Administrative Proceeding File No. 3-19590

Respondents

Thomas D. Conrad, Jr.

Release Date	Release Number	Other Release Numbers	Name of Document
Release Date: Oct. 20, 2023	Release Number:IA-6467	Other Release Numbers:	Name of Document: Opinion of the Commission
Release Date: Oct. 22, 2019	Release Number:IA-5404	Other Release Numbers:	Name of Document: Order Instituting Administrative Proceedings Pursuant to Section 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: Nov. 21, 2019	Release Number:	Other Release Numbers:	Name of Document:Answer
Release Date: Dec. 6, 2019	Release Number:	Other Release Numbers:	Name of Document:Division of Enforcement's Motion for Summary Disposition and for Imposition of Remedial Sanctions
Release Date: Jan. 6, 2020	Release Number:	Other Release Numbers:	Name of Document:Respondent Conrad's Opposition to Motion for Summary Disposition
Release Date: Oct. 22, 2019	Release Number:	Other Release Numbers:	Name of Document:Order Instituting Administrative Proceedings Pursuant to Section Section 203(f) of the Investment Advisers Act of 1940 and Notice of Hearing