Order Making Findings and Imposing Remedial Sanctions and a Cease-And-Desist Order/and Ordering Additional Proceedings

2018-04-18 118 19 2018-03-19 2018-03-23 Securities Act of 1933 33 10471 10471 Securities Exchange Act of 1934 34 82897 82944 Administrative Proceedings AP 5653 5657 Investment Company Act of 1940 IC 33050 33056 Initial Decisions (ALJ) ID 1245 1246 Litigation Releases LR 24068 24080 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 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 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 IC-33050 https://www.sec.gov/litigation/admin/2018/33-10471.pdf 33-10471 34-82929 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 IC-33051 https://www.sec.gov/rules/ic/2018/ic-33051.pdf 812-14766 2018-03-22 Order Approving Application(s) Order Bain Capital Speciality Finance, Inc. et al. N/A IC-33052 https://www.sec.gov/rules/icdereg/2018/ic-33052.pdf 811-01066 2018-03-22 Order of Deregistration Order MIDWEST INVESTORS PROGRAM N/A IC-33053 https://www.sec.gov/rules/icdereg/2018/ic-33053.pdf 811-09813 2018-03-22 Order of Deregistration Order SCOUT FUNDS N/A IC-33054 https://www.sec.gov/rules/icdereg/2018/ic-33054.pdf 811-02575 2018-03-22 Order of Deregistration Order MORGAN STANLEY LIQUID ASSET FUND INC. 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-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-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. 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