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 http://www.sec.gov/rules/other/2012/ia-3490.pdf to access the notice.


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Investment Advisers, Investment Companies, Regulatory