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Sec_36a-1_Regs
Sec. 36a-1-1. Definitions 1. Sec. 36a-1-2. Duties and authority of the department 1. ... investment advisers, investment adviser agents and broker-dealer and investment adviser branch offices; examines broker-dealer, investment adviser …
registered investment advisor sec search

[DOCX File]SURS
https://info.5y1.org/sec-registered-investment-adviser-search_1_d9aa84.html
(4) is at least one of the following: (i) registered as an investment adviser under the federal Investment Advisers Act of 1940 (15 U.S.C. 80b-1, et seq.); (ii) registered as an investment adviser under the Illinois Securities Law of 1953; (iii) a bank, as defined in the Investment …
sec iapd

[DOC File]Velocity Law
https://info.5y1.org/sec-registered-investment-adviser-search_1_a4137c.html
5See SEC v. Olsen, 354 F.2d 166, 170 (2d Cir. 1965)(registered investment adviser subject to SEC’s inspections powers: advisory “‘records assume the characteristic of quasi-public …
sec registered investment advisor list

[DOCX File]Welcome - Sterling Compliance LLC
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An SEC-registered investment adviser, as defined in Section 202(a)(11) of the Investment Advisers Act of 1940. An exchange or clearing agency, as defined in Section 3 of the SEA, registered under Section 6 or 17A of that Act. Any other entity registered …
sec investment advisor

[DOC File]CHOOSING INVESTMENT ADVISERS AND FINANCIAL …
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The term "investment adviser" indicates a specialized focus on investment planning. Investment advisers must be registered with the Securities and Exchange Commission (SEC) …
sec registered advisors

[DOC File]Speech by Lori Richards Addressing Current SEC Exam focus ...
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The concept of prevention is not new and is in fact a key aspect of the federal securities laws - as the Exchange Act, the Investment Adviser's Act and the Investment Company Act all have provisions that reflect the need for registered …
form adv part 1

[DOC File]storage.googleapis.com
https://info.5y1.org/sec-registered-investment-adviser-search_1_73fc92.html
Additional information about the firm, other advisory firms, or an associated investment adviser representative, including Mr. Anderson, is available on the Internet at www.adviserinfo.sec.gov. A search …
sec broker check

[DOC File]Practising Law Institute
https://info.5y1.org/sec-registered-investment-adviser-search_1_dd201b.html
In fiscal year 2008, the SEC inspection staff conducted 1,521 investment adviser inspections. Of these, 4% resulted in referral to the SEC's enforcement staff for further investigation. Complaints against investment advisers and investment …
registered investment advisor search

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