Administrative Proceeding File No. 3-19145
Respondents
Rossi, Matthew R. SJL Capital, LLC
Docket Sheet (updated March 21, 2023)
Administrative Proceeding File No. 3-19145 Table
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Release Date
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Release Number
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Other Release Numbers
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Name of Document
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| Release Date: | Release Number:33-11198 |
Other Release Numbers:
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Name of Document: Pending Administrative Proceedings (Order Dismissing Proceedings) |
| Release Date: | Release Number:33-11169 |
Other Release Numbers:
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Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:34-96528 | Other Release Numbers: | Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:33-11141 |
Other Release Numbers:
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Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:33-11103 |
Other Release Numbers:
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Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:33-11076 |
Other Release Numbers:
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Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:33-11044 |
Other Release Numbers:
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Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:33-11017 |
Other Release Numbers:
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Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:33-10986 |
Other Release Numbers:
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Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:33-10947 |
Other Release Numbers:
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Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:33-10936 |
Other Release Numbers:
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Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:33-10910 |
Other Release Numbers:
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Name of Document: Order Extending Time to Issue Decision |
| Release Date: | Release Number:33-10759 |
Other Release Numbers:
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Name of Document: Order Granting Request for Protective Order |
| Release Date: | Release Number:34-88138 | Other Release Numbers: | Name of Document: Order Granting Petition for Review and Scheduling Briefs |
| Release Date: | Release Number:AP-6717 | Other Release Numbers: | Name of Document: Second Post-Hearing Protective Order |
| Release Date: | Release Number:AP-6715 | Other Release Numbers: | Name of Document: Post-Hearing Protective Order |
| Release Date: | Release Number:AP-6713 | Other Release Numbers: | Name of Document: Order Scheduling Post-Hearing Conference |
| Release Date: | Release Number:AP-6707 | Other Release Numbers: | Name of Document: Order Regarding Confidential Information |
| Release Date: | Release Number:AP-6647 | Other Release Numbers: | Name of Document: Notice of Hearing Location |
| Release Date: | Release Number:AP-6636 | Other Release Numbers: | Name of Document: Order On Cross Motions for Summary Disposition |
| Release Date: | Release Number:AP-6577 | Other Release Numbers: | Name of Document: Protective Order |
| Release Date: | Release Number:AP-6578 | Other Release Numbers: | Name of Document: Scheduling Order |
| Release Date: | Release Number:AP-6558 | Other Release Numbers: | Name of Document: Order Scheduling Prehearing Conference |
| Release Date: | Release Number:AP-6555 | Other Release Numbers: | Name of Document: Order Designating Presiding Judge |
| Release Date: | Release Number:33-10628 |
Other Release Numbers:
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Name of Document: Order Instituting Administrative and Cease-and-Desist Proceedings Pursuant to Section 8A of the Securities Act of 1933, Section 21C of the Securities Exchange Act of 1934, Sections 203(e), 203(f) and 203(k) of the Investment Advisers Act of 1940, an\ d Section 9(b) of the Investment Company Act of 1940, Making Findings, and Imposing Remedial Sanctions and a Cease-and-Desist Order and Notice of Hearing |