arca Rule 1.1(ll) to Establish How the Official Closing Price Would Be Determined for an Exchange-Listed Security That Is a Derivative Securities Product If the Exchange Does Not Conduct a Closing Auction or If a Closing Auction Trade Is Less Than a Round Lot Order NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-12980 83-FR-12980 34-82908 https://www.sec.gov/rules/sro/nscc/2018/34-82908.pdf SR-NSCC-2017-017 2018-03-20 Order / Instituting Proceedings to/to Adopt a Recovery & Wind-down Plan and Related Rules Order National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-12986 83-FR-12986 34-82909 https://www.sec.gov/rules/sro/ficc/2018/34-82909.pdf SR-FICC-2017-022 2018-03-20 Order / Instituting Proceedings to/to Amend the Loss Allocation Rules and Make Other Changes Order Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-12990 83-FR-12990 34-82910 https://www.sec.gov/rules/sro/nscc/2018/34-82910.pdf SR-NSCC-2017-018 2018-03-20 Order / Instituting Proceedings to/to Amend the Loss Allocation Rules and Make Other Changes Order National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-12968 83-FR-12968 34-82911 https://www.sec.gov/rules/sro/ise/2018/34-82911.pdf SR-ISE-2017-106 2018-03-20 Order/Granting to Permit the Listing and Trading of NQX Index Options on a Pilot Basis Order Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-12966 83-FR-12966 34-82912 https://www.sec.gov/rules/sro/dtc/2018/34-82912.pdf SR-DTC-2017-021 2018-03-20 Order / Instituting Proceedings to/to Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules Order The Depository Trust Company http://www.federalregister.gov/citation/83-FR-12999 83-FR-12999 34-82913 https://www.sec.gov/rules/sro/ficc/2018/34-82913.pdf SR-FICC-2017-021 2018-03-20 Order / Instituting Proceedings to/Determine Whether to Approve or Disapprove a Proposed Rule Change to Adopt a Recovery & Wind-down Plan and Related Rules Order Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-12997 83-FR-12997 34-82914 https://www.sec.gov/rules/sro/dtc/2018/34-82914.pdf SR-DTC-2017-022 2018-03-20 Order / Instituting Proceedings to/Determine Whether to Approve or Disapprove a Proposed Rule Change to Amend the Loss Allocation Rules and Make Other Changes Order The Depository Trust Company http://www.federalregister.gov/citation/83-FR-12978 83-FR-12978 34-82915 https://www.sec.gov/rules/sro/dtc/2018/34-82915.pdf SR-DTC-2018-001 2018-03-20 Order/Granting to Amend the By-Laws Order Depository Trust Company http://www.federalregister.gov/citation/83-FR-12970 83-FR-12970 34-82916 https://www.sec.gov/rules/sro/nscc/2018/34-82916.pdf SR-NSCC-2018-001 2018-03-20 Order/Granting to Amend the By-Laws Order National Securities Clearing Corporation http://www.federalregister.gov/citation/83-FR-12974 83-FR-12974 34-82917 https://www.sec.gov/rules/sro/ficc/2018/34-82917.pdf SR-FICC-2018-002 2018-03-20 Order/to Amend the By-Laws Order Fixed Income Clearing Corporation http://www.federalregister.gov/citation/83-FR-12633 83-FR-12633 34-82918 https://www.sec.gov/litigation/suspensions/2018/34-82918.pdf 500-1 2018-03-21 Trading Suspension Order Efuel EFN Corp. N/A 34-82919 https://www.sec.gov/rules/sro/bx/2018/34-82919.pdf SR-BX-2018-010 2018-03-22 Notice / Immediate Effectiveness/to Amend Rule 5701 Regarding the Requirements for Securities Listed on the Exchange Issued By Nasdaq, Inc. or Its Affiliates Notice Nasdaq BX, Inc http://www.federalregister.gov/citation/83-FR-13168 83-FR-13168 34-82920 https://www.sec.gov/rules/sro/ise/2018/34-82920.pdf SR-ISE-2018-20 2018-03-22 Notice / Immediate Effectiveness/to Amend the Market Maker Plus Program in the Schedule of Fees Notice Nasdaq ISE, LLC http://www.federalregister.gov/citation/83-FR-13173 83-FR-13173 34-82921 https://www.sec.gov/rules/sro/nasdaq/2018/34-82921.pdf SR-NASDAQ-2018-020 2018-03-22 Notice / Immediate Effectiveness/to Amend Rule 4370 Regarding the Requirements for the Listing of Securities that are Issued by the Exchange or Any of Its Affiliates Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-13159 83-FR-13159 34-82922 https://www.sec.gov/rules/sro/nyse/2018/34-82922.pdf SR-NYSE-2018-09 2018-03-22 Notice / Immediate Effectiveness/o Amend the Eleventh Amended and Restated Operating Agreement Notice New York Stock Exchange LLC http://www.federalregister.gov/citation/83-FR-13156 83-FR-13156 34-82923 https://www.sec.gov/rules/sro/nyseamer/2018/34-82923.pdf SR-NYSEAMER-2018-10 2018-03-22 Notice / Immediate Effectiveness/Amending Certain Governing Documents of the Exchange and NYSE Market, Inc. to Make a Technical Change Updating the Entities Registered Offices and Registered Agents and Update the Date as Required Notice NYSE American LLC http://www.federalregister.gov/citation/83-FR-13161 83-FR-13161 34-82924 https://www.sec.gov/rules/sro/nysearca/2018/34-82924.pdf SR-NYSEARCA-2018-18 2018-03-22 Notice / Immediate Effectiveness/to Amend the Certificate of Incorporation Notice NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-13163 83-FR-13163 34-82925 https://www.sec.gov/rules/sro/nysenat/2018/34-82925.pdf SR-NYSENAT-2018-04 2018-03-22 Notice / Immediate Effectiveness/to Amend the Amended and Restated Certificate of Incorporation Notice NYSE National, Inc. http://www.federalregister.gov/citation/83-FR-13165 83-FR-13165 34-82926 https://www.sec.gov/rules/sro/occ/2018/34-82926.pdf SR-OCC-2017-020 2018-03-22 Order / Instituting Proceedings to/Concerning Enhanced and New Tools for Recovery Scenarios Order Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-13171 83-FR-13171 34-82927 https://www.sec.gov/rules/sro/occ/2018/34-82927.pdf SR-OCC-2017-021 2018-03-22 Order / Instituting Proceedings to/Concerning Updates to and Formalization of OCCs Recovery and Orderly Wind-Down Plan Order Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-13176 83-FR-13176 34-82928 https://www.sec.gov/rules/sro/phlx/2018/34-82928.pdf SR-PHLX-2018-23 2018-03-22 Notice / Immediate Effectiveness/to Amend Rule 990 Regarding the Requirements for Securities Listed on the Exchange Issued By Nasdaq, Inc. or Its Affiliates Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-13166 83-FR-13166 34-82929 https://www.sec.gov/litigation/admin/2018/33-10471.pdf 33-10471 IC-33050 3-17716 2018-03-22 Order Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order/and Ordering Additional Proceedings Order Baker, Robert L. Bowen, Michael D. Herrara, Jacob B. N/A 34-82930 https://www.sec.gov/rules/sro/box/2018/34-82930.pdf SR-BOX-2018-10 2018-03-22 Notice / Immediate Effectiveness/to Amend IM-3120-2 of BOX Rule 3120 (Position Limits) to Increase the Position Limits for Options on the Following Exchange Traded Funds: iShares China Large-Cap ETF, iShares MSCI EAFE ETF, iShares MSCI Emerging Markets ETF, iShares Russell 2000 ETF, iShares MSCI Brazil Capped ETF, iShares 20+ Year Treasury Bond Fund ETF, PowerShares QQQ Trust, and iShares MSCI Japan ETF Notice BOX Options Exchange LLC http://www.federalregister.gov/citation/83-FR-13330 83-FR-13330 34-82931 https://www.sec.gov/rules/sro/miax/2018/34-82931.pdf SR-MIAX-2018-10 2018-03-22 Notice / Immediate Effectiveness/to Amend Exchange Rule 307, Position Limits, and Exchange Rule 309, Exercise Limits Notice Miami International Securities Exchange, LLC http://www.federalregister.gov/citation/83-FR-13323 83-FR-13323 34-82932 https://www.sec.gov/rules/sro/phlx/2018/34-82932.pdf SR-PHLX-2018-24 2018-03-22 Notice / Immediate Effectiveness/to Amend Section (a) of Exchange Rule 1001, Position Limits, to Increase the Position Limits for Options Notice Nasdaq PHLX LLC http://www.federalregister.gov/citation/83-FR-13316 83-FR-13316 34-82933 https://www.sec.gov/litigation/admin/2018/34-82933.pdf 3-17791 3-17792 3-17793 3-17794 2018-03-22 Extension Order Order Orthofix International N.V. Hammel, Jeffrey CPA McCollum, Brian Mack, Kenneth McMillan, Bryan N/A 34-82934 https://www.sec.gov/rules/sro/cboe/2018/34-82934.pdf SR-CBOE-2018-023 2018-03-22 Notice / Immediate Effectiveness/Relating to the Frequent Trader Program Notice Cboe Exchange Inc http://www.federalregister.gov/citation/83-FR-13329 83-FR-13329 34-82935 https://www.sec.gov/rules/sro/occ-an/2018/34-82935.pdf SR-OCC-2017-811 2018-03-22 Notice / Designation of Longer Period for Commission Action/Related to The Options Clearing Corporation's Margin Methodology Notice The Options Clearing Corporation http://www.federalregister.gov/citation/83-FR-13315 83-FR-13315 34-82936 https://www.sec.gov/rules/sro/cboe/2018/34-82936.pdf SR-CBOE-2018-008 2018-03-23 Notice / Designation of Longer Period for Commission Action/Relating to Flexibly Structured Options Notice Cboe Exchange, Inc http://www.federalregister.gov/citation/83-FR-13552 83-FR-13552 34-82937 https://www.sec.gov/rules/sro/nms/2018/34-82937.pdf SR-CTA/CQ-2018-01 2018-03-23 Notice / Immediate Effectiveness/of the Twenty-Third Charges Amendment to the Second Restatement of the CTA Plan and the Fourteenth Charges Amendment to the Restated CQ Plan Notice Consolidated Tape Association http://www.federalregister.gov/citation/83-FR-13539 83-FR-13539 34-82938 https://www.sec.gov/rules/sro/nms/2018/34-82938.pdf S7-24-89 2018-03-23 Notice / Immediate Effectiveness/Forty-Second Amendment to the Joint Self-Regulatory Organization Plan Governing the Collection, Consolidation and Dissemination of Quotation and Transaction Information for Nasdaq-Listed Securities Traded on Exchanges on an Unlisted Trading Privileges Basis Notice Nasdaq/UTP Plan http://www.federalregister.gov/citation/83-FR-13542 83-FR-13542 34-82939 https://www.sec.gov/rules/sro/nysearca/2018/34-82939.pdf SR-NYSEARCA-2017-139 2018-03-23 Order / Instituting Proceedings to/to List and Trade the Shares of the ProShares Bitcoin