TOA_Investment Adviser Regulation_Rel#5.fm

Transcription

TOA_Investment Adviser Regulation_Rel#5.fm Page 1 Thursday, June 12, 2014 4:45 PM
Table of Authorities
(References are to pages)
CASES
A
Aaron v. SEC ............................................................... 24-43, 35-79
Abbott Labs. Derivative S’holders Litig., In re ......................... 24-44
Abrahamson v. Fleschner...............................................46A-4, 48-3
Amaroq Asset Mgmt., LLC, In re............................................ 33-21
Anderson v. Knox ............................................................ 38-5, 38-6
Anglo Am. Sec. Fund, L.P. v. S.R. Global Int’l Fund, L.P. .......48A-23
Anthony Fields, et al., In the Matter of ................................... 60-14
Arleen W. Hughes, In re................................................... 16-2, 19-8
Assured Guaranty (UK) Ltd., v.
J.P. Morgan Inv. Mgmt. Inc. ............................................... 35-93
AT&T Mobility, LLC v. Concepcion ....................................... 31-22
Augustus P. Loring, Jr., In re...................................................... 2-48
B
Banc of America Investment Services, Inc. and Columbia
Management Advisors, LLC, In the Matter of ................... 44-10
Basic, Inc. v. Levinson ................................................. 29-7, 34B-15
Belmont v. MB Investment Partners, Inc................................. 35-15
Ben v. Schwartz ...................................................................... 35-68
Bird v. SEC ........................................................................... 34B-31
Blount v. SEC .................................................................. 52-4, 52-9
Blue Flame Energy Corp. v. Ohio Dep’t of Commerce ............. 46-28
Brewster v. Maryland Sec. Com’n ........................................... 35-56
Brian K. Costello, In the Matter of.......................................... 49F-5
(Inv. Adv. Reg., Rel. #5, 6/14)
T–1
INVESTMENT ADVISER REGULATION
Buckley v. Valeo ........................................................................ 52-4
Burks v. Lasker ....................................................................... 42-13
C
Capital Guardian Trust Co. .................................................... 49-45
Capital Research & Mgmt. Co. v. Brown................................. 46-29
Cardinal Health Ins. Sec. Litig................................................ 33-22
Caremark Int’l, Inc. Derivative Litig., In re.................... 24-44, 34-8
Carlson v. United States ....................................................... 34B-52
Carnero v. Boston Scientific Corp. .......................................... 31-21
Carpenter v. Harris, Upham & Co. ......................................... 24-43
Chao v. Linder ........................................................................ 49-41
Charles Hughes & Co. v. SEC...................................... 39-10, 39-11
Chiarella v. United States ............................................ 29-6, 34B-66
Christy v. Pa. Tpk. Comm’n ................................................. 34B-47
Citizens United v. FEC ........................................... 52-3, 52-4, 53-8
Clarke Lanzen Skalla Inv. Firm, Inc.,
In the Matter of ........................................................ 43-9, 43-10
Clover v. Total Sys. Servs., Inc. ............................................... 31-19
Conrad & Company, et al., In re............................................... 38-3
Cont’l Grain (Austl.) Pty. Ltd. v. Pac. Oilseeds, Inc. ................ 51-10
Courtlandt v. E.F. Hutton, Inc................................................... 2-25
Cover v. Cushing Capital Corp. .............................................. 35-92
CPC Int’l v. McKesson Corp. ....................................... 35-78, 35-79
Crabtree Invs., Inc. v. Aztec Enters., Inc. .................................. 2-14
Crooks v. P Sec. Comm’n ....................................................... 35-62
D
Del. Mgmt. Co., In the Matter of ............................................. 16-2
Detroit Edison Co. v. SEC....................................................... 47-69
Dirks v. SEC ............................................................................. 29-6
Diversified Indus., Inc. v. Meredith......................................... 33-22
Donner Estates, Inc., In re........................................................ 2-48
Donovon v. Bierwirth ............................................................. 49-25
T–2
E
Eaves v. Penn ............................................................................ 49-7
Egan v. TradingScreen, Inc. ..................................................... 31-20
Egghead.com, Inc. v. Brookhaven Capital Mgmt. Co. .............. 56-19
Ellis v. Rycenga Homes, Inc. ......................................49-12, 49A-11
Envtl. Tectonics v. W.S. Kirkpatrick Inc.................................31A-14
Ernst & Ernst v. Hochfelder ........................................... 29-7, 35-78
Esser Distrib. Co., Inc. v. Steidl .............................................. 35-79
Etienne v. Mitre Corp. ................................................. 24-23, 24-39
Everts v. Holtman................................................................... 35-79
F
Fed. Trade Comm’n v. TRW, Inc. ................................. 24-22, 24-39
Fin. Planning Ass’n v. SEC ......................... 2-22, 2-25, 8-21, 19-14,
................................................ 38-2, 38-25, 38-30, 39-16, 39-19
First Multifund Advisory Corp., In the Matter of ...................... 12-6
First Serv. Corp., In re .............................................................. 2-48
Fiswick v. United States........................................................31A-11
Fogel v. Chestman .................................................................. 55-78
Fred Alger Mgmt., Inc., In the Matter of ................................... 45-9
Freund v. Marshall & Ilsley Bank .............................................. 49-7
G
Gabelli, In re ...................................................... 27-2, 29-14, 29-20
Gabelli v. SEC......................................................................... 35-81
Gartenberg v. Merrill Lynch Asset Mgmt., Inc. ....................... 42-10
