Investment Advisers Act Applications, Notices and Orders Archive: 2017
Jan. 6, 2023
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.
Additional Archives
2023 | 2022 | 2021 | 2020 | 2019 | 2018 | 2017 | 2016 | 2015 | 2014 | 2013 | 2012 | 2011 | 2010 | 2009 | 2008 | 2007
Chronological List
| Release No. | Date | Details |
|---|---|---|
| 803-00241 | ||
| IA-4825 | Dec. 8, 2017 | PNC Capital Advisors, LLC (Notice) |
| 803-00243 | ||
| Application | Nov. 22, 2017 | Janney Montgomery Scott LLC (Application) |
| 803-00240 | ||
| Application | Nov. 21, 2017 | Blackrock Advisors, LLC (Amended Application) |
| 803-00238 | ||
| IA-4810 | Nov. 14, 2017 | Stephens Inc. (Order) |
| 803-00238 | ||
| IA-4797 | Oct. 18, 2017 | Stephens Inc. (Notice) |
| 803-00241 | ||
| Application | Oct. 10, 2017 | PNC Capital Advisors, LLC (Amended Application) |
| 803-00242 | ||
| IA-4784 | Oct. 2, 2017 | Edward D. Jones & Co., L.P. (Order) |
| 803-00239 | ||
| Application | Sept. 15, 2017 | 1112 Partners, LLC (Amended Application) |
| 803-00242 | ||
| IA-4750 | Aug. 22, 2017 | Edward D. Jones & Co., L.P. (Notice) |
| 803-00238 | ||
| Application | Jun. 21, 2017 | Stephens Inc. (Amended Application) |
| 803-00240 | ||
| Application | May 26, 2017 | Blackrock Advisors, LLC (Application) |
| 803-00239 | ||
| Application | May 8, 2017 | 1112 Partners, LLC (Amended Application) |
| 803-00241 | ||
| Application | April 28, 2017 | PNC Capital Advisors, LLC (Application) |
| 803-00231 | ||
| IA-4681 | Apr. 4, 2017 | The Jeffrey Company (Order) |
| 803-00230 | ||
| IA-4680 | Apr. 4, 2017 | Katahdin Asset Management LLC (Order) |
| 803-00233 | ||
| Withdrawal Letter | Mar. 6, 2017 | Pershing Square Capital Management, L.P. (Withdrawal Letter) |
| 803-00230 | ||
| IA-4660 | Mar. 7, 2017 | Katahdin Asset Management LLC (Notice of Application) |
| 803-00231 | ||
| IA-4659 | Mar. 7, 2017 | The Jeffrey Company (Notice of Application) |
| 803-00231 | ||
| Application | Feb. 9, 2017 | The Jeffrey Company (Amended Application) |
| 803-00230 | ||
| Application | Feb. 9, 2017 | Katahdin Asset Management LLC (Amended Application) |
| 803-00229 | ||
| IA-4642 | Feb. 7, 2017 | Brown Advisory LLC (Order) |
| 803-00239 | ||
| Application | Jan. 17, 2017 | 1112 Partners, LLC (Application) |
| 803-00229 | ||
| IA-4605 | Jan. 10, 2017 | Brown Advisory LLC (Notice of Application) |
IAA File Number List
| Release No. | Date | Details |
|---|---|---|
| 803-00243 | ||
| Application | Nov. 22, 2017 | Janney Montgomery Scott LLC (Application) |
| 803-00242 | ||
| IA-4784 | Oct. 2, 2017 | Edward D. Jones & Co., L.P. (Order) |
| IA-4750 | Aug. 22, 2017 | Edward D. Jones & Co., L.P. (Notice) |
| 803-00241 | ||
| Application | Oct. 10, 2017 | PNC Capital Advisors, LLC (Amended Application) |
| Application | April 28, 2017 | PNC Capital Advisors, LLC (Application) |
| 803-00240 | ||
| Application | Nov. 21, 2017 | Blackrock Advisors, LLC (Amended Application) |
| Application | May 26, 2017 | Blackrock Advisors, LLC (Application) |
| 803-00239 | ||
| Application | Mar. 9, 2018 | 1112 Partners, LLC (Amended Application) |
| Application | Sept. 15, 2017 | 1112 Partners, LLC (Amended Application) |
| Application | May 8, 2017 | 1112 Partners, LLC (Amended Application) |
| Application | Jan. 17, 2017 | 1112 Partners, LLC (Application) |
| 803-00238 | ||
| IA-4810 | Nov. 14, 2017 | Stephens Inc. (Order) |
| IA-4797 | Oct. 18, 2017 | Stephens Inc. (Notice) |
| Application | June 21, 2017 | Stephens Inc. (Amended Application) |
| 803-00233 | ||
| Withdrawal Letter | Mar. 6, 2017 | Pershing Square Capital Management, L.P. (Withdrawal Letter) |
| 803-00231 | ||
| IA-4681 | Apr. 4, 2017 | The Jeffrey Company (Order) |
| IA-4659 | Mar. 7, 2017 | The Jeffrey Company (Notice of Application) |
| Application | Feb. 9, 2017 | The Jeffrey Company (Amended Application) |
| 803-00230 | ||
| IA-4680 | Apr. 4, 2017 | Katahdin Asset Management LLC (Order) |
| IA-4660 | Mar. 7, 2017 | Katahdin Asset Management LLC (Notice of Application) |
| Application | Feb. 9, 2017 | Katahdin Asset Management LLC (Amended Application) |
| 803-00229 | ||
| IA-4642 | Feb. 7, 2017 | Brown Advisory LLC (Order) |
| IA-4605 | Jan. 10, 2017 | Brown Advisory LLC (Notice of Application) |
Last Reviewed or Updated: June 26, 2024