ETF and the ProShares Short Bitcoin ETF under NYSE Arca Rule 8.200-E, Commentary .02 Order NYSE Arca, Inc http://www.federalregister.gov/citation/83-FR-13537 83-FR-13537 34-82940 https://www.sec.gov/rules/sro/nasdaq/2018/34-82940.pdf SR-NASDAQ-2018-019 2018-03-23 Notice / Immediate Effectiveness/to Amend the Exchange's Transaction Fees at Chapter XV, Section 2, Which Governs the Pricing for Nasdaq Participants Using The Nasdaq Options Market Notice Nasdaq Stock Market LLC http://www.federalregister.gov/citation/83-FR-13547 83-FR-13547 34-82941 https://www.sec.gov/rules/sro/cboebyx/2018/34-82941.pdf SR-CBOEBYX-2018-003 2018-03-23 Notice / Immediate Effectiveness/to Amend Paragraph (c)(5) of Exchange Rule 11.9 Describing the Operation of Minimum Quantity Orders Notice Cboe BYX Exchange, Inc http://www.federalregister.gov/citation/83-FR-13534 83-FR-13534 34-82942 https://www.sec.gov/rules/sro/cboebzx/2018/34-82942.pdf SR-CBOEBZX-2018-022 2018-03-23 Notice / Immediate Effectiveness/to Amend Paragraph (c)(5) of Exchange Rule 11.9 Describing the Operation of Minimum Quantity Orders Notice Cboe BZX Exchange, Inc http://www.federalregister.gov/citation/83-FR-13577 83-FR-13577 34-82943 https://www.sec.gov/rules/sro/cboeedgx/2018/34-82943.pdf SR-CBOEEDGX-2018-008 2018-03-23 Notice / Immediate Effectiveness/to Amend Paragraph (h) of Exchange Rule 11.6 Describing the Operation of Orders with a Minimum Execution Quantity Instruction Notice Cboe EDGX Exchange, Inc http://www.federalregister.gov/citation/83-FR-13574 83-FR-13574 34-82944 https://www.sec.gov/rules/sro/cboeedga/2018/34-82944.pdf SR-CBOEEDGA-2018-005 2018-03-23 Notice / Immediate Effectiveness/to Amend Paragraph (h) of Exchange Rule 11.6 Describing the Operation of Orders with a Minimum Execution Quantity Instruction Notice Cboe EDGA Exchange, Inc. http://www.federalregister.gov/citation/83-FR-13544 83-FR-13544 35-26733A https://www.sec.gov/rules/final/2018/33-7424a.pdf 33-7424 34-38771 39-2354 IC-22727 NO FILE NO. 2018-01-24 Final Rule Other Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers http://www.federalregister.gov/citation/82-FR-4138 82-FR-4138 39-2354A https://www.sec.gov/rules/final/2018/33-7424a.pdf 33-7424 34-38771 35-26733 IC-22727 NO FILE NO. 2018-01-24 Final Rule Other Amendments to Forms and Schedules to Remove Voluntary Provision of Social Security Numbers http://www.federalregister.gov/citation/82-FR-4138 82-FR-4138 39-2520 https://www.sec.gov/rules/final/2018/33-10467.pdf 33-10467 34-82830 IC-33041 NO FILE NUMBER 2018-03-08 Adoption of Updated EDGAR Filer Manual Rulemaking Revisions to EDGAR Filer Manual, Volume I - "General Information" Volume II - "EDGAR Filing" http://www.federalregister.gov/citation/83-FR-11637 83-FR-11637 AP-5428 https://www.sec.gov/alj/aljorders/2018/ap-5428.pdf 3-18327 2018-01-02 Order Scheduling Hearing and Designating Presiding Judge Order Abakan, Inc. Car Monkeys Group CN Dragon Corp. Western Graphite, Inc. N/A AP-5429 https://www.sec.gov/alj/aljorders/2018/ap-5429.pdf 3-17184 2018-01-02 Order on Motion to Extend Time Order Gibson, Christopher M. N/A AP-5430 https://www.sec.gov/alj/aljorders/2018/ap-5430.pdf 3-18276 2018-01-02 Order Finding Respondent in Default Order Baccam, Patric Ken N/A AP-5431 https://www.sec.gov/alj/aljorders/2018/ap-5431.pdf 3-15514 2018-01-02 Order Granting Motion for Extension Order Guzzetti, Andrew G. Chiappone, Frank H. Rabinovich, Philip S. Livingston, Thomas E. N/A AP-5432 https://www.sec.gov/alj/aljorders/2018/ap-5432.pdf 3-18017 2018-01-02 Order/on substitution of exhibits Order Can-Cal Resources Ltd. N/A AP-5433 https://www.sec.gov/alj/aljorders/2018/ap-5433.pdf 3-18061 2018-01-03 Order Finding That No Hearing Is Necessary Order Retirement Surety LLC Crescendo Financial LLC Rose, Thomas Leeman, David Featherstone, David N/A AP-5434 https://www.sec.gov/alj/aljorders/2018/ap-5434.pdf 3-17558 2018-01-05 Order Granting in Part Motion for Extension Order Bluforest, Inc. N/A AP-5435 https://www.sec.gov/alj/aljorders/2018/ap-5435.pdf 3-18098 2018-01-05 Order Regarding Respondents Email Submission Order Teran, Alfred C. N/A AP-5436 https://www.sec.gov/alj/aljorders/2018/ap-5436.pdf 3-16293 2018-01-08 Order On Ratification Letter Order Bebo , Laurie Buono, John N/A AP-5437 https://www.sec.gov/alj/aljorders/2018/ap-5437.pdf 3-15255 2018-01-09 Order Order Belesis, Anastasios Tommy John Thomas Capital Management Group LLC, d/b/a Patriot28 LLC Jarkesy, George R. Jr. John Thomas Financial, Inc. N/A AP-5438 https://www.sec.gov/alj/aljorders/2018/ap-5438.pdf 3-17945 2018-01-09 Second Order to Show Cause Order Prospect Ventures, Inc. StarNet Pacific Co. Ltd. Sunburst Acquisitions V, Inc. Sunburst Acquisitions VI, Inc. N/A AP-5439 https://www.sec.gov/alj/aljorders/2018/ap-5439.pdf 3-18325 2018-01-09 Order Directing the Parties to Hold an Initial Prehearing Conference Order Global Digital Solutions, Inc. N/A AP-5440 https://www.sec.gov/alj/aljorders/2018/ap-5440.pdf 3-17387 2018-01-09 Order on Conference Results and Electronic Filing Order Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-5441 https://www.sec.gov/alj/aljorders/2018/ap-5441.pdf 500-1 3-18326 2018-01-10 Order Postponing Hearing and Regarding Service Order American Nano Silicon Technologies, Inc. American Soil Technologies, Inc. Andalay Solar, Inc. Crimson Forest Entertainment Group, Inc. N/A AP-5442 https://www.sec.gov/alj/aljorders/2018/ap-5442.pdf 3-16349 2018-01-10 Order Ratifying Prior Actions Order Duka, Barbara N/A AP-5443 https://www.sec.gov/alj/aljorders/2018/ap-5443.pdf 500-1 3-18333 2018-01-10 Order Scheduling Hearing and Designating Presiding Judge Order Blacksands Petroleum, Inc. China Education Alliance, Inc. DoMark International, Inc. East Coast Diversified Corp. N/A AP-5444 https://www.sec.gov/alj/aljorders/2018/ap-5444.pdf 3-17621 2018-01-10 Order to Show Cause Order Stitt, Andrew N/A AP-5445 https://www.sec.gov/alj/aljorders/2018/ap-5445.pdf 3-18004 2018-01-10 Order Ratifying All Prior Actions Order Cardinal Resources, Inc., StationDigital Corp. N/A AP-5446 https://www.sec.gov/alj/aljorders/2018/ap-5446.pdf 3-18099 2018-01-10 Order Scheduling Prehearing Conference Order Black Diamond Asset Management LLC Wilson, Robert N/A AP-5447 https://www.sec.gov/alj/aljorders/2018/ap-5447.pdf 3-17991 2018-01-11 Order Ratifying Actions Order Atomic Paintball, Inc. North American Oil & Gas Corp. VelaTel Global Communications, Inc. N/A AP-5448 https://www.sec.gov/alj/aljorders/2018/ap-5448.pdf 3-18250 2018-01-11 Order Order Megalli, Mark N/A AP-5449 https://www.sec.gov/alj/aljorders/2018/ap-5449.pdf 3-17547 2018-01-11 Order Order Sears, William J. N/A AP-5450 https://www.sec.gov/alj/aljorders/2018/ap-5450.pdf 3-17548 2018-01-11 Order Order Bayside Realty Holdings LLC Meadpoint Venture Partners, LLC Microcap Management LLC N/A AP-5451 https://www.sec.gov/alj/aljorders/2018/ap-5451.pdf 3-17545 2018-01-11 Order Order Fusion Pharm, Inc. N/A AP-5452 https://www.sec.gov/alj/aljorders/2018/ap-5452.pdf 3-17549 2018-01-11 Order Order Bodden, Cliff N/A AP-5453 https://www.sec.gov/alj/aljorders/2018/ap-5453.pdf 3-17546 2018-01-11 Order Order Dittman, Scott M. CPA N/A AP-5454 https://www.sec.gov/alj/aljorders/2018/ap-5454.pdf 3-18209 2018-01-11 Order Ratifying Actions Order Feng, Hui Law Offices of Feng & Associates PC N/A AP-5455 https://www.sec.gov/alj/aljorders/2018/ap-5455.pdf 3-17115 2018-01-11 Order Order Schooler, Louis V. N/A AP-5456 https://www.sec.gov/alj/aljorders/2018/ap-5456.pdf 3-16318 2018-01-12 Order Regarding Inability to Pay Evidence Order Aurum Mining, LLC Clug, Alexandre S. Crow, Michael W. Pan Am Terra, Inc. The Corsair Group, Inc. N/A AP-5457 https://www.sec.gov/alj/aljorders/2018/ap-5457.pdf 3-18127 2018-01-12 Order Setting Prehearing Conference Order Shkreli, Martin N/A AP-5458 https://www.sec.gov/alj/aljorders/2018/ap-5458.pdf 3-17693 2018-01-12 Order Order M. Dwyer LLC Finn, Sean Patrick N/A AP-5459 https://www.sec.gov/alj/aljorders/2018/ap-5459.pdf 3-18288 2018-01-12 Order Order Penn, Lawrence E. 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IBEX, LLC St. John's, LLC N/A AP-5465 https://www.sec.gov/alj/aljorders/2018/ap-5465.pdf 3-18221 2018-01-16 Order Denying Stay Order Guardian 8 Holdings Idaho North Resources Corporation Mecklermedia Corporation Verde Science, Inc. N/A AP-5466 https://www.sec.gov/alj/aljorders/2018/ap-5466.pdf 500-1 3-18327 2018-01-17 Order to Show Cause and Postponement Order Order Abakan, Inc. Car Monkeys Group CN Dragon Corp. Western Graphite, Inc. N/A AP-5467 https://www.sec.gov/alj/aljorders/2018/ap-5467.pdf 3-16604 2018-01-17 Order Ratifying Prior Actions Order GC China Turbine Corp. BioCoral, Inc. Race World International, Inc., Worldwide Biotech & Pharmaceutical Co. N/A AP-5468 https://www.sec.gov/alj/aljorders/2018/ap-5468.pdf 3-17856 2018-01-17 Order Ratifying Prior Actions Order Gibson, John Austin Jr. N/A AP-5469 https://www.sec.gov/alj/aljorders/2018/ap-5469.pdf 3-18336 2018-01-18 Order Scheduling Hearing and Designating Presiding Judge Order Ambicom Holdings, Inc. Arrow Cars International, Inc. CDEX, Inc. EFactor Group Corp. iCoreConnect, Inc. (a/k/a iMedicor, Inc. or Vemics, Inc.) N/A AP-5470 https://www.sec.gov/alj/aljorders/2018/ap-5470.pdf 3-17990 2018-01-18 Order Regarding Sensitive Financial Evidence Order Digital Brand Media & Marketing Group, Inc. lntellicell Biosciences, Inc. N/A AP-5471 https://www.sec.gov/alj/aljorders/2018/ap-5471.pdf 3-18077 2018-01-18 Order Ratifying Prior Actions Order Cibolan Gold Corporation N/A AP-5472 https://www.sec.gov/alj/aljorders/2018/ap-5472.pdf 3-18023 2018-01-18 Order Ratifying Prior Actions Order Vortronnix Technologies, Inc. N/A AP-5473 https://www.sec.gov/alj/aljorders/2018/ap-5473.pdf 