Administrative Proceeding File No. 3-16730

Respondents

Johnson, Reid S.


Release Date	Release Number	Other Release Numbers	Name of Document
April 14, 2016	34-77625	IA-4368 IC-32073	Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) 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 as to ReidÂ S.Â Johnson
Dec. 14, 2015	AP-3396		Stay Order
Nov. 13, 2015	AP-3314		Order Regarding Motion for Summary Disposition, Scheduling, and Settlement Discussions
Nov. 10, 2015	AP-3305		Order Scheduling Prehearing Conference
Oct. 30, 2015	AP-3275		Extension Order
Sept. 22, 2015	AP-3155		General Prehearing Order
Sept. 11, 2015	AP-3120		Scheduling Order
Aug. 14, 2015	AP-3040		Order Postponing Hearing and Scheduling Prehearing Conference
Aug. 7, 2015	AP-3021		Order Scheduling Hearing and Designating Presiding Judge
Aug. 6, 2015	34-75626	IA-4161 IC-31743	Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) 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
Sept. 8, 2015			Respondent's Answer, with Exhibit A
Oct. 21, 2015			Division of Enforcement's Motion for Summary Disposition Against Respondent and Memorandum of Law in Support
April 15, 2016			Administrative Summary
Aug. 6, 2015			Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 15(b) 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
April 14, 2016			Order Making Findings and Imposing Remedial Sanctions and a Cease-and-Desist Order Pursuant to Section 15(b) 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 as to ReidÂ S.Â Johnson
Aug. 7, 2015			Order Scheduling Hearing and Designating Presiding Judge
Aug. 14, 2015			Order Postponing Hearing and Scheduling Prehearing Conference
Sept. 11, 2015			Scheduling Order
Sept. 22, 2015			General Prehearing Order
Oct. 30, 2015			Extension Order
Nov. 10, 2015			Order Scheduling Prehearing Conference
Nov. 13, 2015			Order Regarding Motion for Summary Disposition, Scheduling, and Settlement Discussions
Dec. 14, 2015			Stay Order