Administrative Proceeding File No. 3-16937

Respondents

Murray, James Michael


Release Date	Release Number	Name of Document
March 6, 2017	IA-4658	Order Dismissing Review Proceeding and Notice of Finality
Nov. 28, 2016	IA-4574	Order Extending Time to File Brief in Support of Petition for Review
Oct. 24, 2016	IA-4559	Order Granting Petition for Review and Scheduling Briefs
Aug. 22, 2016	AP-4078	Order Denying Respondent's Motion to Correct Manifest Error
May 10, 2016	1008	Initial Decision
Dec. 4, 2015	AP-3371	Order Following Prehearing Conference
Nov. 17, 2015	AP-3323	Order Postponing Hearing and Scheduling Prehearing Conference
Nov. 3, 2015	AP-3284	Order Scheduling Hearing and Designating Presiding Judge
Nov. 2, 2015	IA-4252	Order Instituting Administrative Proceedings Pursuant to 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 18, 2016			Respondent's Answer to Division's Motion for Summary Disposition
March 25, 2016			Division's Reply in Support of its Motion for Summary Disposition Against Respondent
Jan. 22, 2016			Division's Motion for Summary Disposition Against Respondent and Supporting Memorandum of Law
Jan. 22, 2016			Declaration of Jason M. Habermeyer in Support of Division's Motion for Summary Disposition Against Respondent
Oct. 3, 2016			Respondent's Motion for Review of Initial Decision 5-10-16
Oct. 3, 2016			Division's Response to Respondent's Motion for Review of Initial Decision 5-10-16
Jan. 13, 2017			Division's Motion to Dismiss Petition for Review of Initial Decision
Jan. 13, 2017			Declaration of Judith L. Anderson in Support of Division's Motion to Dismiss Petition for Review of Initial Decision
May 10, 2016			Initial Decision
Nov. 2, 2015			Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Nov. 28, 2016			Order Extending Time to File Brief in Support of Petition for Review
Nov. 3, 2015			Order Scheduling Hearing and Designating Presiding Judge
Nov. 17, 2015			Order Postponing Hearing and Scheduling Prehearing Conference
Dec. 4, 2015			Order Following Prehearing Conference
Aug. 22, 2016			Order Denying Respondent's Motion to Correct Manifest Error
Oct. 24, 2016			Order Granting Petition for Review and Scheduling Briefs
March 6, 2017			Order Dismissing Review Proceeding and Notice of Finality