3-18097 2018-01-19 Order Ratifying Prior Actions Order China Greenstar Corporation Cortronix Biomedical Advancement Technologies, Inc. HW Holdings, Inc. Microelectronics Technology Company N/A AP-5474 https://www.sec.gov/alj/aljorders/2018/ap-5474.pdf 3-18142 2018-01-22 Order Order Circle Star Energy Corp. Energy Holdings International, Inc. N/A AP-5475 https://www.sec.gov/alj/aljorders/2018/ap-5475.pdf 3-18079 2018-01-22 Order Order Core Resource Management, Inc. Maverick Minerals Corporation Panacea Global, Inc. Attitude Drinks Incorporated N/A AP-5476 https://www.sec.gov/alj/aljorders/2018/ap-5476.pdf 3-18206 2018-01-22 Order Order New Media Insight Group, Inc. Pacific Sands, Inc. In Media Corporation Saleen Automotive, Inc. N/A AP-5477 https://www.sec.gov/alj/aljorders/2018/ap-5477.pdf 3-18193 2018-01-22 Order Order JuQun, Inc. Live Brands, Inc. Nevada Gold Corp. Nexus Data Technologies N/A AP-5478 https://www.sec.gov/alj/aljorders/2018/ap-5478.pdf 3-17941 2018-01-22 Order Order Axesstel, Inc. N/A AP-5479 https://www.sec.gov/alj/aljorders/2018/ap-5479.pdf 3-18220 2018-01-22 Order Order Hydrogen Future Corporation Liberty Energy Corp. Omega Brands, Inc. Optionable Inc. N/A AP-5480 https://www.sec.gov/alj/aljorders/2018/ap-5480.pdf 3-17751 2018-01-22 Order Order Dekel, Roy N/A AP-5481 https://www.sec.gov/alj/aljorders/2018/ap-5481.pdf 3-18129 2018-01-22 Order Order Berger, Brian M. N/A AP-5482 https://www.sec.gov/alj/aljorders/2018/ap-5482.pdf 3-17550 2018-01-22 Order Order DiTommaso, Tod A. N/A AP-5483 https://www.sec.gov/alj/aljorders/2018/ap-5483.pdf 3-17848 2018-01-22 Order Ratifying Prior Actions Order Griffin, James P. N/A AP-5484 https://www.sec.gov/alj/aljorders/2018/ap-5484.pdf 3-18007 2018-01-22 Order Ratifying Prior Actions Order New Western Energy Corp. Primco Management, Inc. Preferred Restaurant Brands, Inc. N/A AP-5485 https://www.sec.gov/alj/aljorders/2018/ap-5485.pdf 3-18201 2018-01-22 Order Ratifying Actions Order Hampshire Group, Limited N/A AP-5486 https://www.sec.gov/alj/aljorders/2018/ap-5486.pdf 3-18104 2018-01-22 Order Ratifying Actions Order Altovida Inc. Aurora Gold Corporation Auxillium Energy, Inc. Silver Falcon Mining, Inc. N/A AP-5487 https://www.sec.gov/alj/aljorders/2018/ap-5487.pdf 3-18217 2018-01-22 Order Order Infinity Real Estate Holdings Corporation International Industrial Enterprise, Inc. Scor International Foods, Inc. Xhibit Corp. N/A AP-5488 https://www.sec.gov/alj/aljorders/2018/ap-5488.pdf 3-17650 2018-01-22 Order Order Lawler, Joe N/A AP-5489 https://www.sec.gov/alj/aljorders/2018/ap-5489.pdf 3-18203 2018-01-22 Order Order IMK Group, Inc. MobileBits Holdings Corporation National Energy Services, Inc. N/A AP-5490 https://www.sec.gov/alj/aljorders/2018/ap-5490.pdf 3-18169 2018-01-22 Order Order Kun De International Holdings, Inc. Sutor Technology Group Limited N/A AP-5491 https://www.sec.gov/alj/aljorders/2018/ap-5491.pdf 3-18162 2018-01-22 Order Order Century Acquisition Corp. Eastern Acquisition Corp. N/A AP-5492 https://www.sec.gov/alj/aljorders/2018/ap-5492.pdf 3-18153 2018-01-22 Ramification Order Order GeoGlobal Resources, Inc. USA Synthetic Fuel Corp. N/A AP-5493 https://www.sec.gov/alj/aljorders/2018/ap-5493.pdf 3-18339 2018-01-22 Order Scheduling Hearing and Designating Presiding Judge Order Altona Resources, Inc. APEX 10, Inc. APEX 11, Inc. Clone Algo, Inc. N/A AP-5494 https://www.sec.gov/alj/aljorders/2018/ap-5494.pdf 3-17743 2018-01-22 Order Ratifying Actions Order AFN Inc. Allen Energy Company American Cascade Energy, Inc. Millenia Hope, Inc. n/k/a Clubs Choice Holdings, Inc. N/A AP-5495 https://www.sec.gov/alj/aljorders/2018/ap-5495.pdf 3-18095 2018-01-22 Order Order Balqon Corporation Empress Mining Inc. f/k/a Penola, Inc. Passport Potash, Inc. AV Therapeutics, Inc. N/A AP-5496 https://www.sec.gov/alj/aljorders/2018/ap-5496.pdf 3-18223 2018-01-22 Order Order Dearborn Bankcorp., Inc. Hoverink International Holdings, Inc. South West Coast Senior Living Corp. Greentech Mining International N/A AP-5497 https://www.sec.gov/alj/aljorders/2018/ap-5497.pdf 3-18014 2018-01-22 Order Ratifying Actions Order Evolucia, Inc. OSL Holdings, Inc. Legend International Holdings, Inc. N/A AP-5498 https://www.sec.gov/alj/aljorders/2018/ap-5498.pdf 3-18081 2018-01-22 Order Ratifying Actions Order Medicus Homecare Inc. N/A AP-5499 https://www.sec.gov/alj/aljorders/2018/ap-5499.pdf 3-18047 2018-01-22 Order Ratifying Prior Actions Order Ibex Advanced Mortgage Technology, Inc. N/A AP-5500 https://www.sec.gov/alj/aljorders/2018/ap-5500.pdf 3-17818 2018-01-22 Order Ratifying Prior Actions Order GL Capital Partners, LLC GL Investment Services, LLC N/A AP-5501 https://www.sec.gov/alj/aljorders/2018/ap-5501.pdf 3-18173 2018-01-22 Order Ratifying Actions Order Fu Lu Cai Productions Ltd. n/k/a Alfa Star Energy Ltd. Heavy Earth Resources, Inc. N/A AP-5502 https://www.sec.gov/alj/aljorders/2018/ap-5502.pdf 3-18103 2018-01-22 Order Order BOLDFACE Group, inc. China Tianfeihong Wine Inc. Goldfields International Inc. Grizzly Gold Corp. N/A AP-5503 https://www.sec.gov/alj/aljorders/2018/ap-5503.pdf 3-18126 2018-01-22 Order Ratifying Prior Actions Order Reyes, Gerardo N/A AP-5504 https://www.sec.gov/alj/aljorders/2018/ap-5504.pdf 3-18092 2018-01-22 Order Order Aurios Inc. lnergetics, Inc. Monar International, Inc. N/A AP-5505 https://www.sec.gov/alj/aljorders/2018/ap-5505.pdf 3-18208 2018-01-22 Order Order HydroPhi Technologies iTalk Inc. Soellingen Advisory Group, Inc. U.S. Rare Earths, Inc. N/A AP-5506 https://www.sec.gov/alj/aljorders/2018/ap-5506.pdf 3-18130 2018-01-22 Order Order Gainer, Jeffrey N/A AP-5507 https://www.sec.gov/alj/aljorders/2018/ap-5507.pdf 3-18148 2018-01-22 Order Order BioPharma Manufacturing Solutions, Inc. CLTC Ventures Corporation n/k/a Dreamfly Productions Corporation Crane Global Energy Company N/A AP-5508 https://www.sec.gov/alj/aljorders/2018/ap-5508.pdf 3-16509 2018-01-22 Order Regarding Respondents Unauthorized Filings Order Daspin, Edward Michael N/A AP-5509 https://www.sec.gov/alj/aljorders/2018/ap-5509.pdf 500-1 3-18333 2018-01-23 Order Finding Service and Postponing Hearing Order Blacksands Petroleum, Inc. China Education Alliance, Inc. DoMark International, Inc. East Coast Diversified Corp. N/A AP-5510 https://www.sec.gov/alj/aljorders/2018/ap-5510.pdf 3-18347 2018-01-23 Order Designating Presiding Judge Order Sweet, Brian CPA N/A AP-5511 https://www.sec.gov/alj/aljorders/2018/ap-5511.pdf 3-18346 2018-01-23 Order Scheduling Hearing and Designating Presiding Judge Order Holder, Cynthia CPA Wada, Jeffrey CPA Middendorf, David CPA Whittle, Thomas CPA Britt, David CPA N/A AP-5512 https://www.sec.gov/alj/aljorders/2018/ap-5512.pdf 3-17888 2018-01-23 Order Order Bucci, William D. N/A AP-5513 https://www.sec.gov/alj/aljorders/2018/ap-5513.pdf 3-17621 2018-01-23 Order Order Stitt, Andrew N/A AP-5514 https://www.sec.gov/alj/aljorders/2018/ap-5514.pdf 3-18149 2018-01-23 Order Ratifying Prior Actions Order Mackenzie Taylor Minerals, Inc. Raptor Resources Holdings, Inc. Shoshone Silver Gold Mining Company VR Holdings, Inc. N/A AP-5515 https://www.sec.gov/alj/aljorders/2018/ap-5515.pdf 3-18174 2018-01-23 Order Ratifying Actions Order Chile Mining Technologies, Inc. N/A AP-5516 https://www.sec.gov/alj/aljorders/2018/ap-5516.pdf 3-18107 2018-01-23 Order Ratifying Prior Actions Order E-Waste Systems, Inc. N/A AP-5517 https://www.sec.gov/alj/aljorders/2018/ap-5517.pdf 3-18219 2018-01-23 Order Ratifying Prior Actions Order Next Galaxy Corp. Novamex Energy, Inc. N/A AP-5518 https://www.sec.gov/alj/aljorders/2018/ap-5518.pdf 3-17984 2018-01-23 Order Ratifying Prior Actions Order Canso Enterprises Ltd. Formous Corp. Lion Print Corp. Lorilay Corp. Privoz Universal Movers Corp. N/A AP-5519 https://www.sec.gov/alj/aljorders/2018/ap-5519.pdf 500-1 3-18326 2018-01-23 Order to Show Cause and Scheduling Prehearing Conference Order American Nano Silicon Technologies, Inc. American Soil Technologies, Inc. Andalay Solar, Inc. Crimson Forest Entertainment Group, Inc. N/A AP-5520 https://www.sec.gov/alj/aljorders/2018/ap-5520.pdf 3-18156 2018-01-24 Order Ratifying Prior Actions Order Avalon Holding Group, Inc. Aquilarts, Inc Broadstreet Power, Inc. N/A AP-5521 https://www.sec.gov/alj/aljorders/2018/ap-5521.pdf 3-18292 2018-01-24 Order/Scheduling and General Prehearing Order Order Anton & Chia, LLP Wahl, Gregory A. CPA Deutchman, Michael CPA Chung, Georgia CPA Shek, Tommy CPA N/A AP-5522 https://www.sec.gov/alj/aljorders/2018/ap-5522.pdf 3-18038 2018-01-24 Order Ratifying Prior Actions Order Energy Edge Technologies Corp. Focus Gold Corp. New York Sub Co. N/A AP-5523 https://www.sec.gov/alj/aljorders/2018/ap-5523.pdf 3-18271 2018-01-24 Order to Show Cause, Set Motion Deadline, and Schedule the Submission of New Evidence Order Smith, Jeffrey D. Carswell, Joseph Fullard, Michael W. N/A AP-5524 https://www.sec.gov/alj/aljorders/2018/ap-5524.pdf 3-18155 2018-01-24 Order/Order Ratifying Prior Actions Order Hall Tees, Inc. Hosokawa Micron International, Inc. James River Coal Company Napa Sonoma Group, Inc. Self Change Corporation N/A AP-5525 https://www.sec.gov/alj/aljorders/2018/ap-5525.pdf 3-18152 2018-01-24 Order to Show Cause and Notice and Order Allowing New Evidence as to Golden River Resources Corp. Order Golden River Resources Corp. N/A AP-5526 https://www.sec.gov/alj/aljorders/2018/ap-5526.pdf 3-17950 2018-01-25 Order Following Prehearing Conference Order Pruitt, David CPA N/A AP-5527 https://www.sec.gov/alj/aljorders/2018/ap-5527.pdf 3-17935 2018-01-25 Order Ratifying Prior Actions Order Biovest International, Inc. Olie, Inc. (n/k/a Syndicate Business Development Corp.) StarGate Entertainment, Inc. Three Sigma