Administrative Proceeding File No. 3-19510

Respondents

Hu, Albert K.


Release Date	Release Number	Name of Document
Dec. 6, 2023	IA-6497	Opinion of the Commission
April 11, 2023	IA-6278	Order Requesting Additional Briefing and Materials
Aug. 3, 2021	IA-5814	Protective Order
July 1, 2021	IA-5763	Order Granting an Extension of Time
June 16, 2021	IA-5754	Order Setting Briefing Schedule
April 12, 2021	IA-5717	Order Regarding Prehearing Conference
Oct. 11, 2019	IA-5403	Extension Order
Sept. 24, 2019	IA-5365	Order Instituting Administrative Proceedings Pursuant to Section Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing


Release Date	Release Number	Other Release Numbers	Name of Document
Jan. 9, 2020			Answer
May 10, 2021			Joint Prehearing Conference Statement
Sept. 15, 2021			Division of Enforcement's Motion for Summary Disposition
Sept. 15, 2021			Request for Official Notice in Support of Division Motion for Summary Disposition
Oct. 15, 2021			Respondent’s Opposition to Division’s Motion for Summary Judgment
Oct. 29, 2021			Division of Enforcement's Reply ISO Summary Disposition
Sept. 24, 2019			Order Instituting Administrative Proceedings Pursuant to Section Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Oct. 11, 2019			Extension Order
April 12, 2021			Order Regarding Prehearing Conference
June 16, 2021			Order Setting Briefing Schedule
July 1, 2021			Order Granting an Extension of Time
Aug. 3, 2021			Protective Order
May 11, 2023			Division of Enforcement's Supplemental Brief ISO Summary Disposition
June 12, 2023			Respondent’s Supplemental Brief
Dec. 6, 2023			Opinion of the Commission