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.

Chronological List

IAA File Number List

Additional Archives

Chronological List

Release No. Date Details
803-00238
IA-4797 Oct. 18, 2017 Stephens Inc. (Notice)
803-00242
IA-4784 Oct. 2, 2017 Edward D. Jones & Co., L.P. (Order)
803-00242
IA-4750 Aug. 22, 2017 Edward D. Jones & Co., L.P. (Notice)
803-00238
Application June 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
Withdrawl 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
803-00242
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 April 28, 2017 PNC Capital Advisors, LLC (Application)
803-00240
Application May 26, 2017 Blackrock Advisors, LLC (Application)
803-00239
Application May 8, 2017 1112 Partners, LLC (Amended Application)
Application Jan. 17, 2017 1112 Partners, LLC (Application)
803-00238
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)