Ventures, Inc. N/A AP-5528 https://www.sec.gov/alj/aljorders/2018/ap-5528.pdf 3-18190 2018-01-25 Order Ratifying Prior Actions Order lmmunoclin Corp. Intelligent Living America, Inc Ivanhoe Energy, Inc. N/A AP-5529 https://www.sec.gov/alj/aljorders/2018/ap-5529.pdf 3-18180 2018-01-25 Order Ratifying Prior Actions Order Neurologix, Inc. Organic Alliance, Inc. Zinco do Brasil, Inc. N/A AP-5530 https://www.sec.gov/alj/aljorders/2018/ap-5530.pdf 3-17352 2018-01-25 Order Ratifying Prior Actions Order Young, Marian P. Saving2Retire, LLC N/A AP-5531 https://www.sec.gov/alj/aljorders/2018/ap-5531.pdf 3-18082 2018-01-25 Order Ratifying Prior Actions Order CNK Global, Inc. a/k/a American Life Holding Co. Inc. N/A AP-5532 https://www.sec.gov/alj/aljorders/2018/ap-5532.pdf 3-17674 2018-01-25 Order Ratifying Actions and Denying Motion for Stay Order Kon, Alexander N/A AP-5533 https://www.sec.gov/alj/aljorders/2018/ap-5533.pdf 3-17387 2018-01-25 Order Denying Bifurcation Request and Sealing Financial Disclosures Order Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-5534 https://www.sec.gov/alj/aljorders/2018/ap-5534.pdf 3-15974 2018-01-26 Order Order Cohen, James E. Corazzi, Joseph A. N/A AP-5535 https://www.sec.gov/alj/aljorders/2018/ap-5535.pdf 3-18099 2018-01-26 Order Ratifying Certain Prior Actions, Discharging Order to Show Cause, and Setting Procedural Schedule Order Black Diamond Asset Management LLC Wilson, Robert N/A AP-5536 https://www.sec.gov/alj/aljorders/2018/ap-5536.pdf 3-18091 2018-01-26 Order Ratifying Prior Actions Order Kung Fu Dragon Group Limited N/A AP-5537 https://www.sec.gov/alj/aljorders/2018/ap-5537.pdf 3-17828 2018-01-26 Order Order Herman, Rosalind N/A AP-5538 https://www.sec.gov/alj/aljorders/2018/ap-5538.pdf 3-16339 2018-01-26 Order Ratifying Prior Actions Order Dalmy, Diane Esq. N/A AP-5539 https://www.sec.gov/alj/aljorders/2018/ap-5539.pdf 3-16182 2018-01-26 Order Ratifying in Part and Revising in Part Prior Actions Order Lloyd, Paul Edward Jr., CPA "ed" N/A AP-5540 https://www.sec.gov/alj/aljorders/2018/ap-5540.pdf 3-18252 2018-01-26 Order Following Prehearing Conference Order Vitale, Joseph a/k/a Donovan Kelly A. N/A AP-5541 https://www.sec.gov/alj/aljorders/2018/ap-5541.pdf 3-18199 2018-01-26 Order Ratifying Prior Actions Order Aervision Holdings, Inc. American Patriot Financial Asia8, Inc. Amalgamated Pictures Corp. N/A AP-5542 https://www.sec.gov/alj/aljorders/2018/ap-5542.pdf 3-18210 2018-01-26 Order Ratifying Prior Actions Order Icon Vapor, Inc. POWRtec International Corp. Silvergraph International, Inc. Walter Energy, Inc. n/k/a New WEI, Inc. N/A AP-5543 https://www.sec.gov/alj/aljorders/2018/ap-5543.pdf 3-17990 2018-01-26 Protective Order for Sensitive Financial Information Order Digital Brand Media & Marketing Group, Inc. N/A AP-5544 https://www.sec.gov/alj/aljorders/2018/ap-5544.pdf 3-17228 2018-01-26 Order Ratifying Actions Order Helterbran, Michele L. N/A AP-5545 https://www.sec.gov/alj/aljorders/2018/ap-5545.pdf 3-18017 2018-01-29 Order Ratifying Prior Actions Order China Fruits Corp. SkyStar Bio-Pharmaceutical Co. Can-Cal Resources Ltd. N/A AP-5546 https://www.sec.gov/alj/aljorders/2018/ap-5546.pdf 3-18346 2018-01-29 Order Postponing Hearing, Granting U.S. Attorney Leave to Intervene for Limited Purpose, and Directing Response to Motion to Stay Order Holder, Cynthia CPA Wada, Jeffrey CPA Middendorf, David CPA Whittle, Thomas CPA Britt, David CPA N/A AP-5547 https://www.sec.gov/alj/aljorders/2018/ap-5547.pdf 3-18146 2018-01-29 Order Ratifying Prior Actions Order Accelerated Aquisition XVII, Inc. Ambassadors International, Inc. L & L Energy, Inc. Lihua International, Inc. N/A AP-5548 https://www.sec.gov/alj/aljorders/2018/ap-5548.pdf 3-17874 2018-01-29 Order Ratifying Actions Order Harris, Talman Alfaya, Victor N/A AP-5549 https://www.sec.gov/alj/aljorders/2018/ap-5549.pdf 3-17645 2018-01-29 Order Granting Motion for Extension to Submit New Evidence Order Snisky, Gary C. N/A AP-5550 https://www.sec.gov/alj/aljorders/2018/ap-5550.pdf 3-18202 2018-01-29 Order Ratifying Prior Actions Order Penny Auction Solutions, Inc. Sebring Software, Inc. Studio II Brands, Inc. N/A AP-5551 https://www.sec.gov/alj/aljorders/2018/ap-5551.pdf 3-18141 2018-01-29 Order Ratifying Prior Actions as to CellCyte Genetics Corp. Order CellCyte Genetics Corp. N/A AP-5552 https://www.sec.gov/alj/aljorders/2018/ap-5552.pdf 3-18177 2018-01-30 Order Ratifying Prior Actions Order Cono Italiano, Inc. Plures Technologies, Inc. Secured Technology Innovations, Corp. N/A AP-5553 https://www.sec.gov/alj/aljorders/2018/ap-5553.pdf 3-18037 2018-01-30 Order Ratifying Prior Actions Order dELiA*s Inc. Global Energy, Inc. N/A AP-5554 https://www.sec.gov/alj/aljorders/2018/ap-5554.pdf 3-18157 2018-01-30 Order Ratifying Prior Actions Order Tintic Gold Mining Company N/A AP-5555 https://www.sec.gov/alj/aljorders/2018/ap-5555.pdf 3-18339 2018-01-30 Order Finding Service, Postponing Hearing, and Scheduling Prehearing Conference Order Altona Resources, Inc. APEX 10, Inc. APEX 11, Inc. Clone Algo, Inc. N/A AP-5556 https://www.sec.gov/alj/aljorders/2018/ap-5556.pdf 3-18185 2018-01-31 Order Ratifying Prior Actions Order ARX Gold Corporation N/A AP-5557 https://www.sec.gov/alj/aljorders/2018/ap-5557.pdf 3-18179 2018-01-31 Order Ratifying Prior Actions Order China Hefeng Rescue Equipment, Inc. Greenworld Development, Inc. Mountain National Bancshares, Inc. UCP Holdings, Inc. N/A AP-5558 https://www.sec.gov/alj/aljorders/2018/ap-5558.pdf 3-18346 2018-01-31 Order/Order Tolling Time to Commence Production of Investigative File Order Holder, Cynthia CPA Wada, Jeffrey CPA Middendorf, David CPA Whittle, Thomas CPA Britt, David CPA N/A AP-5559 https://www.sec.gov/alj/aljorders/2018/ap-5559.pdf 3-18325 2018-01-31 Order Setting Briefing Schedule and Oral Argument Order Global Digital Solutions, Inc. N/A AP-5560 https://www.sec.gov/alj/aljorders/2018/ap-5560.pdf 3-18189 2018-01-31 Order Ratifying Prior Actions Order Creator Capital Ltd. N/A AP-5561 https://www.sec.gov/alj/aljorders/2018/ap-5561.pdf 3-17883 2018-02-01 Order Scheduling Prehearing Conference Order Nadel, Warren D. N/A AP-5562 https://www.sec.gov/alj/aljorders/2018/ap-5562.pdf 3-18105 2018-02-01 Order Ratifying Prior Actions Order American Magna Corp. BioNeutral Group, Inc. Oryon Technologies, Inc. LivingVentures, Inc. N/A AP-5563 https://www.sec.gov/alj/aljorders/2018/ap-5563.pdf 3-18127 2018-02-01 Order Following Prehearing Conference Order Shkreli, Martin N/A AP-5564 https://www.sec.gov/alj/aljorders/2018/ap-5564.pdf 3-16795 2018-02-02 Order Ratifying Actions Order Fox, Joseph J. N/A AP-5565 https://www.sec.gov/alj/aljorders/2018/ap-5565.pdf 3-18204 2018-02-02 Order Ratifying Prior Actions Order GO EZ Corporation Green St. Energy, Inc. Hyperview Ltd. lmogo Mobile Technologies Corp. N/A AP-5566 https://www.sec.gov/alj/aljorders/2018/ap-5566.pdf 3-18353 2018-02-02 Order Scheduling Hearing and Designating Presiding Judge Order Canwealth Minerals Corp. Cubed, Inc. ECO Integrated Technologies, Inc. Enviro Cleanse, Inc. N/A AP-5567 https://www.sec.gov/alj/aljorders/2018/ap-5567.pdf 3-17959 2018-02-02 Order Ratifying Prior Actions Order Reyftmann, Gregory N/A AP-5568 https://www.sec.gov/alj/aljorders/2018/ap-5568.pdf 500-1 3-18336 2018-02-05 Order to Show Cause and Postponement Order Order Ambicom Holdings, Inc. Arrow Cars International, Inc. CDEX, Inc. EFactor Group Corp. a/k/a IMEDICOR, INC., or VEMICS, INC. iCoreConnect, Inc. a/k/a iMedicor, Inc. or Vemics, Inc. N/A AP-5569 https://www.sec.gov/alj/aljorders/2018/ap-5569.pdf 3-18271 2018-02-06 Order Ratifying Actions Order Smith, Jeffrey D. Carswell, Joseph Fullard, Michael W. N/A AP-5570 https://www.sec.gov/alj/aljorders/2018/ap-5570.pdf 3-17883 2018-02-06 Order Ratifying Actions Order Nadel, Warren D. N/A AP-5571 https://www.sec.gov/alj/aljorders/2018/ap-5571.pdf 500-1 3-18333 2018-02-06 Order/Order for Three Respondents to Show Cause and Directing Parties to Hold a Prehearing Conference Order Blacksands Petroleum, Inc. China Education Alliance, Inc. DoMark International, Inc. East Coast Diversified Corp. N/A AP-5572 https://www.sec.gov/alj/aljorders/2018/ap-5572.pdf 3-17387 2018-02-06 Order/Order Scheduling Oral Argument Order Lathan, Donald F. ("Jay") Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-5573 https://www.sec.gov/alj/aljorders/2018/ap-5573.pdf 3-18346 2018-02-06 Stay Order Order Holder, Cynthia CPA Wada, Jeffrey CPA Middendorf, David CPA Whittle, Thomas CPA Britt, David CPA N/A AP-5574 https://www.sec.gov/alj/aljorders/2018/ap-5574.pdf 500-1 3-18326 2018-02-07 Order/Order Following Prehearing Conference Order American Nano Silicon Technologies, Inc. American Soil Technologies, Inc. Andalay Solar, Inc. Crimson Forest Entertainment Group, Inc. N/A AP-5575 https://www.sec.gov/alj/aljorders/2018/ap-5575.pdf 3-18339 2018-02-07 Order to Show Cause Order Altona Resources, Inc. APEX 10, Inc. APEX 11, Inc. Clone Algo, Inc. N/A AP-5576 https://www.sec.gov/alj/aljorders/2018/ap-5576.pdf 3-18360 2018-02-07 Order Scheduling Hearing and Designating Presiding Judge Order California Mines Corp. Cindisue Mining Corp. Dune Energy, Inc. N/A AP-5577 https://www.sec.gov/alj/aljorders/2018/ap-5577.pdf 3-18070 2018-02-07 Order/Order Ratifying Prior Actions Order Lubin, David N/A AP-5578 https://www.sec.gov/alj/aljorders/2018/ap-5578.pdf 3-18361 2018-02-08 Order Scheduling Hearing and Designating Presiding Judge Order Moses, Michael S. N/A AP-5579 https://www.sec.gov/alj/aljorders/2018/ap-5579.pdf 500-1 3-18327 2018-02-09 Order to Show Cause Order Abakan, Inc. Car Monkeys Group CN Dragon Corp. Western Graphite, Inc. N/A AP-5580 https://www.sec.gov/alj/aljorders/2018/ap-5580.pdf 3-18229 