Administrative Proceeding File No. 3-19590

Respondents

Thomas D. Conrad, Jr.


Release Date	Release Number	Other Release Numbers	Name of Document
Oct. 20, 2023	IA-6467		Opinion of the Commission
Oct. 22, 2019	IA-5404		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
Nov. 21, 2019			Answer
Dec. 6, 2019			Division of Enforcement's Motion for Summary Disposition and for Imposition of Remedial Sanctions
Jan. 6, 2020			Respondent Conrad's Opposition to Motion for Summary Disposition
Oct. 22, 2019			Order Instituting Administrative Proceedings Pursuant to Section Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing