Administrative Proceeding File No. 3-14069

Respondents

Gautney, Timothy M. Bellia, Robert A., Jr. Blum, Erik S.


Release Date	Release Number	Other Release Numbers	Name of Document
June 1, 2016	34-77966		Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars
Aug. 17, 2011	34-65151		ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS PURSUANT TO SECTION 15(b)(6) OF THE SECURITIES EXCHANGE ACT OF 1934 AS TO ERIK S. BLUM
Aug. 12, 2011	34-65124		Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 as to Robert A. Bellia, Jr.
March 1, 2011	34-64138	IA-3181	Corrected Order Granting Motion to Discontinue Proceedings Against Timothy M. Gautney Without Prejudice
Sept. 27, 2010	34-62996		Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing


Release Date	Release Number	Other Release Numbers	Name of Document
March 9, 2016			Request to Vacate Bar(s) From Association with Nationally Recognized Statistical Rating Organizations And/Or Municipal Advisors in Light of Koch v. SEC
Sept. 27, 2010			Order Instituting Administrative Proceedings Pursuant to Section 15(b)(6) of the Securities Exchange Act of 1934 and Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Aug. 17, 2011			ORDER MAKING FINDINGS AND IMPOSING REMEDIAL SANCTIONS PURSUANT TO SECTION 15(b)(6) OF THE SECURITIES EXCHANGE ACT OF 1934 AS TO ERIK S. BLUM
March 1, 2011			Corrected Order Granting Motion to Discontinue Proceedings Against Timothy M. Gautney Without Prejudice
June 1, 2016			Order Vacating Nationally Recognized Statistical Rating Organization and Municipal Advisor Bars