2018-02-12 Order to Show Cause Order Hallas, Demitrios N/A AP-5581 https://www.sec.gov/alj/aljorders/2018/ap-5581.pdf 3-18098 2018-02-12 Order Ratifying Prior Actions and Staying Proceeding Order Teran, Alfred C. N/A AP-5582 https://www.sec.gov/alj/aljorders/2018/ap-5582.pdf 3-18106 2018-02-12 Order Ratifying Prior Actions Order China Du Kang Co., Ltd. N/A AP-5583 https://www.sec.gov/alj/aljorders/2018/ap-5583.pdf 3-18191 2018-02-13 Order Ratifying Prior Actions Order Teltronics, Inc. Xunna Information Engage Eco Solutions, Inc. Old Stone Corporation N/A AP-5584 https://www.sec.gov/alj/aljorders/2018/ap-5584.pdf 3-17699 2018-02-13 Order Ratifying Prior Actions Order Neman, Shervin Neman Financial, Inc. N/A AP-5585 https://www.sec.gov/alj/aljorders/2018/ap-5585.pdf 3-18096 2018-02-13 Order Ratifying Prior Actions Order Axiom Oil & Gas Corp. Ironwood Gold Corp. Surge Global Energy, Inc. N/A AP-5586 https://www.sec.gov/alj/aljorders/2018/ap-5586.pdf 3-18151 2018-02-13 Order Ratifying Prior Actions Order Bohai Pharmaceuticals Group Inc. N/A AP-5587 https://www.sec.gov/alj/aljorders/2018/ap-5587.pdf 3-17674 2018-02-13 Order Scheduling Preheating Conference Order Kon, Alexander N/A AP-5588 https://www.sec.gov/alj/aljorders/2018/ap-5588.pdf 3-17558 2018-02-14 Order Ratifying Prior Actions Order Bluforest, Inc. N/A AP-5589 https://www.sec.gov/alj/aljorders/2018/ap-5589.pdf 3-18170 2018-02-14 Order Ratifying Prior Actions Order Gamzio Mobile, Inc. N/A AP-5590 https://www.sec.gov/alj/aljorders/2018/ap-5590.pdf 3-18221 2018-02-14 Order Ratifying Prior Actions Order Guardian 8 Holdings Idaho North Resources Corporation Mecklermedia Corporation Verde Science, Inc. N/A AP-5591 https://www.sec.gov/alj/aljorders/2018/ap-5591.pdf 3-17104 2018-02-14 Order Ratifying in Part and Revising in Part Prior Actions Order BioElectronics Corp. Whelan, Kelly A. IBEX, LLC St. John's, LLC Whelan, Andrew J. N/A AP-5592 https://www.sec.gov/alj/aljorders/2018/ap-5592.pdf 3-18252 2018-02-14 Order Ratifying Prior Actions Order Vitale, Joseph N/A AP-5593 https://www.sec.gov/alj/aljorders/2018/ap-5593.pdf 3-17253 2018-02-14 Order Extending Deadline for Decision on Ratification Order Blue Ocean Portfolios, LLC Winkelmann, James A. N/A AP-5594 https://www.sec.gov/alj/aljorders/2018/ap-5594.pdf 3-17990 2018-02-14 Order Extending Deadline for Decision on Ratification Order Digital Brand Media & Marketing Group, Inc. lntellicell Biosciences, Inc. N/A AP-5595 https://www.sec.gov/alj/aljorders/2018/ap-5595.pdf 3-17674 2018-02-14 Order Rescheduling Hearing Order Kon, Alexander N/A AP-5596 https://www.sec.gov/alj/aljorders/2018/ap-5596.pdf 3-18127 2018-02-14 Order Ratifying Prior Actions and Denying Motion for Reconsideration Order Shkreli, Martin N/A AP-5597 https://www.sec.gov/alj/aljorders/2018/ap-5597.pdf 3-18749 2018-02-14 Order Ratifying Prior Actions Order Angel Oak Partners, LLC Peraza Capital & Investment, LLC Prabhu, Sreeniwas Wells, David W. N/A AP-5598 https://www.sec.gov/alj/aljorders/2018/ap-5598.pdf 3-17716 2018-02-15 Order Ratifying Prior Actions as to Terrence A. Ballard Order Ballard, Terrence A. N/A AP-5599 https://www.sec.gov/alj/aljorders/2018/ap-5599.pdf 3-17950 2018-02-14 Order Ratifying Prior Action Order Pruitt, David CPA N/A AP-5600 https://www.sec.gov/alj/aljorders/2018/ap-5600.pdf 3-17595 2018-02-14 Order Ratifying Prior Actions Order Frank, Joel Och-Ziff Capital Management Group, LLC Och, Daniel OZ Management, LP N/A AP-5601 https://www.sec.gov/alj/aljorders/2018/ap-5601.pdf 3-17387 2018-02-15 Order Sealing Exhibits Order Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-5602 https://www.sec.gov/alj/aljorders/2018/ap-5602.pdf 3-17828 2018-02-15 Order Order Herman, Rosalind N/A AP-5603 https://www.sec.gov/alj/aljorders/2018/ap-5603.pdf 3-17950 2018-02-15 Order Denying Motion for Stay Order Pruitt, David N/A AP-5604 https://www.sec.gov/alj/aljorders/2018/ap-5604.pdf 3-18078 2018-02-15 Order Ratifying Prior Actions Order Montalvo Spirits, Inc. Sanook Enterprises, Inc. n/k/a Applife Digital, Inc. Spire Technologies, Inc. N/A AP-5605 https://www.sec.gov/alj/aljorders/2018/ap-5605.pdf 3-18207 2018-02-15 Order Ratifying Prior Actions Order Microlin Bio, Inc. Virtus Oil and Gas Corp. KollagenX Corp. Vaccinogen, Inc. N/A AP-5606 https://www.sec.gov/alj/aljorders/2018/ap-5606.pdf 3-17674 2018-02-15 Order Regarding Hearing Date Order Kon, Alexander N/A AP-5607 https://www.sec.gov/alj/aljorders/2018/ap-5607.pdf 3-16509 2018-02-15 Order Extending Deadline for Decision on Ratification Order Daspin, Edward Michael Agostini, Luigii Lux, Lawrence R. N/A AP-5608 https://www.sec.gov/alj/aljorders/2018/ap-5608.pdf 3-18236 3-18175 2018-02-15 Order Ratifying Prior Actions Order Jones, Bobby D. Bank, Daryl G. N/A AP-5609 https://www.sec.gov/alj/aljorders/2018/ap-5609.pdf 3-15514 2018-02-15 Order Extending Date for Determination Order Guzzetti, Andrew G. Mayer, Brian T. Chiappone, Frank H. Rabinovich, Philip S. Lex, William F. Livingston, Thomas E. N/A AP-5610 https://www.sec.gov/alj/aljorders/2018/ap-5610.pdf 3-18236 2018-02-15 Order Setting Prehearing Conference Order Jones, Bobby D. N/A AP-5611 https://www.sec.gov/alj/aljorders/2018/ap-5611.pdf 3-18353 2018-02-16 Order Postponing Hearing and Requesting Declaration of Service Order Canwealth Minerals Corp. Cubed, Inc. ECO Integrated Technologies, Inc. Enviro Cleanse, Inc. N/A AP-5612 https://www.sec.gov/alj/aljorders/2018/ap-5612.pdf 3-17316 2018-02-16 Order Finding Service Order Longwei Petroleum N/A AP-5613 https://www.sec.gov/alj/aljorders/2018/ap-5613.pdf 3-18152 2018-02-16 Order Ratifying Prior Actions Order Golden River Resources China Precision Steel, Inc. N/A AP-5614 https://www.sec.gov/alj/aljorders/2018/ap-5614.pdf 3-17316 2018-02-16 Order Ratifying Prior Actions Order Longwei Petroleum N/A AP-5615 https://www.sec.gov/alj/aljorders/2018/ap-5615.pdf 3-16293 2018-02-16 Order Ratifying Actions Order Bebo, Laurie N/A AP-5616 https://www.sec.gov/alj/aljorders/2018/ap-5616.pdf 3-17990 2018-02-16 Order Ratifying Prior Actions as to Intellicell Biosciences, Inc. Order Digital Brand Media & Marketing Group, Inc. lntellicell Biosciences, Inc. N/A AP-5617 https://www.sec.gov/alj/aljorders/2018/ap-5617.pdf 3-16318 2018-02-16 Order Extending Deadline for Determination Regarding Ratification Order Aurum Mining, LLC Clug, Alexandre S. Crow, Michael W. Pan Am Terra, Inc. The Corsair Group, Inc. N/A AP-5618 https://www.sec.gov/alj/aljorders/2018/ap-5618.pdf 3-17342 2018-02-16 Order Extending Deadline for Decision on Ratification Order RD Legal Capital, LLC Dersovitz, Roni N/A AP-5619 https://www.sec.gov/alj/aljorders/2018/ap-5619.pdf 3-16509 2018-02-20 Public Redacted Order on Ratification Order Daspin, Edward Michael N/A AP-5620 https://www.sec.gov/alj/aljorders/2018/ap-5620.pdf 3-17674 2018-02-20 Order Rescheduling Prehearing Conference Order Kon, Alexander N/A AP-5621 https://www.sec.gov/alj/aljorders/2018/ap-5621.pdf 3-18353 2018-02-21 Order Finding Service and Scheduling Prehearing Conference Order Canwealth Minerals Corp. Cubed, Inc. ECO Integrated Technologies, Inc. Enviro Cleanse, Inc. N/A AP-5622 https://www.sec.gov/alj/aljorders/2018/ap-5622.pdf 3-18360 2018-02-22 Order to Show Cause and Postponement Order Order California Mines Corp. Cindisue Mining Corp. Dune Energy, Inc. N/A AP-5623 https://www.sec.gov/alj/aljorders/2018/ap-5623.pdf 3-18361 2018-02-22 Order Postponing Hearing and Scheduling Prehearing Conference Order Moses, Michael S. N/A AP-5624 https://www.sec.gov/alj/aljorders/2018/ap-5624.pdf 500-1 3-18333 2018-02-22 Order Staying Proceeding as to Blacksands Petroleum, Inc. Order Blacksands Petroleum, Inc. China Education Alliance, Inc. DoMark International, Inc. East Coast Diversified Corp. N/A AP-5625 https://www.sec.gov/alj/aljorders/2018/ap-5625.pdf 3-17342 2018-02-23 Order on Ratification Order RD Legal Capital, LLC Dersovitz, Roni N/A AP-5626 https://www.sec.gov/alj/aljorders/2018/ap-5626.pdf 3-18292 2018-02-23 Notice Concerning Withdrawal Notice Anton & Chia, LLP Wahl, Gregory A. CPA Deutchman, Michael CPA Chung, Georgia CPA Shek, Tommy CPA N/A AP-5627 https://www.sec.gov/alj/aljorders/2018/ap-5627.pdf 500-1 3-18378 2018-02-23 Order Scheduling Hearing and Designating Presiding Judge Order Affirmative Insurance Holdings, Inc. Armada Oil, Inc. China Energy Technology Corp., Ltd. Chuma Holdings, Inc. N/A AP-5628 https://www.sec.gov/alj/aljorders/2018/ap-5628.pdf 3-17316 2018-02-26 Order Regarding Motion for Substitution of Counsel, Denying Shareholder Petition, and Directing Briefing Order Longwei Petroleum Investment Holding Limited N/A AP-5629 https://www.sec.gov/alj/aljorders/2018/ap-5629.pdf 3-17387 2018-02-26 Order Granting Extension Order Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-5630 https://www.sec.gov/alj/aljorders/2018/ap-5630.pdf 3-16353 2018-02-26 Order Order Spring Hill Capital Holdings, LLC Spring Hill Capital Markets, LLC Spring Hill Capital Partners, LLC White, Kevin D. N/A AP-5631 https://www.sec.gov/alj/aljorders/2018/ap-5631.pdf 3-18175 3-18236 2018-02-27 Order Following Prehearing Conference Order Bank, Daryl G. Jones, Bobby D. N/A AP-5632 https://www.sec.gov/alj/aljorders/2018/ap-5632.pdf 3-18271 2018-02-27 Order Denying Motion for Default and Sanctions Without Prejudice, Finding Service on Jeffrey D. Smith, and Directing Him to Show Cause Order Smith, Jeffrey D. N/A AP-5633 https://www.sec.gov/alj/aljorders/2018/ap-5633.pdf 3-16509 2018-02-28 Order Denying Request for Extension Order Daspin, Edward Michael N/A AP-5634 https://www.sec.gov/alj/aljorders/2018/ap-5634.pdf 3-18292 2018-02-28 Order Denying Motion for a Ruling on the Pleadings Order Anton & Chia, LLP Wahl, Gregory A. CPA Deutchman, Michael CPA Chung, Georgia CPA Shek, Tommy CPA N/A AP-5635 https://www.sec.gov/alj/aljorders/2018/ap-5635.pdf 3-18127 2018-02-28 Order Setting Hearing Date and Location Order Shkreli, Martin N/A AP-5636 https://www.sec.gov/alj/aljorders/2018/ap-5636.pdf 3-17849 2018-02-28 Order on Motions for Summary Disposition Order Angel Oak Capital Partners, LLC Peraza Capital & Investment, LLC Prabhu, Sreeniwas Wells, David W. N/A AP-5637 https://www.sec.gov/alj/aljorders/2018/ap-5637.pdf 3-17950 2018-03-01 Scheduling Order Order Pruitt, David CPA N/A AP-5638 https://www.sec.gov/alj/aljorders/2018/ap-5638.pdf 3-17387 2018-03-05 Order Sealing Submission in Part Order Lathen, Donald F. Jr. Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-5639 https://www.sec.gov/alj/aljorders/2018/ap-5639.pdf 3-17645 2018-03-06 Extension Order Snisky, Gary C. N/A AP-5640 https://www.sec.gov/alj/aljorders/2018/ap-5640.pdf 3-18353 2018-03-06 Order to Show Cause Order Canwealth Minerals Corp. Cubed, Inc. ECO Integrated Technologies, Inc. Enviro Cleanse, Inc. N/A AP-5641 https://www.sec.gov/alj/aljorders/2018/ap-5641.pdf 3-16318 2018-03-08 Second Order Extending Deadline for Determination Regarding Ratification Order Aurum Mining, LLC Clug, Alexandre S. Crow, Michael W. Pan Am Terra, Inc. The Corsair Group, Inc. N/A AP-5642 https://www.sec.gov/alj/aljorders/2018/ap-5642.pdf 3-17387 2018-03-12 Order/Following Oral Argument Order Eden Arc Capital Management, LLC Eden Arc Capital Advisors, LLC N/A AP-5643 https://www.sec.gov/alj/aljorders/2018/ap-5643.pdf 3-17316 2018-03-12 Stay Order Order Longwei Petroleum Investment Holding Limited N/A AP-5644 https://www.sec.gov/alj/aljorders/2018/ap-5644.pdf 3-18361 2018-03-12 Stay Order Order Moses, Michael S. N/A AP-5645 https://www.sec.gov/alj/aljorders/2018/ap-5645.pdf 500-1 3-18378 2018-03-13 Order Postponing Hearing/,Finding Service, and Directing Respondents to Show Cause Order Affirmative Insurance Holdings, Inc. Armada Oil, Inc. Chuma Holdings, Inc. N/A AP-5646 https://www.sec.gov/alj/aljorders/2018/ap-5646.pdf 3-16509 2018-03-13 Order Denying Rule 111 Motion Order Daspin, Edward M. N/A AP-5647 https://www.sec.gov/alj/aljorders/2018/ap-5647.pdf 3-15255 2018-03-14 Order Order John Thomas Capital Management Jarskey, George R. N/A AP-5648 https://www.sec.gov/alj/aljorders/2018/ap-5648.pdf 3-17184 2018-03-14 Order Extending Date for Ratification Ruling Order Gibson, Christopher M. N/A AP-5649 https://www.sec.gov/alj/aljorders/2018/ap-5649.pdf 3-17387 2018-03-15 Order Regarding Slide Presentation Order Lathen, Donald F. Jr. N/A AP-5650 https://www.sec.gov/alj/aljorders/2018/ap-5650.pdf 3-17828 2018-03-16 Order Order Herman, Rosalind N/A AP-5651 https://www.sec.gov/alj/aljorders/2018/ap-5651.pdf 500-1 3-18378 2018-03-16 Order Regarding Hague Convention Service Order China Energy Technology Corp., Ltd. N/A AP-5652 https://www.sec.gov/alj/aljorders/2018/ap-5652.pdf 3-18404 2018-03-16 Order Scheduling Hearing and Designating Presiding Judge Order Gray, David N/A AP-5653 https://www.sec.gov/alj/aljorders/2018/ap-5653.pdf 500-1 3-18405 2018-03-19 Order Scheduling Hearing and Designating Presiding Judge Order New Global Energy, Inc. N/A AP-5654 https://www.sec.gov/alj/aljorders/2018/ap-5654.pdf 3-18127 2018-03-19 Order/Requesting Response to Request to File Notice of Deposition Order Shkreli, Martin N/A AP-5655 https://www.sec.gov/alj/aljorders/2018/ap-5655.pdf 3-17849 2018-03-20 Order Setting Prehearing Schedule and Hearing Date Order Angel Oak Capital Partners, LLC Peraza Capital & Investment, LLC Prabhu, Sreeniwas Wells, David W. N/A AP-5656 https://www.sec.gov/alj/aljorders/2018/ap-5656.pdf 500-1 3-18405 2018-03-22 Order Postponing Hearing and Scheduling Prehearing Conference Order New Global Energy, Inc. N/A AP-5657 https://www.sec.gov/alj/aljorders/2018/ap-5657.pdf 3-17716 2018-03-23 Order/Lifting Partial Stay, Allowing the Submission of New Evidence, and Directing the Parties to Hold a Prehearing Conference Order Baker, Robert L. Bowen, Michael D. Herrara, Jacob B. N/A IA-4836 https://www.sec.gov/litigation/admin/2018/ia-4836.pdf IC-32958 3-18328 2018-01-03 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order LKL Investment Counsel LLC (a/k/a LKL Investments, LLC) Love, Mark H. N/A IA-4837 https://www.sec.gov/litigation/admin/2018/34-82438.pdf 34-82438 3-18329 2018-01-03 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Bassily, Khaled N/A IA-4838 https://www.sec.gov/rules/ia/2018/ia-4838.pdf 803-00241 2018-01-03 Order Order PNC Capital Advisors, LLC N/A IA-4839 https://www.sec.gov/rules/final/2018/ia-4839.pdf S7-05-17 2018-01-05 Final Rule Rulemaking IA Act; Amendments to Rules 203(l)-1 and 203(m)-1 http://www.federalregister.gov/citation/83-FR-1296 83-FR-1296 IA-4840 https://www.sec.gov/litigation/admin/2018/34-82453.pdf 34-82453 3-18331 2018-01-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Boyd, Donna N/A IA-4841 https://www.sec.gov/litigation/admin/2018/34-82454.pdf 34-82454 3-18332 2018-01-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Tao, James C. N/A IA-4842 https://www.sec.gov/rules/other/2018/33-10451.pdf 33-10451 34-82455 IC-32963 2018-01-08 Final Rule Rulemaking Adjustments to Civil Monetary Penalty Amounts http://www.federalregister.gov/citation/83-FR-1396 83-FR-1396 IA-4843 https://www.sec.gov/litigation/admin/2018/34-82485.pdf 34-82485 3-18335 2018-01-11 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Belfiore, Jeffrey R. Chiera, Anthony P. N/A IA-4844 https://www.sec.gov/litigation/admin/2018/34-82509.pdf 34-82509 3-18337 2018-01-17 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Tarpinian, John N/A IA-4845 https://www.sec.gov/litigation/admin/2018/34-82528.pdf 34-82528 3-18340 2018-01-18 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Mazzola, Frank G. N/A IA-4846 https://www.sec.gov/litigation/admin/2018/34-82539.pdf 34-82539 3-18343 2018-01-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Bivona, John V. N/A IA-4847 https://www.sec.gov/litigation/admin/2018/ia-4847.pdf 3-18348 2018-01-22 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Gemini Fund Services, LLC N/A IA-4848 https://www.sec.gov/litigation/admin/2018/33-10454.pdf 33-10454 3-18349 2018-01-23 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order AmericaFirst Capital Management, LLC Gonsalves, Rick A. Clark, Robert L. N/A IA-4849 https://www.sec.gov/rules/other/2018/ia-4849.pdf 801-29339 801-31049 801-34345 801-55033 801-55695 801-57335 801-60497 801-60501 801-62656 801-62767 801-64854 801-65392 801-65693 801-65699 801-67444 801-68936 801-69479 801-69850 801-70243 801-71630 801-71642 801-72439 801-72722 801-72802 801-74225 801-77991 801-78030 801-78054 801-78063 801-78432 801-78707 801-78912 801-79102 801-79138 801-79241 801-79574 801-79639 801-80111 801-80121 801-80126 801-80237 801-80333 801-80532 801-80773 801-80849 801-80870 801-96231 801-96242 801-100366 801-106665 801-106838 801-106839 801-107261 801-108797 801-110135 2018-01-26 Notice of Intention to Cancel Notice SUMMIT WEALTH MANAGEMENT MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED HUBER JOAN MACMONNIES FFR ADVISORY LLC HARTLAND ASSET MANAGEMENT CORP PAN GEO INVESTMENT INC GREENWICH ASSET MANAGEMENT GROUP, LLC UA, LLC PREMIERSOURCE LLC STUX CAPITAL MANAGEMENT, LLC CORESTATES CAPITAL ADVISORS, LLC MCCONNELL ASSET MANAGEMENT LLC TITAN CAPITAL GROUP III, LP BINJAI HILL ASSET MANAGEMENT PTE LTD. CAMLIN ASSET MANAGEMENT, INC WPN CORP. SUMMIT ASSET STRATEGIES WEALTH MANAGEMENT, LLC ABLE ALPHA TRADING, LTD. LIGHTSTONE CAPITAL ADVISERS, LLC HEXAM CAPITAL PARTNERS, LLP LWA FUND ADVISORS, LLC. EMERGING MANAGERS GROUP, L.P. IGENERATIONS PRIVATE WEALTH MANAGEMENT 401HARMONY LLC NOGALES INVESTORS MANAGEMENT, LLC PRAESTO INVESTMENT ADVISORS INC. VIRGINIA FINANCIAL INNOVATION CORP. ATF EXCHANGE, LLC VIASOURCE FUNDING GROUP, LLC HANMARU ASSET MANAGEMENT LLC FINAPORT AMERICAS INVESTMENT ADVISERS, LLC STERLING MARKETS LLC SOUTHERN UTAH WEALTH NAVIGATION, LLC TAM PORTFOLIOS, LLC RCG CAPITAL MANAGEMENT, LLC FRANCES, DOVI DOV MERRIMAN ASSET MANAGEMENT, INC. GINKGO CAPITAL LIMITED DBA APEX CAPITAL GLOBAL SELECT ADVISORS LTD. ONEWALL ADVISORS UK LLP NIGHTHAWK CAPITAL LIMITED AVIV ASSET MANAGEMENT, LLC D. L. WATSON & COMPANY, INC. HIGHTOWER FINANCIAL SOLUTIONS LLC JUTLAND CAPITAL MANAGEMENT LTD FFI ADVISORS LLC PRO WEALTH ADVISORS LLC PEERAGE NOBLE LLC QUANTUMSHARES, LLC FUNDAMENTAL CORPORATE CREDIT US LLC FUNDAMENTAL MANAGERS LLC GRAHAM WEALTH ADVISORS, LLC BETASMARTZ ADVISORY LLC VEST TECHNOLOGIES, INC. http://www.federalregister.gov/citation/83-FR-4716 83-FR-4716 IA-4850 https://www.sec.gov/rules/ia/2018/ia-4850.pdf 803-00243 2018-01-30 Notice of Application Notice Janney Montgomery Scott LLC http://www.federalregister.gov/citation/83-FR-5148 83-FR-5148 IA-4851 https://www.sec.gov/litigation/admin/2018/ia-4851.pdf 3-18352 2018-01-31 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Mohlman Asset Management, LLC Mohlman, Louis G. Jr. N/A IA-4852 https://www.sec.gov/litigation/admin/2018/34-82630.pdf 34-82630 3-18357 2018-02-05 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Wedbush Securities Inc. N/A IA-4853 https://www.sec.gov/litigation/admin/2018/ia-4853.pdf 3-18361 2018-02-07 Order Instituting Administrative Proceedings and Notice of Hearing Order Moses, Michael S. N/A IA-4854 https://www.sec.gov/litigation/admin/2018/ia-4854.pdf IC-33004 3-11530 2018-02-07 Order Modifying Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and IMposing Remedial Sanctions and a Cease-and-Desist Order Order J.P. Morgan Investment Management Inc., successor to Banc One Investment Advisors Corporation N/A IA-4855 https://www.sec.gov/litigation/admin/2018/34-82668.pdf 34-82668 3-18364 