33-8750.pdf
33-8750.pdf
(64.35 KB)
ORDER INSTITUTING
ADMINISTRATIVE AND CEASE-ANDDESIST
PROCEEDINGS, MAKING
FINDINGS, AND IMPOSING REMEDIAL
SANCTIONS AND A CEASE-AND-DESIST
ORDER PURSUANT TO SECTION 8A OF
THE SECURITIES ACT OF 1933,
SECTION 15(b) OF THE SECURITIES
\
EXCHANGE ACT OF 1934, SECTIONS
203(e) AND 203(k) OF THE INVESTMENT
ADVISERS ACT OF 1940, AND SECTIONS
9(b) AND 9(f) OF THE INVESTMENT
COMPANY ACT of 1940
ADMINISTRATIVE AND CEASE-ANDDESIST
PROCEEDINGS, MAKING
FINDINGS, AND IMPOSING REMEDIAL
SANCTIONS AND A CEASE-AND-DESIST
ORDER PURSUANT TO SECTION 8A OF
THE SECURITIES ACT OF 1933,
SECTION 15(b) OF THE SECURITIES
\
EXCHANGE ACT OF 1934, SECTIONS
203(e) AND 203(k) OF THE INVESTMENT
ADVISERS ACT OF 1940, AND SECTIONS
9(b) AND 9(f) OF THE INVESTMENT
COMPANY ACT of 1940