SEC Issues Notice Indentifying Advisers No Longer Eligible to be Registered with the SEC

October 19, 2012

The SEC issued a notice identifying 293 advisers who may no longer be eligible for registration with the SEC because they manage less than $100 million of assets or have failed to comply with other SEC requirements. The SEC and state securities authorities coordinated with each other on this initiative.

Click to access the notice.


Investment Advisers, Investment Companies, Regulatory