2018-02-08 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Dandridge, Victor M III N/A IA-4856 https://www.sec.gov/litigation/admin/2018/34-82681.pdf 34-82681 3-18366 2018-02-09 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Buck, Thomas J. N/A IA-4857 https://www.sec.gov/litigation/admin/2018/ia-4857.pdf 3-18377 2018-02-22 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Commonwealth Advisors, Inc. Morales, Walter A. N/A IA-4858 https://www.sec.gov/litigation/admin/2018/34-82767.pdf 34-82767 3-18379 2018-02-23 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Hicks, Stephen N/A IA-4859 https://www.sec.gov/litigation/admin/2018/33-10461.pdf 33-10461 34-82773 IC-33034 3-17157 2018-02-26 Order Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order Order Zoernack, Steven EquityStar Capital Management, LLC N/A IA-4860 https://www.sec.gov/rules/ia/2018/ia-4860.pdf 803-00243 2018-02-27 Order Approving Application(s) Order Janney Montgomery Scott, LLC N/A IA-4861 https://www.sec.gov/litigation/admin/2018/ia-4861.pdf 3-18380 2018-02-28 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Lumiere, Stefan N/A IA-4862 https://www.sec.gov/litigation/admin/2018/33-10462.pdf 33-10462 34-82792 3-18381 2018-02-28 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Ameriprise Financial Services, Inc. N/A IA-4863 https://www.sec.gov/litigation/admin/2018/ia-4863.pdf 3-18385 2018-03-05 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Financial Fiduciaries, LLC Batterman, Thomas Esq. N/A IA-4864 https://www.sec.gov/litigation/admin/2018/34-82816.pdf 34-82816 IC-33039 3-18387 2018-03-06 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order Valor Capital Asset Management, LLC Magee, Robert Mark N/A IA-4865 https://www.sec.gov/litigation/admin/2018/34-82818.pdf 34-82818 3-18389 2018-03-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Kohli , Peter R. N/A IA-4866 https://www.sec.gov/litigation/admin/2018/ia-4866.pdf 3-18390 2018-03-07 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order DMS Advisors, Inc. N/A IA-4867 https://www.sec.gov/rules/other/2018/ia-4867.pdf 801-29339 801-31049 801-34345 801-55033 801-55695 801-57335 801-60497 801-60501 801-62656 801-62767 801-64854 801-65392 801-65693 801-65699 801-67444 801-68936 801-69479 801-69850 801-70243 801-71630 801-72439 801-72722 801-74225 801-77991 801-78030 801-78054 801-78063 801-78432 801-78707 801-78912 801-79102 801-79138 801-79241 801-79574 801-79639 801-80111 801-80121 801-80126 801-80237 801-80333 801-80532 801-80773 801-80849 801-80870 801-96242 801-100366 801-106665 801-106838 801-106839 801-107261 801-108797 801-110135 2018-03-08 Order Cancelling Registration Order SUMMIT WEALTH MANAGEMENT MFC ASSET MANAGEMENT PUBLIC COMPANY LIMITED HUBER JOAN MACMONNIES FFR ADVISORY LLC HARTLAND ASSET MANAGEMENT CORP PAN GEO INVESTMENT INC GREENWICH ASSET MANAGEMENT GROUP, LLC UA, LLC PREMIERSOURCE LLC STUX CAPITAL MANAGEMENT, LLC CORESTATES CAPITAL ADVISORS, LLC MCCONNELL ASSET MANAGEMENT LLC TITAN CAPITAL GROUP III, LP BINJAI HILL ASSET MANAGEMENT PTE LTD. 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N/A IC-33055 https://www.sec.gov/rules/icdereg/2018/ic-33055.pdf 811-08270 2018-03-22 Order of Deregistration Order RANIER INVESTMENT MANAGEMENT MUTUAL FUNDS N/A IC-33056 https://www.sec.gov/rules/icdereg/2018/ic-33056.pdf 811-00769 2018-03-22 Order of Deregistration Order PLIFUNDS INVESTMENT FUNDS N/A ID-1230 https://www.sec.gov/alj/aljdec/2018/id1230jeg.pdf 3-17945 2018-01-29 Initial Decision of Default Notice Prospect Ventures, Inc. StarNet Pacific Co. Ltd. Sunburst Acquisitions VI, Inc. N/A ID-1231 https://www.sec.gov/alj/aljdec/2018/id1231cff.pdf 3-17621 2018-01-30 Initial Decision Making Findings and Imposing Sanction By Default Notice Stitt, Andrew N/A ID-1232 https://www.sec.gov/alj/aljdec/2018/id1232cff.pdf 500-1 3-18327 2018-02-02 Initial Decision of Default Notice Abakan, Inc. Car Monkeys Group CN Dragon Corp. Western Graphite, Inc. N/A ID-1233 https://www.sec.gov/alj/aljdec/2018/id1233bpm.pdf 3-17959 2018-02-06 Initial Decision of Default Notice Reyftmann, Gregory N/A ID-1234 https://www.sec.gov/alj/aljdec/2018/id1234cff.pdf 500-1 3-18336 2018-02-21 Initial Decision Making Findings and Revoking Registration by Default Notice Ambicom Holdings, Inc. Arrow Cars International, Inc. CDEX, Inc. EFactor Group Corp. iCoreConnect, Inc. a/k/a iMedicor, Inc. or Vemics, Inc. N/A ID-1235 https://www.sec.gov/alj/aljdec/2018/id1235jsp.pdf 3-18152 2018-02-21 Initial Decision of Default as to China Precision Steel, Inc. Notice China Precision Steel, Inc. N/A ID-1236 https://www.sec.gov/alj/aljdec/2018/id1236jeg.pdf 500-1 3-18326 2018-02-22 Initial Decision of Default as to American Nano Silicon Technologies, Inc. Notice American Nano Silicon Technologies, Inc. N/A ID-1237 https://www.sec.gov/alj/aljdec/2018/id1237cff.pdf 500-1 3-18327 2018-02-26 Initial Decision/Making Findings and Revoking Registrations Notice Abakan, Inc. Car Monkeys Group CN Dragon Corp. Western Graphite, Inc. N/A ID-1238 https://www.sec.gov/alj/aljdec/2018/id1238cff.pdf 3-18229 2018-02-27 Initial Decision Making Findings and Imposing Sanction by Default Notice Hallas, Demitrios N/A ID-1239 https://www.sec.gov/alj/aljdec/2018/id1239jeg.pdf 3-17907 2018-03-01 Initial Decision Notice Zufelt, Anthony C. N/A ID-1240 https://www.sec.gov/alj/aljdec/2018/id1240jsp.pdf 500-1 3-18333 2018-03-06 Initial Decision of Default as to Three Respondents Notice China Education Alliance, Inc. DoMark International, Inc. East Coast Diversified Corp. N/A ID-1241 https://www.sec.gov/alj/aljdec/2018/id1241bpm.pdf 3-18339 2018-03-07 Initial Decision on Default as to Three Respondents Notice Altona Resources, Inc. APEX 10, Inc. Clone Algo, Inc. N/A ID-1242 https://www.sec.gov/alj/aljdec/2018/id1242ce.pdf 3-18209 2018-03-12 Initial Decision Notice Feng, Hui Law Offices of Feng & Associates, P.C. N/A ID-1243 https://www.sec.gov/alj/aljdec/2018/id1243jsp.pdf 3-18252 2018-03-12 Initial Decision Notice Vitale, Joseph a/k/a Donovan Kelly A. N/A ID-1244 https://www.sec.gov/alj/aljdec/2018/id1244cff.pdf 3-18360 2018-03-16 Initial Decision Making Findings and Revoking Registrations by Default Notice California Mines Corp. Cindisue Mining Corp. Dune Energy, Inc. N/A ID-1245 https://www.sec.gov/alj/aljdec/2018/id1245bpm.pdf 3-18353 2018-03-19 Initial Decision on Default as to Three Respondents Notice Canwealth Minerals Corp. Cubed, Inc. Enviro Cleanse, Inc. N/A ID-1246 https://www.sec.gov/alj/aljdec/2018/id1246jeg.pdf 3-18276 2018-03-23 Initial Decision of Default Other Baccam a/k/a Khanh Sengpraseuth, Patric Ken N/A LR-24023 https://www.sec.gov/litigation/litreleases/2018/lr24023.htm 16-CV-2733 2018-01-03 Lit Release Bassily, Khaled N/A LR-24024 https://www.sec.gov/litigation/litreleases/2018/lr24024.htm 1:17-CV-24682-JLK 2018-01-05 Lit Release Naccarato, Owen Esq. N/A LR-24025 https://www.sec.gov/litigation/litreleases/2018/lr24025.htm 3:18-CV-00001 2018-01-05 Lit Release Malachi Financial Products, Inc. Bingham, Porter B. N/A LR-24026 https://www.sec.gov/litigation/litreleases/2018/lr24026.htm 17-CV-62345 2018-01-08 Lit Release Rubbo , Joseph A. Monaco, Angela Beckcom Rubbo N/A LR-24027 https://www.sec.gov/litigation/litreleases/2018/lr24027.htm 3:16-CV-00270 2018-01-09 Lit Release Kaplan, David B. Esq. Synchronized Organizational Solutions, LLC Synchronized Organizational Solutions International, Ltd. Manna International Enterprises, Inc. Kaplan, Lisa M. Water-Walking Foundation, Inc. (The) Manna Investments, LLC N/A LR-24028 https://www.sec.gov/litigation/litreleases/2018/lr24028.htm 3:18-CV-00055 2018-01-11 Lit Release Haddad, David Trafalgar Square Risk Management , LLC New England RE, LLC N/A LR-24029 https://www.sec.gov/litigation/litreleases/2018/lr24029.htm 17-CV-2251 17-CR-739 2018-01-22 Lit Release Glick, Daniel H. N/A LR-24030 https://www.sec.gov/litigation/litreleases/2018/lr24030.htm 16-CV-1417 2018-01-22 Lit Release The Ticket Reserve, Inc. (a/k/a Forward Market Media, Inc. and TeamTix) Harmon, Richard M. Kaptrosky, John A. N/A LR-24031 https://www.sec.gov/litigation/litreleases/2018/lr24031.htm 8:18-CV-00047 2018-01-22 Lit Release Vazquez, Daniel B. Sr. Fluetsch , Gilbert Hoplon Financial Group N/A LR-24032 https://www.sec.gov/litigation/litreleases/2018/lr24032.htm 17-CV-24624 2018-01-24 Lit Release Woodbridge Group of Companies, LLC N/A LR-24033 https://www.sec.gov/litigation/litreleases/2018/lr24033.htm 2:18-CV-00131 2018-01-24 Lit Release Quicksilver Stock Transfer, LLC Shinderman, Alan N/A LR-24034 https://www.sec.gov/litigation/litreleases/2018/lr24034.htm 08-CV-2351 2018-01-25 Lit Release Landess, Jason Sonfield, Robert Brewer, Roger Lane, Marc N/A LR-24035 https://www.sec.gov/litigation/litreleases/2018/lr24035.htm 18-CV-00701 2018-01-26 Lit Release Certain Unknown Traders in the Securities of Bioverative, Inc. N/A LR-24036 https://www.sec.gov/litigation/litreleases/2018/lr24036.htm 1:09-361 2018-01-30 Lit Release Dynkowski, Pawel P. N/A LR-24037 https://www.sec.gov/litigation/litreleases/2018/lr24037.htm 18-CV-10186 2018-01-31 Lit Release Polese, James Peterson, Cornelius "Cory" N/A LR-24038 https://www.sec.gov/litigation/litreleases/2018/lr24038.htm 18-CV-942 2018-02-02 Lit Release Genovese, Nicholas Willow Creek Investments, LP Willow Creek Advisors, LLC N/A LR-24039 https://www.sec.gov/litigation/litreleases/2018/lr24039.htm 1:10-CV-11841 2018-02-02 Lit Release Karlis, Craig N/A LR-24040 https://www.sec.gov/litigation/litreleases/2018/lr24040.htm 1:17-MC-03194 2018-02-02 Lit Release Simeo, Tom N/A LR-24041 https://www.sec.gov/litigation/litreleases/2018/lr24041.htm 2:17-CV-432 2018-02-02 Lit Release Walton, Robert Jr. N/A LR-24042 