Administrative Proceeding File No. 3-17365

Respondents

Alison, LLC Alison, Stephen D.


Release Date	Release Number	Other Release Numbers	Name of Document
March 29, 2017	34-80335	IA-4673 IC-32582	Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanc\ tions and a Cease-and-Desist Order
March 8, 2017	AP-4661		Stay Order
Nov. 2, 2016	AP-4320		Revised Scheduling Order
Oct. 12, 2016	AP-4251		Order Designating Settlement ALJ and Scheduling Confidential Settlement Conference
Sept. 30, 2016	AP-4216		Scheduling Order
Sept. 22, 2016	AP-4188		Order Scheduling Prehearing Conference
Sept. 6, 2016	AP-4126		Order Postponing Hearing, Directing the Parties to Hold an Initial Prehearing Conference, and Extending Answer Deadline
Aug. 4, 2016	AP-4043		Order Scheduling Hearing and Designating Presiding Judge
Aug. 2, 2016	34-78457	IA-4468 IC-32202	Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940


Release Date	Release Number	Other Release Numbers	Name of Document
Aug. 25, 2016			Joint request that the Amended Rules of Practice apply to this proceeding
Sept. 1, 2016			Agreed Motion To Convert Hearing Date to Telephonic Pre-Hearing Conference & Extend Time For Filing Answer
Aug. 2, 2016			Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, and Section 9(b) of the Investment Company Act of 1940
March 29, 2017			Order Pursuant to Section 15(b) of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940 and Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanc\ tions and a Cease-and-Desist Order
Aug. 4, 2016			Order Scheduling Hearing and Designating Presiding Judge
Sept. 6, 2016			Order Postponing Hearing, Directing the Parties to Hold an Initial Prehearing Conference, and Extending Answer Deadline
Sept. 22, 2016			Order Scheduling Prehearing Conference
Sept. 30, 2016			Scheduling Order
Oct. 12, 2016			Order Designating Settlement ALJ and Scheduling Confidential Settlement Conference
Nov. 2, 2016			Revised Scheduling Order
March 8, 2017			Stay Order