Administrative Proceeding File No. 3-15925

Respondents

Steinberg, Michael S.

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Nov. 24, 2015	Release Number:IA-4281	Other Release Numbers:	Name of Document: Order Dismissing Proceeding
Release Date: Jan. 27, 2015	Release Number:IA-4008	Other Release Numbers:	Name of Document: Order Postponing Briefing Schedule
Release Date: Jan. 8, 2015	Release Number:34-74014	Other Release Numbers:	Name of Document: Second Extension Order
Release Date: Dec. 22, 2014	Release Number:34-73915	Other Release Numbers:	Name of Document: Extension Order
Release Date: Nov. 26, 2014	Release Number:34-73700	Other Release Numbers:	Name of Document: Order Granting Petition for Review and Scheduling Briefs
Release Date: Oct. 14, 2014	Release Number:690	Other Release Numbers:	Name of Document: Initial Decision
Release Date: June 30, 2014	Release Number:AP-1575	Other Release Numbers:	Name of Document: Order Following Prehearing Conference
Release Date: June 20, 2014	Release Number:AP-1548	Other Release Numbers:	Name of Document: Order Postponing Hearing and Scheduling Prehearing Conference
Release Date: June 12, 2014	Release Number:AP-1516	Other Release Numbers:	Name of Document: Order Scheduling Hearing and Designating Presiding Judge
Release Date: June 11, 2014	Release Number:IA-3853	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. 27, 2014	Release Number:	Other Release Numbers:	Name of Document:Division's Reply Memorandum of Points and Authorities in Further Support of the Division's Motion for Summary Disposition Against Respondent and Declaration of Justin P. Smith
Release Date: July 25, 2014	Release Number:	Other Release Numbers:	Name of Document:Division's Motion for Summary Disposition Against Respondent w/Memorandum of Declaration (as to Justin P. Smith) in Support of the Motion
Release Date: Aug. 20, 2014	Release Number:	Other Release Numbers:	Name of Document:Respondent's Memorandum of Points and Authorities in Opposition to the Division's Motion for Summary Disposition
Release Date: Aug. 21, 2014	Release Number:	Other Release Numbers:	Name of Document:Declaration of Barry H. Berke
Release Date: Nov. 4, 2014	Release Number:	Other Release Numbers:	Name of Document:Respondent's Petition for Review.
Release Date: Dec. 19, 2014	Release Number:	Other Release Numbers:	Name of Document:Letter of 12/19/14 from Barry Berke to Se. Fields Requests Comm Stay Briefing Schedule Due to Recent 2nd Cir Ct. Decision in U.S. V. Newman and U.S. V. Newman (Chiasson) and Indicates That Div Consents to Request
Release Date: Jan. 7, 2015	Release Number:	Other Release Numbers:	Name of Document:Letter of 1/7/15 to OS from Counsel for Respondent Requesting Another 21-Day Extension of the Briefing Schedule
Release Date: Oct. 15, 2015	Release Number:	Other Release Numbers:	Name of Document:Ltr of 10/15/15 Re Repondent's Request for Postponement of the Briefing Schedule of Repondent's Petition for Review Until Final Resolution of His Criminal Appeal
Release Date: Nov. 4, 2015	Release Number:	Other Release Numbers:	Name of Document:Letter of 11/4/15 from Respondent's Counsel Re Request to Convert Respondent's Petition for Review Into a Motion to Dismiss
Release Date: Oct. 14, 2014	Release Number:	Other Release Numbers:	Name of Document:Initial Decision
Release Date: June 11, 2014	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: Dec. 22, 2014	Release Number:	Other Release Numbers:	Name of Document:Extension Order
Release Date: Jan. 8, 2015	Release Number:	Other Release Numbers:	Name of Document:Second Extension Order
Release Date: June 12, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Scheduling Hearing and Designating Presiding Judge
Release Date: June 20, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Postponing Hearing and Scheduling Prehearing Conference
Release Date: June 30, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Following Prehearing Conference
Release Date: Nov. 26, 2014	Release Number:	Other Release Numbers:	Name of Document:Order Granting Petition for Review and Scheduling Briefs
Release Date: Jan. 27, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Postponing Briefing Schedule
Release Date: Nov. 24, 2015	Release Number:	Other Release Numbers:	Name of Document:Order Dismissing Proceeding