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111 SEC Docket 1 (2016-2017)

handle is hein.journals/secdoc124 and id is 1 raw text is: SEC DOCKET Volume 111, Issue No. 13 December 27, 2016 Releases in this Volume Release No. Page Securities Act of 1933: 9799-9805* ............................. 3619 Securities Exchange Act of 1934: 75078-75118 .................. 3652 Accounting and Auditing Enforcement Release: 3659-3662 .......... 3741 Administrative Proceeding: 2742-2778 ......................... 3741 Investment Advisers Act of 1940: 4100-4104 ..................... 3758 Investment Company Act of 1940:31658-31662 ................. 3760 Initial Decision (Aj): 805-806 ............................ .. 3760 Litigation Release: 23273-23277 .............................. 3789 This listing covers releases issued June 1, 2015 - June 5, 2015. * The amendment to release 33-9741 appears in the listings below. This listing does not affect the legal status of any document published in this issue. The following releases relate to self-regulatory organization rule proposals and/or adoptions: 34-75085 34-75087 34-75093 34-75094 34-75095 34-75096 34-75098 34-75100 34-75102 34-75104 34-75105 34-75106 34-75107 34-75108 34-75109 34-75112 34-75115 34-75116 Wolters Kluwer , 2700 Lake Cook Road, Riverwoods, Illinois, 60015 9.Wo[ters Kiuwer 800 344 3734 wolterskluwerlb.com