Administrative Proceeding File No. 3-21767

Respondents

Nuveen Securities, LLC
Release Date Release Number Other Release Numbers Name of Document
34-103330 Order Denying Motions to Modify or Amend and Stay Settled Orders
34-98630 Order Instituting Administrative and Cease-and-Desist Proceedings, Pursuant to Sections 15(b) and 21C of the Securities Exchange Act of 1934, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order
Release Date Release Number Other Release Numbers Name of Document
Respondent's Nuveen Motion to Modify SEC Undertakings and Administrative Stay
Division of Enforcement's Opposition to Respondent's Nuveen Motion to Modify Ordered Undertakings and Stay Proceedings
Respondent's Nuveen Reply Brief ISO Motion to Modify Ordered Undertakings and Motion for Administrative Stay

Documents