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Investment Advisers Act Notices and Orders

This page lists notices and orders of applications filed under the Investment Advisers Act (IAA) issued after January 1, 2006. Copies of the applications may be obtained for a fee at the Commission's Public Reference Branch. 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

803-00213
IA-3883 Jul. 29, 2014 Gruss & Co. Inc. (Order)

803-00212
IA-3882 Jul. 29, 2014 Duncan Family Office (Order)

803-00212
IA-3867 Jul. 1, 2014 Duncan Family Office (Notice)

803-00213
IA-3866 Jul. 1, 2014 Gruss & Co. Inc. (Notice)


IAA File Number List
Release No. Date Details

803-00213
IA-3883 Jul. 29, 2014 Gruss & Co. Inc. (Order)
IA-3866 Jul. 1, 2014 Gruss & Co. Inc. (Notice)

803-00212
IA-3882 Jul. 29, 2014 Duncan Family Office (Order)
IA-3867 Jul. 1, 2014 Duncan Family Office (Notice)

 

http://www.sec.gov/rules/iareleases.shtml


Modified: 07/30/2014