34-55118.pdf (231.64 KB)
ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER PURSUANT TO SECTIONS 15(b) AND 21C 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