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Investment Advisers Act Applications, Notices and Orders Archive: 2012

This page lists certain notices, orders, and applications filed under the Investment Advisers Act (IAA) issued after January 1, 2006. For other materials related to the Commission's oversight and regulation of the investment management industry, investment companies (including mutual funds), and investment advisers, see the Division of Investment Management.

Chronological List

IAA File Number List

Additional Archives


Chronological List

Release No. Date Details

803-00217
Application Nov. 14, 2012 Crestview Advisors, L.L.C. (Application)

803-00216
Application Nov. 2, 2012 Highland Capital Management, LLC (Application)

803-00215
Application Oct. 17, 2012 Davidson Kempner Capital Management LLC (Application)

803-00214
Application June 20, 2012 William E. Simon & Sons, LLC and New Vernon Advisors, Inc (Application)

803-00212
Application March 27, 2012 Duncan Family Office (Application)

803-00213
Application Mar. 23, 2012 Gruss & Co. Inc. (Application)

IAA File Number List
Release No. Date Details

803-00217
Application Nov. 14, 2012 Crestview Advisors, L.L.C. (Application)

803-00216
Application Nov. 2, 2012 Highland Capital Management, LLC (Application)

803-00215
Application Oct. 17, 2012 Davidson Kempner Capital Management LLC (Application)

803-00214
Application June 20, 2012 William E. Simon & Sons, LLC and New Vernon Advisors, Inc (Application)

803-00213
Application Mar. 23, 2012 Gruss & Co. Inc. (Application)

803-00212
Application March 27, 2012 Duncan Family Office (Application)

 

http://www.sec.gov/rules/ia/iaarchive/iaarchive2012.shtml


Modified: 10/18/2013