Administrative Proceeding File No. 3-16706

Respondents

Uppal, Sachin K.


Release Date	Release Number	Name of Document
Aug. 4, 2023	IA-6364	Order Requesting Additional Briefing
Dec. 1, 2015	920	Initial Decision
Sept. 22, 2015	AP-3159	Order Extending Answer Due Date
Sept. 3, 2015	AP-3093	Order to Show Cause and Directing Division to Respond to Respondent's Motion
Aug. 11, 2015	AP-3029	Order Following Prehearing Conference
Aug. 6, 2015	AP-3015	Order Postponing Hearing and Scheduling Prehearing Conference
July 29, 2015	AP-2988	Order Scheduling Hearing and Designating Presiding Judge
July 28, 2015	IA-4149	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
Aug. 26, 2015			Respondent's Request for Extension
Sept. 10, 2015			Division of Enforcement's Response to Respondent's Motion for Extension of Time to File anAnswer
Sept. 21, 2015			Respondent's Response to ALJ's Order to Show Cause as to Why Respondents' Response Is Delayed and Not Conforming to Rules of Practice
Sept. 21, 2015			Division of Enforcement's Motion for Summary Disposition Against Respondent
Sept. 21, 2015			Division of Enforcement's Mem. of Law ISO Its Motion for Summary Disposition
Oct. 13, 2015			Respondent's Response to the OIP, with Certificate of Service
Dec. 1, 2015			Initial Decision
July 28, 2015			Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Feb. 5, 2016			Notice That Initial Decision Has Become Final
July 29, 2015			Order Scheduling Hearing and Designating Presiding Judge
Aug. 6, 2015			Order Postponing Hearing and Scheduling Prehearing Conference
Aug. 11, 2015			Order Following Prehearing Conference
Sept. 3, 2015			Order to Show Cause and Directing Division to Respond to Respondent's Motion
Sept. 22, 2015			Order Extending Answer Due Date