Administrative Proceeding File No. 3-14194

Respondents

Pelosi, Michael R.


Release Date	Release Number	Other Release Numbers	Name of Document
March 27, 2014	IA-3805	IC-30997	Opinion of the Commission
Jan. 5, 2012	448		Initial Decision
Oct. 24, 2011	IA-3307	IC-29841	Order Granting Extension
Sept. 28, 2011	3-14194		MOTION TO THE COMMISSION FOR EXTENSION
Jan. 14, 2011	IA-3141	IC-29569	Order Instituting Administrative And Cease-And-Desist Proceedings Pursuant To Sections 203(F) And 203(K) Of The Investment Advisers Act Of 1940 And Section 9(B) Of The Investment Company Act Of 1940


Release Date	Release Number	Other Release Numbers	Name of Document
Feb. 24, 2011			Respondent's Answer
May 27, 2011			Respondent's Pretrial Brief
May 31, 2011			Division's Prehearing Brief
Aug. 5, 2011			Respondent's Post-Hearing Brief
Aug. 8, 2011			Division's Post-Hearing Brief
Aug. 23, 2011			Respondent's Post-Hearing Reply Brief
Aug. 24, 2011			Division's Post-Hearing Reply Brief
Jan. 27, 2012			Respondent's Petition for Review of Initial Decision
April 9, 2012			Respondent's Brief in Support of Petition for Review
May 9, 2012			Division's Brief in Opposition to Respondent's Brief in Support of Petition for Review
May 25, 2012			Respondent's Reply Brief in Response to the Division's Brief in Opposition
Jan. 5, 2012			Initial Decision
Jan. 14, 2011			Order Instituting Administrative And Cease-And-Desist Proceedings Pursuant To Sections 203(F) And 203(K) Of The Investment Advisers Act Of 1940 And Section 9(B) Of The Investment Company Act Of 1940
March 27, 2014			Opinion of the Commission
Sept. 28, 2011			MOTION TO THE COMMISSION FOR EXTENSION
Oct. 24, 2011			Order Granting Extension