Investment Advisers Act Applications, Notices and Orders

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

Chronological List

IAA File Number List

Release No.

Date

Details

801-66878
Order May 5, 2025

STOCK MARKETS INSTITUTE, et al.

(Order)

801-57974
Notice Mar. 28, 2025 Marketocracy Capital Management LLC, et al.(Notice)

File Number List for 2025

Release No.

Date

Details

801-66878
Order May 5, 2025

STOCK MARKETS INSTITUTE, et al.

801-57974
Notice Mar. 28, 2025 Marketocracy Capital Management LLC, et al.(Notice)

Last Reviewed or Updated: May 5, 2025