https://www.sec.gov/litigation/litreleases/2018/lr24042.htm 18-CV-1006 2018-02-08 Lit Release American Bondholders Foundation, LLC N/A LR-24043 https://www.sec.gov/litigation/litreleases/2018/lr24043.htm 12-CV-02767 2018-02-12 Lit Release Lunn, Geoffrey H. N/A LR-24044 https://www.sec.gov/litigation/litreleases/2018/lr24044.htm 18-CIV-3:18-CV-00226 2018-02-12 Lit Release LaVelle, Todd N/A LR-24045 https://www.sec.gov/litigation/litreleases/2018/lr24045.htm 1:18-CV-650 2018-02-13 Lit Release Batchelor, Timothy S. N/A LR-24046 https://www.sec.gov/litigation/litreleases/2018/lr24046.htm AAER-3921 16-CIV-7003 2018-02-13 Lit Release Block, Brian S. CPA N/A LR-24047 https://www.sec.gov/litigation/litreleases/2018/lr24047.htm 17-MISC-291 2018-02-14 Lit Release LeGall, Terrence N/A LR-24048 https://www.sec.gov/litigation/litreleases/2018/lr24048.htm 17-CV-10707 3-18260 2018-02-14 Lit Release Amell, Kevin J. N/A LR-24049 https://www.sec.gov/litigation/litreleases/2018/lr24049.htm 10-CV-1685 2018-02-15 Lit Release Southridge Capital Management LLC Southridge Advisors LLC Hicks, Stephen M. N/A LR-24050 https://www.sec.gov/litigation/litreleases/2018/lr24050.htm 3:12-CV-00700 2018-02-15 Lit Release Commonwealth Advisors, Inc. Morales, Walter A. N/A LR-24051 https://www.sec.gov/litigation/litreleases/2018/lr24051.htm AAER-3923 2018-02-16 Lit Release Perlstein, Sharone Swartz, Aric Yerusalem Esq. Yaron, Hadas Miriam N/A LR-24052 https://www.sec.gov/litigation/litreleases/2018/lr24052.htm 15-CV-10050 2018-02-16 Lit Release Thibeault, Shawn N/A LR-24053 https://www.sec.gov/litigation/litreleases/2018/lr24053.htm 2018-02-20 Lit Release McPhail, Eric J. N/A LR-24054 https://www.sec.gov/litigation/litreleases/2018/lr24054.htm 8:18-CV-00293 2018-02-21 Lit Release Strong Investment Management Bronson, Joseph B. Engebretson, John B. N/A LR-24055 https://www.sec.gov/litigation/litreleases/2018/lr24055.htm 8:18-CV-00323 2018-02-26 Lit Release Dedicated Sound and Audio, Inc Ventre, Steven Lovy, Eric Choice Equity N/A LR-24056 https://www.sec.gov/litigation/litreleases/2018/lr24056.htm 2018-02-27 Lit Release Xie, Yang N/A LR-24057 https://www.sec.gov/litigation/litreleases/2018/lr24057.htm 4:18-CV-00129 2018-02-28 Lit Release AmeraTex Energy, Inc. Lewis Oil Corporation Lewis Oil Company Lewis, Thomas Fort, William Fox, Damon Bull, Brian N/A LR-24058 https://www.sec.gov/litigation/litreleases/2018/lr24058.htm 1:18-CV-00472 500-1 2018-02-28 Lit Release Analytica Bio-Energy Corp. Murdock, Douglas G. Brasil Neto, Luiz Octavio N/A LR-24059 https://www.sec.gov/litigation/litreleases/2018/lr24059.htm 2:18-CV-01298 2018-03-01 Lit Release Genova, Leonard N/A LR-24060 https://www.sec.gov/litigation/litreleases/2018/lr24060.htm 18-CV-01677 2018-03-01 Lit Release Muehler, Steven J. Altavista Capital Markets, LLC Altavista Private Client, LLC Altavista Securities, LLC Muehler, Claudia M. Rahimi, Koorosh "Danny" N/A LR-24061 https://www.sec.gov/litigation/litreleases/2018/lr24061.htm 16 CIV. 4513 2018-03-05 Lit Release Lumiere, Stefan N/A LR-24062 https://www.sec.gov/litigation/litreleases/2018/lr24062.htm 1:16-CV-10607 2018-03-05 Lit Release/Other Ha-Ngoc, Tuan Slichenmyer, William MD N/A LR-24063 https://www.sec.gov/litigation/litreleases/2018/lr24063.htm 11-CV-12116 2018-03-05 Lit Release Henderson, Edward N/A LR-24064 https://www.sec.gov/litigation/litreleases/2018/lr24064.htm 2:18-CV-00155-BSJ 2018-03-05 Lit Release Jersey Consulting LLC Tager, Marc Andrew Gagnier , Suzanne Aileen Gross, Kenneth Stephen Lebarton, Jeffrey Rowland Shoucair, Jonathan Edward Vitolo, Jason Mangum , Matthew Earl Freitas, Matthew Jacob Premier Marketing Solutions, Inc. Equity First Properties Inc. Gross , Roxane Marie Shoucair, Christine L. N/A LR-24065 https://www.sec.gov/litigation/litreleases/2018/lr24065.htm 3:18-CV-00386 2018-03-08 Lit Release Morano, Robert M. N/A LR-24066 https://www.sec.gov/litigation/litreleases/2018/lr24066.htm 1:18-CV-00529 2018-03-08 Lit Release Friedland, Jeffrey Owen Global Corporate Strategies LLC Intiva Pharma, LLC Friedland, Kathy B. Lane 6552 LLC Aspen Upper Ranch LLC Assurance Management, LLC Jeffrey and Kathy Friedland Irrevocable Trust N/A LR-24067 https://www.sec.gov/litigation/litreleases/2018/lr24067.htm 2:18-CV-01317 2:18-CV-01316 2018-03-16 Lit Release Beaufort Securities Ltd. Kyriacou, Peter Mancino, Dennis Hirschy, William T. TJM Investments Inc. DJK Investments 10 Inc. WT Consulting Group LLC N/A LR-24068 https://www.sec.gov/litigation/litreleases/2018/lr24068.htm 2018-03-19 Lit Release Americrude, Inc. Akbar, Shezad a/k/a Tony Ackerman Waite, Daniel N/A LR-24069 https://www.sec.gov/litigation/litreleases/2018/lr24069.htm 5:18-CV-01602 5:18-CV-01603 2018-03-19 Lit Release Holmes, Elizabeth A. Theranos, Inc. Balwani, Ramesh N/A LR-24070 https://www.sec.gov/litigation/litreleases/2018/lr24070.htm 3:14-CV-05844 2018-03-19 Lit Release Metro, Steven N/A LR-24071 https://www.sec.gov/litigation/litreleases/2018/lr24071.htm 18-CV-942 2018-03-21 Lit Release Genovese, Nicholas Willow Creek Investments, LP Willow Creek Advisors, LLC N/A LR-24072 https://www.sec.gov/litigation/litreleases/2018/lr24072.htm 2018-03-21 Lit Release Revolutions Medical Corporation Wheet, Rondald L. N/A LR-24073 https://www.sec.gov/litigation/litreleases/2018/lr24073.htm 1:18-CV-01069-CAP 2018-03-22 Lit Release Ying, Jun N/A LR-24074 https://www.sec.gov/litigation/litreleases/2018/lr24074.htm 18-CV-1006 (N.D. ILL. FILED FEB. 8, 2018) 2018-03-22 Lit Release American Bondholders Foundation LLC N/A LR-24075 https://www.sec.gov/litigation/litreleases/2018/lr24075.htm 1:17-CV-03788 2018-03-22 Lit Release Murray, Robert W. N/A LR-24076 https://www.sec.gov/litigation/litreleases/2018/lr24076.htm 2:18-CV-00616-MCE-CMK (E.D. CALIF. FILED MARCH 22, 2018) 2018-03-22 Lit Release Preston, Caleb Preston, Charles McKinley Mortgage Co. LLC Preston, Tobias N/A LR-24077 https://www.sec.gov/litigation/litreleases/2018/lr24077.htm 14-CV-14692 (D. MASS. MARCH 22, 2018) 2018-03-22 Lit Release Present, Howard N/A LR-24078 https://www.sec.gov/litigation/litreleases/2018/lr24078.htm 2018-03-23 Lit Release BitFunder Montroll , Jon E. N/A LR-24079 https://www.sec.gov/litigation/litreleases/2018/lr24079.htm 2018-03-23 Lit Release PlexCorps a/k/a and d/b/a PlexCoin and SidePay.ca Lacroix, Dominic Paradis-Royer, Sabina N/A LR-24080 https://www.sec.gov/litigation/litreleases/2018/lr24080.htm 2018-03-23 Lit Release Spark Trading Group, LLC Shah, Niket S. N/A PA-53 https://www.sec.gov/rules/other/2018/pa-53.pdf S7-01-18 2018-02-09 System of Records/Notice of new and modified system of records Notice Privacy Act; Add SEC-68, SEC-69, SEC-70; Modify SEC-31, SEC 39 http://www.federalregister.gov/citation/83-FR-6892 83-FR-6892 PA-54 https://www.sec.gov/rules/other/2018/pa-54.pdf S7-02-18 2018-02-09 System of Records/Rescindment of System of Records Notice Notice Privacy Act; Rescind SEC-12, SEC-21, SEC-27, SEC-01 thru 11, SEC-18, SEC-20, SEC-30, SEC-32, SEC-37, SEC-40, SEC-49, SEC-50, SEC-23, SEC-25, SEC-34, SEC-53, SEC-59, SEC-22, SEC-26, SEC-35, SEC-44, SEC-47 http://www.federalregister.gov/citation/83-FR-6905 83-FR-6905 AAER-3917 https://www.sec.gov/litigation/admin/2018/34-82554.pdf 34-82554 3-18344 2018-01-19 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Cary, Justin Samuel CPA N/A AAER-3918 https://www.sec.gov/litigation/admin/2018/34-82556.pdf 34-82556 3-18346 2018-01-22 Order Instituting Administrative and Cease-and-Desist Proceedings and Notice of Hearing Order Holder, Cynthia CPA Wada, Jeffrey CPA Middendorf, David CPA Whittle, Thomas CPA Britt, David CPA N/A AAER-3919 https://www.sec.gov/litigation/admin/2018/34-82557.pdf 34-82557 3-18347 2018-01-22 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order/and Notice of Hearing Order Sweet, Brian CPA N/A AAER-3920 https://www.sec.gov/litigation/admin/2018/34-82710.pdf 34-82710 3-18372 2018-02-14 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Block, Brian S. CPA N/A AAER-3921 https://www.sec.gov/litigation/litreleases/2018/lr24046.htm LR-24046 16-CIV-7003 2018-02-13 Lit Release Block, Brian S. CPA N/A AAER-3922 https://www.sec.gov/litigation/admin/2018/34-82736.pdf 34-82736 3-18374 2018-02-16 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Baer, Simcha CPA N/A AAER-3923 https://www.sec.gov/litigation/litreleases/2018/lr24051.htm LR-24051 2018-02-16 Lit Release Perlstein, Sharone Swartz, Aric Yerusalem Esq. Yaron, Hadas Miriam N/A AAER-3924 https://www.sec.gov/litigation/admin/2018/34-82744.pdf 34-82744 3-18376 2018-02-21 Order Instituting Administrative Proceedings, Making Findings, and Imposing Remedial Sanctions Order Weinberg & Baer LLC Weinberg, Alan CPA N/A AAER-3925 https://www.sec.gov/litigation/admin/2018/34-82849.pdf 34-82849 3-18397 2018-03-09 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order/and Imposing a Civil Money Penalty Order Elbit Imaging Ltd. N/A AAER-3926 https://www.sec.gov/litigation/admin/2018/34-82859.pdf 34-82859 3-18399 2018-03-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order BDO Canada LLP N/A AAER-3927 https://www.sec.gov/litigation/admin/2018/34-82860.pdf 34-82860 3-18400 2018-03-13 Order Instituting Administrative and Cease-and-Desist Proceedings, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order Order KPMG Inc. N/A AAER-3928 https://www.sec.gov/litigation/admin/2018/34-82861.pdf 34-82861 3-18401 2018-03-13 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order Deloitte & Touche Chartered Accountants N/A AAER-3929 https://www.sec.gov/litigation/admin/2018/34-82862.pdf 34-82862 3-18402 2018-03-13 Order Instituting Cease-and-Desist Proceedings Making Findings and Imposing a Cease-and-Desist Order Order KPMG N/A