UNITED STATES OF AMERICA
SECURITIES AND EXCHANGE COMMISSION
SECURITIES EXCHANGE ACT OF 1934
Release No. 86261 / July 1, 2019
Admin. Proc. File No. 3-15628
In the Matter of
ORDER VACATING INVESTMENT ADVISER, MUNICIPAL SECURITIES DEALER, MUNICIPAL ADVISOR, TRANSFER AGENT, AND NATIONALLY RECOGNIZED STATISTICAL RATING ORGANIZATION BARS
Daniel Imperato seeks to vacate an order, dated March 27, 2015 (the “Order”), to the extent that it bars him from association with an investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization. 1 The bars at issue were imposed based solely on conduct occurring prior to July 22, 2010, the effective date of the Dodd-Frank Wall Street Reform and Consumer Protection Act. 2 Accordingly, in our discretion, we vacate the Order to the extent it prohibits Daniel Imperato from associating with an investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization, but otherwise leave the Order unmodified.
By the Commission
Vanessa A. Countryman
1 See Daniel Imperato, Securities Exchange Act Release No. 74596, 2015 WL 1389406 (Mar. 27, 2015); Exchange Act Release No. 74886, 2015 WL 2088435 (May 6, 2015) (Order Denying Reconsideration).
2 See Bartkov. SEC, 845F.3d 1217, 1225 (D.C. Cir. 2017); Commission Statement Regarding Decision in Bartko v. SEC (Feb. 23, 2017), available at ---https://www.sec.gov/news/statement/commission-statement-regarding-bartko-v-sec.html.
Dr. Daniel Imperato has built personal relationships around the world in the spheres of business, politics, and religion. He has over 35 years of global business planning and development experience as well.