Administrative Proceeding File No. 3-15826

Respondents

Kawamura, Keiko
Release Date Release Number Other Release Numbers Name of Document
33-9622
  • 34-72764
  • IA-3888
  • IC-31198
 Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
AP-1607 Order
AP-1512 Order
AP-1412 Prehearing Order
AP-1404 Postponement Order
AP-1369 Order Scheduling Hearing and Designating Presiding Judge
33-9574
  • 34-71903
  • IA-3812
  • IC-31012
 Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
Release Date Release Number Other Release Numbers Name of Document
Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 8a of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8a of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940 and Notice of Hearing
Order Scheduling Hearing and Designating Presiding Judge
Postponement Order
Prehearing Order
Order
Order

Documents