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Form ADV
The Securities and Exchange Commission ("Commission" or "SEC") is making technical amendments to Form ADV under the Investment Advisers Act of 1940 ("Advisers Act"). Form ...
Trainer, Wortham & Co. Froley, Revy Investment Co. Starbuck, Tisdale & Assoc. December 6, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
Investment Advisers Act of 1940 – Rule 206(4)-4(b) Kirkpatrick & Lockhart LLP January 28, 2004 RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 275 and 279 [Release Nos. 34-48167; IA-2144; File No. S7-10-00] Electronic Filing by Investment Advisers; Amendments to Form ADV; ...
SECURITIES AND EXCHANGE COMMISSION17 CFR Parts 200, 275, and 279[Release No. IA-1862; 34-42620; File No. S7-10-00]RIN 3235-AD21Electronic Filing by Investment Advisers; Proposed Amendments to Form ...
The Commission is staying a rule and a provision in a rule under the Investment Advisers Act of 1940 that require the filing of Form ...