Administrative Proceeding File No. 3-15382

Respondents

Cohen, Steven A.

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Jan. 8, 2016	Release Number:IA-4307	Other Release Numbers:	Name of Document: Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Release Date: Jan. 4, 2016	Release Number:AP-3456	Other Release Numbers:	Name of Document: Order Extending Deadline
Release Date: Dec. 21, 2015	Release Number:AP-3426	Other Release Numbers:	Name of Document: Order Following Prehearing Conference
Release Date: Dec. 18, 2015	Release Number:AP-3415	Other Release Numbers:	Name of Document: Order Postponing Filing
Release Date: Dec. 2, 2015	Release Number:AP-3361	Other Release Numbers:	Name of Document: Order Lifting Stay and Scheduling Prehearing Conference
Release Date: Aug. 28, 2015	Release Number:AP-3075	Other Release Numbers:	Name of Document: Order Continuing Stay
Release Date: June 1, 2015	Release Number:AP-2748	Other Release Numbers:	Name of Document: Order Continuing Stay
Release Date: March 3, 2015	Release Number:AP-2374	Other Release Numbers:	Name of Document: Order Continuing Stay
Release Date: Nov. 28, 2014	Release Number:AP-2060	Other Release Numbers:	Name of Document: Order Continuing Stay
Release Date: Sept. 2, 2014	Release Number:AP-1749	Other Release Numbers:	Name of Document: Order Continuing Stay
Release Date: May 29, 2014	Release Number:AP-1472	Other Release Numbers:	Name of Document: Order Continuing Stay
Release Date: March 4, 2014	Release Number:AP-1277	Other Release Numbers:	Name of Document: Order Continuing Stay
Release Date: Nov. 29, 2013	Release Number:AP-1076	Other Release Numbers:	Name of Document: Notice of Status of Related Proceedings
Release Date: Aug. 8, 2013	Release Number:AP-785	Other Release Numbers:	Name of Document: Order on U.S. Attorneys Application to Intervene and Motion to Stay Proceeding
Release Date: July 19, 2013	Release Number:IA-3634	Other Release Numbers:	Name of Document: Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Aug. 26, 2014	Release Number:	Other Release Numbers:	Name of Document:Letter of 8/26/14 to CALJ Murray from U.S. Attorney's Office of Southern District of NY updating its request for continued stay of proceedings; USAO will further update by or before 11/26, if Newman/Chiasson appeal is decided by then
Release Date: May 28, 2014	Release Number:	Other Release Numbers:	Name of Document:Letter of 5/28/14 to CALJ Murray from U.S. Attorney's Office of Southern District of NY requests continued stay of proceedings; will update on whether stay remains warranted on or before 8/26/14, if Newman/Chiasson appeal is decided by that time
Release Date: Nov. 25, 2014	Release Number:	Other Release Numbers:	Name of Document:Letter of 11/25 to CALJ Murray from U.S. Atty's Office of S.D. of NY Updating Its Request for Continued Stay of Proceedings
Release Date: Dec. 16, 2014	Release Number:	Other Release Numbers:	Name of Document:Letter of 12/13 to Calj Murray from U.S. Atty's Office of S.D. of Ny Updating Its Request for Continued Stay of Proceedings; USAo Will Further Update On or Before 2/26/15 as Previously Directed
Release Date: Feb. 27, 2015	Release Number:	Other Release Numbers:	Name of Document:Letter of 2/26/15 to Calj Murray from U.S. Atty's Office of S.D. of Ny Updating Its Request for Continued Stay of Proceedings; USAo Will Further Update On or Before 5/27/15 as Previously Directed
Release Date: Nov. 30, 2015	Release Number:	Other Release Numbers:	Name of Document:Letter of 11/30/15 to CALJ from Asst U.S. Atty Devlin-Brown Advising That the U.S. Atty No Longer Seeks a Stay for This Proceeding
Release Date: Dec. 21, 2015	Release Number:	Other Release Numbers:	Name of Document:Joint Statement
Release Date: July 19, 2013	Release Number:	Other Release Numbers:	Name of Document:Order Instituting Administrative Proceedings Pursuant to Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing
Release Date: Jan. 8, 2016	Release Number:	Other Release Numbers:	Name of Document:Order Making Findings and Imposing Remedial Sanctions Pursuant to Section 203(f) of the Investment Advisers Act of 1940
Release Date: Aug. 8, 2013	Release Number:	Other Release Numbers:	Name of Document:Order on U.S. Attorneys Application to Intervene and Motion to Stay Proceeding
Release Date: Dec. 2, 2013	Release Number:	Other Release Numbers:	Name of Document:Notice of Status of Related Proceedings
Release Date: March 4, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Continuing Stay
Release Date: May 29, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Continuing Stay
Release Date: Sept. 2, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Continuing Stay
Release Date: Nov. 28, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Continuing Stay
Release Date: March 3, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Continuing Stay
Release Date: June 1, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Continuing Stay
Release Date: Aug. 28, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Continuing Stay
Release Date: Dec. 2, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Lifting Stay and Scheduling Prehearing Conference
Release Date: Dec. 18, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Postponing Filing
Release Date: Dec. 21, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Following Prehearing Conference
Release Date: Jan. 4, 2016	Release Number:	Other Release Numbers:	Name of Document:Order Extending Deadline