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Investment Advisers Act Notices and Orders
This page lists notices and orders of applications filed under the Investment Advisers Act (IAA) issued after January 1, 2006. Copies of the applications may be obtained for a fee at the Commission's Public Reference Branch. 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
2008 | 2007
| Release No. |
Date |
Details |
803-192 |
| IA-2772 |
Aug. 26, 2008 |
Woodcock Financial Management Company, LLC (Notice)
|
803-189 |
| IA-2745 |
Jun. 20, 2008 |
Slick Enterprises, Inc. (Order)
|
803-189 |
| IA-2736 |
May 22, 2008 |
Slick Enterprises, Inc. (Notice)
|
| Release No. |
Date |
Details |
803-192 |
| IA-2772 |
Aug. 26, 2008 |
Woodcock Financial Management Company, LLC (Notice)
|
803-189 |
| IA-2745 |
Jun. 20, 2008 |
Slick Enterprises, Inc. (Order)
|
| IA-2736 |
May 22, 2008 |
Slick Enterprises, Inc. (Notice)
|
http://www.sec.gov/rules/iareleases.shtml
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