Administrative Proceeding File No. 3-16824

Respondents

Paez, Daniel


Release Date	Release Number	Other Release Numbers	Name of Document
March 30, 2016	990		Initial Decision
Nov. 23, 2015	AP-3342		Order Following Prehearing Conference
Nov. 9, 2015	AP-3303		Scheduling Order
Oct. 23, 2015	AP-3253		Scheduling Order
Oct. 2, 2015	AP-3193		Order Postponing Hearing and Scheduling Prehearing Conference
Sept. 22, 2015	AP-3158		Order Scheduling Hearing and Designating Presiding Judge
Sept. 21, 2015	34-75954	IA-4200	Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing


Release Date	Release Number	Other Release Numbers	Name of Document
Oct. 19, 2015			Respondent's Motion for Adjournment and Postponement of Hearing
Oct. 22, 2015			Division of Enforcement's Report of Initial Prehearing Conference
Dec. 10, 2015			Division of Enforcement's Motion for Summary Disposition Against Respondent and Supporting Memorandum of Law
March 30, 2016			Initial Decision
Sept. 21, 2015			Order Instituting Administrative Proceedings Pursuant to Section 15(b) of the Securities Exchange Act of 1934 and 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
March 31, 2016			Notice That Initial Decision Has Become Final
Sept. 22, 2015			Order Scheduling Hearing and Designating Presiding Judge
Oct. 2, 2015			Order Postponing Hearing and Scheduling Prehearing Conference
Oct. 23, 2015			Scheduling Order
Nov. 9, 2015			Scheduling Order
Nov. 23, 2015			Order Following Prehearing Conference