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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

803-00226
IA-4066 Apr. 20, 2015 D-W Investments LLC (Notice of Application)

803-00224
IA-4058 Apr. 8, 2015 T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption from Rule 206(4)-5(a)(1) Thereunder)

803-00226
Application Mar. 30, 2015 D-W Investments LLC (Amended Application)

803-00224
IA-4046 Mar. 12, 2015 T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Notice of Application)

803-00226
Application Jan. 26, 2015 D-W Investments LLC (Amended Application)

803-00223
Application Jan. 22, 2015 Starwood Capital Group Management, LLC (Amended Application)

803-00214
IA-4001 Jan. 20, 2015 William E. Simon & Sons, LLC (Order)

803-00217
IA-3997 Jan. 14, 2015 Crestview Advisors, L.L.C. (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder)

803-00220
Application Jan. 6, 2015 Quad-C Management, Inc. (Amended Application)


IAA File Number List
Release No. Date Details

803-00226
IA-4066 Apr. 20, 2015 D-W Investments LLC (Notice of Application)
Application Mar. 30, 2015 D-W Investments LLC (Amended Application)
Application Jan. 26, 2015 D-W Investments LLC (Amended Application)

803-00224
IA-4058 Apr. 8, 2015 T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption from Rule 206(4)-5(a)(1) Thereunder)
IA-4046 Mar. 12, 2015 T. Rowe Price Associates, Inc. and T. Rowe Price International Ltd (Notice of Application)

803-00223
Application Jan. 22, 2015 Starwood Capital Group Management, LLC (Amended Application)

803-00220
Application Jan. 6, 2015 Quad-C Management, Inc. (Amended Application)

803-00217
IA-3997 Jan. 14, 2015 Crestview Advisors, L.L.C. (Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder)

 

http://www.sec.gov/rules/iareleases.shtml


Modified: 04/20/2015