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Investment Advisers Act Applications, Notices and Orders Archive: 2013

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

803-00221
Application Dec. 23, 2013 Ares Real Estate Management Holdings, LLC (Application)

803-00220
Application Nov. 14, 2013 Quad-C Management, Inc. (Application)

803-00215
IA-3715 Nov. 13, 2013 Davidson Kempner Capital Management LLC (Order)

803-00215
IA-3693 Oct. 17, 2013 Davidson Kempner Capital Management LLC (Notice)

803-00215
Application Jul. 25, 2013 Davidson Kempner Capital Management LLC (Amended Application)


IAA File Number List
Release No. Date Details

803-00221
Application Dec. 23, 2013 Ares Real Estate Management Holdings, LLC (Application)

803-00220
Application Nov. 14, 2013 Quad-C Management, Inc. (Application)

803-00215
IA-3715 Nov. 13, 2013 Davidson Kempner Capital Management LLC (Order)
IA-3693 Oct. 17, 2013 Davidson Kempner Capital Management LLC (Notice)
Application Jul. 25, 2013 Davidson Kempner Capital Management LLC (Amended Application)

 

http://www.sec.gov/rules/ia/iaarchive/iaarchive2013.shtml