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Investment Advisers Act Notices and Orders Archive: 2009

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.

Additional Archives

No Investment Advisers Act Notices or Orders were released in 2009.

Modified: 01/12/2010