GS0361: (Based on 44(d) Priority Application) (Based on Intent to Use) ASSET MANAGEMENT SERVICES, NAMELY, MANAGING AND ADMINISTERING REAL ASSETS; INVESTMENT MANAGEMENT SERVICES, NAMELY, CREATING, MANAGING AND ADMINISTERING EXCHANGE TRADED FUNDS, ALTERNATIVE INVESTMENT FUNDS, PRIVATE EQUITY FUNDS, HEDGE FUNDS, MUTUAL FUNDS, AND TAX ASSISTED INVESTMENTS; FINANCIAL ADVISORY SERVICES, NAMELY, FINANCIAL PLANNING AND INVESTMENT MANAGEMENT SERVICES, ADMINISTERING THIRD PARTY ASSETS, LIFE, ACCIDENTAL DEATH AND HEALTH INSURANCE POLICIES; ADMINISTERING BANKING, FINANCIAL AND ESTATE PLANNING SERVICES; CAPITAL MARKETS AND MERCHANT BANKING SERVICES, NAMELY, INVESTMENT BANKING SERVICES AND UNDERWRITING OF THE SALE OF SECURITIES TO THE PUBLIC, PRIVATE PLACEMENTS, INVESTMENT ADVISORY SERVICES RELATED TO MERGERS AND ACQUISITIONS, DIVESTITURES, RESTRUCTURINGS AND STOCK EXCHANGE LISTINGS; SALES AND TRADING SERVICES, NAMELY, THE SELLING, PURCHASING AND TRADING OF EQUITY AND EQUITY RELATED SECURITIES AND FIXED INCOME SECURITIES ON BEHALF OF RETAIL AND INSTITUTIONAL CLIENTS; INVESTMENT RESEARCH SERVICES, NAMELY, THE PREPARATION OF RESEARCH REPORTS AND OPINIONS TO INDIVIDUAL INVESTORS AND INSTITUTIONAL CLIENTS IN CONNECTION WITH INVESTMENT DECISION MAKING; BANKING SERVICES, NAMELY, GUARANTEED INVESTMENT CERTIFICATES, MORTGAGES, RSP LOANS, INVESTMENT LOANS, STRUCTURED CREDIT AND FIXED INCOME INVESTMENTS
Case File Event Statements
5/8/2018 - 6 years ago
44 - ABANDONMENT NOTICE MAILED - FAILURE TO RESPONDType:MAB2
5/8/2018 - 6 years ago
43 - ABANDONMENT - FAILURE TO RESPOND OR LATE RESPONSEType:ABN2
10/10/2017 - 7 years ago
42 - NOTIFICATION OF INQUIRY AS TO SUSPENSION E-MAILEDType:GNS2
10/10/2017 - 7 years ago
41 - INQUIRY TO SUSPENSION E-MAILEDType:GNSI
10/10/2017 - 7 years ago
40 - SUSPENSION INQUIRY WRITTENType:CNSI
9/29/2017 - 7 years ago
39 - LIE CHECKED SUSP - TO ATTY FOR ACTIONType:RCCK
3/28/2017 - 7 years ago
38 - NOTIFICATION OF LETTER OF SUSPENSION E-MAILEDType:GNS3
3/28/2017 - 7 years ago
37 - LETTER OF SUSPENSION E-MAILEDType:GNSL
3/28/2017 - 7 years ago
36 - SUSPENSION LETTER WRITTENType:CNSL
3/27/2017 - 7 years ago
35 - TEAS/EMAIL CORRESPONDENCE ENTEREDType:TEME
3/27/2017 - 7 years ago
34 - CORRESPONDENCE RECEIVED IN LAW OFFICEType:CRFA
3/21/2017 - 7 years ago
33 - TEAS RESPONSE TO SUSPENSION INQUIRY RECEIVEDType:ERSI
1/12/2017 - 8 years ago
32 - NOTIFICATION OF INQUIRY AS TO SUSPENSION E-MAILEDType:GNS2
1/12/2017 - 8 years ago
31 - INQUIRY TO SUSPENSION E-MAILEDType:GNSI
1/12/2017 - 8 years ago
30 - SUSPENSION INQUIRY WRITTENType:CNSI
12/30/2016 - 8 years ago
29 - LIE CHECKED SUSP - TO ATTY FOR ACTIONType:RCCK
6/25/2016 - 8 years ago
28 - NOTIFICATION OF LETTER OF SUSPENSION E-MAILEDType:GNS3
6/25/2016 - 8 years ago
27 - LETTER OF SUSPENSION E-MAILEDType:GNSL
6/25/2016 - 8 years ago
26 - SUSPENSION LETTER WRITTENType:CNSL
6/24/2016 - 8 years ago
25 - TEAS/EMAIL CORRESPONDENCE ENTEREDType:TEME
6/24/2016 - 8 years ago
24 - CORRESPONDENCE RECEIVED IN LAW OFFICEType:CRFA
6/21/2016 - 8 years ago
23 - TEAS RESPONSE TO SUSPENSION INQUIRY RECEIVEDType:ERSI
3/30/2016 - 8 years ago
22 - TEAS CHANGE OF CORRESPONDENCE RECEIVEDType:TCCA
2/24/2016 - 8 years ago
21 - NOTIFICATION OF INQUIRY AS TO SUSPENSION E-MAILEDType:GNS2
2/24/2016 - 8 years ago
20 - INQUIRY TO SUSPENSION E-MAILEDType:GNSI
2/24/2016 - 8 years ago
19 - SUSPENSION INQUIRY WRITTENType:CNSI
2/17/2016 - 8 years ago
18 - LIE CHECKED SUSP - TO ATTY FOR ACTIONType:RCCK
7/29/2015 - 9 years ago
17 - REPORT COMPLETED SUSPENSION CHECK CASE STILL SUSPENDEDType:RCSC
1/13/2015 - 10 years ago
16 - NOTIFICATION OF LETTER OF SUSPENSION E-MAILEDType:GNS3
1/13/2015 - 10 years ago
15 - LETTER OF SUSPENSION E-MAILEDType:GNSL
1/13/2015 - 10 years ago
14 - SUSPENSION LETTER WRITTENType:CNSL
1/8/2015 - 10 years ago
13 - TEAS/EMAIL CORRESPONDENCE ENTEREDType:TEME
1/8/2015 - 10 years ago
12 - CORRESPONDENCE RECEIVED IN LAW OFFICEType:CRFA
1/7/2015 - 10 years ago
11 - ASSIGNED TO LIEType:ALIE
1/2/2015 - 10 years ago
10 - TEAS RESPONSE TO OFFICE ACTION RECEIVEDType:TROA
11/7/2014 - 10 years ago
9 - NOTIFICATION OF NON-FINAL ACTION E-MAILEDType:GNRN
11/7/2014 - 10 years ago
8 - NON-FINAL ACTION E-MAILEDType:GNRT
11/7/2014 - 10 years ago
7 - NON-FINAL ACTION WRITTENType:CNRT
11/5/2014 - 10 years ago
6 - NOTIFICATION OF NON-FINAL ACTION E-MAILEDType:GNRN
11/5/2014 - 10 years ago
5 - NON-FINAL ACTION E-MAILEDType:GNRT
11/5/2014 - 10 years ago
4 - NON-FINAL ACTION WRITTENType:CNRT
11/4/2014 - 10 years ago
3 - ASSIGNED TO EXAMINERType:DOCK
8/22/2014 - 10 years ago
2 - NEW APPLICATION OFFICE SUPPLIED DATA ENTERED IN TRAMType:NWOS