Investment Advisers Act Applications, Notices and Orders
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
(Search any column)
| Release No. | Date | Details |
|---|---|---|
| 801-58069 | ||
| Notice | May 30, 2023 | The Swarthmore Group, Inc. (Notice) |
| 803-00258 | ||
| Order | March 14, 2023 | J.P. Morgan Investment Management Inc. (Order) |
| 803-00248 | ||
| Order | February 22, 2023 | AEW Capital Management, L.P. (Order) |
| 803-00258 | ||
| Notice | February 16, 2023 | J.P. Morgan Investment Management Inc. (Notice) |
| 803-00256 | ||
| Order | February 14, 2023 | Calmwater Asset Management, LLC (Order) |
| 803-00248 | ||
| Notice | January 24, 2023 | AEW Capital Management, L.P. (Notice) |
| 803-00256 | ||
| Notice | January 19, 2023 | Calmwater Asset Management, LLC (Notice) |
File Number List for 2023
| Release No. | Date | Details |
|---|---|---|
| 803-00258 | ||
| Order | March 14, 2023 | J.P. Morgan Investment Management Inc. (Order) |
| 803-00256 | ||
| Order | February 14, 2023 | Calmwater Asset Management, LLC (Order) |
| 803-00248 | ||
| Notice | January 24, 2023 | AEW Capital Management, L.P. (Notice) |
| 803-00256 | ||
| Notice | January 19, 2023 | Calmwater Asset Management, LLC (Notice) |
| 801-58069 | ||
| Notice | May 30, 2023 | The Swarthmore Group, Inc. (Notice) |