Form
1661: Supplemental Information for Regulated Entities Directed to
Supply Information Other Than Pursuant to a Commission Subpoena
Administrative
Proceedings (notices/orders about the institution and/or settlement of
administrative proceedings)
Form
1662: Supplemental Information for Persons Requested to Supply
Information Voluntarily or Directed to Supply Information Pursuant to a
Commission Subpoena
THE ARTICLES PUBLISHED HERE REPRESENT THE PERSONAL VIEWS OF THE
AUTHOR, AND NOT NECESSARILY THE VIEWS OF ANY LAW FIRM OR ORGANIZATION
WITH WHICH HE MAY BE AFFILIATED. ALL STATEMENTS MADE IN THESE ARTICLES
ARE FOR GENERAL INFORMATION ONLY AND ARE NOT INTENDED TO PROVIDE,
NOR SHOULD THEY BE RELIED ON AS, LEGAL ADVICE. READERS MUST CONSULT
WITH QUALIFIED LEGAL COUNSEL BEFORE RELYING UPON ANY CONTENT CONTAINED
HEREIN. STATEMENTS MADE IN THESE ARTICLES MAY BE INCORRECT FOR YOUR
JURISDICTION OR AT THE TIME WHEN YOU READ SUCH STATEMENTS THE UNDERLYING
RULES, REGULATIONS AND/OR DECISIONS MAY NO LONGER BE CONTROLLING OR
PERSUASIVE AS A MATTER OF LAW OR INTERPRETATION.