Gavin v. SEC ........................................................................ 34B-44
Geman v. SEC ........................................................................ 43-11
Goldstein v. SEC............................. 4-12, 5-4, 45A-3, 46-67, 46-93,
.................................................46-95, 46A-32, 46A-34, 46A-47,
.............................................. 46A-52, 48-35, 48A-3, 50-8, 51-3,
.............................................. 51-24, 51-26, 52-16, 55-30, 58-20
Graham v. Allis-Chalmers Mfg. Co......................................... 24-44
Grand Jury Subpoena: Under Seal, In re ................................. 34B-9
Graphic Sci., Inc., v. Int’l Mogul Mines Ltd. ........................... 56-19
Gustafson v. Alloyd ................................................................ 35-91
Gutfreund, In re ..................................................................... 24-38
(Inv. Adv. Reg., Rel. #5, 6/14)
T–3
H
Haddock v. Nationwide Fin. Servs. .............................. 49-35, 49-37
Harrison v. Dean Witter Reynolds, Inc.................................... 29-10
Hecker v. Deere & Co. ............................................................ 49-36
Hickman v. Taylor ....................................................... 24-22, 33-21
Hill York Corp. v. Am. Int’l Franchises, Inc. ........................... 47-27
Hollinger v. Titan Capital Corp. ............................................. 24-43
Houston v. Seward & Kissell, LLP ........................................... 46-29
Hughes v. SEC ................................................................. 16-2, 19-8
Hunt v. Miller ........................................................................ 24-43
Huppe v. Special Situations Fund III QP, L.P. ............................ 56-7
Huppe v. WPCS Int’l Inc. ......................................................... 56-7
I
IFG Network Securities, Inc., et al., In re................................ 38-22
In re Abbott Labs. Derivative S’holders Litig. .......................... 24-44
In re Amaroq Asset Mgmt., LLC............................................. 33-21
In re Arleen W. Hughes.................................................... 16-2, 19-8
In re Augustus P. Loring, Jr........................................................ 2-48
In re Caremark Int’l, Inc. Derivative Litig...................... 24-44, 34-8
In re Conrad & Company, et al................................................. 38-3
In re Donner Estates, Inc.......................................................... 2-48
In re First Serv. Corp. ............................................................... 2-48
In re Gabelli ....................................................... 27-2, 29-14, 29-20
In re Grand Jury Subpoena: Under Seal .................................. 34B-9
In re Gutfreund ...................................................................... 24-38
In re IFG Network Securities, Inc., et al.................................. 38-22
In re Initial Public Offering Sec. Litig............33-22, 34B-59, 34B-61
In re Investors Planning, Inc. et al. ......................................... 38-14
In re James L. Foster, Laurie F. Foster, Steven M. Bolla,
and William E. Busacker, Jr. ................................................. 20-9
In re Marc N. Geman ............................................................. 48-33
In re Monetta Fin. Servs., Inc., et al........................................ 48-33
In re Petition to Am. Bank and Trust Co. of Penn. .................. 35-70
In re Pitcairn Co....................................................................... 2-48
In re Qwest Commc’ns Int’l, Inc. .............................. 33-22, 34B-11
In re Roosevelt & Son ............................................................... 2-48
In re Steinhardt Partners, L.P. .................................... 33-22, 34B-61
In re Subpoenas Duces Tecum .............................................. 34B-11
In re Valicenti Advisory Services, Inc. and
Vincent R. Valicenti ...................................................... 4-28, 6-3
In the Matter of Anthony Fields, et al..................................... 60-14
T–4
In the Matter of Banc of America Investment Services, Inc.
and Columbia Management Advisors, LLC ........................ 44-10
In the Matter of Brian K. Costello........................................... 49F-5
In the Matter of Clarke Lanzen Skalla Inv. Firm, Inc. .... 43-9, 43-10
In the Matter of Del. Mgmt. Co. .............................................. 16-2
In the Matter of First Multifund Advisory Corp. ....................... 12-6
In the Matter of Fred Alger Mgmt., Inc. .................................... 45-9
In the Matter of Jack Maguire & JK Maguire & Associates...... 49F-4
In the Matter of Noon Capital Mgmt., LLC & Timothy
George Noonan.................................................................... 35-9
In the Matter of Robert Anthony Donas ................................. 49F-4
Initial Public Offering Sec. Litig., In re..........33-22, 34B-59, 34B-61
Investors Planning, Inc. et al., In re ........................................ 38-14
J
Jack Maguire & JK Maguire & Associates, In the Matter of..... 49F-4
James L. Foster, Laurie F. Foster, Steven M. Bolla, and
William E. Busacker, Jr., In re............................................... 20-9
Janvey v. Proskauer Rose LLP................................................ 34B-16
Jenkins v. Yager ...................................................................... 49-38
Johnson-Bowles Co. v. Division of Sec. ................................... 35-56
Jones v. Harris Assocs. L.P. ....................................................... 42-9
K
Kamerman v. Steinberg ........................................................... 24-27
Kaufman v. Merrill Lynch, Pierce, Fenner& Smith, Inc. ............ 2-25
Kravitz v. Pressman, Frohlich & Frost, Inc. ............................. 24-43
Krinsk v. Fund Asset Mgmt., Inc............................................. 42-24
L
Laborers Nat’l Pension Fund v.
Trust Quantitative Advisors, Inc. .......................................49A-8
Laird v. Integrated Res., Inc. .......................................... 34-15, 57-8
Lane Bryant, Inc. v. Hatleigh Corp............................................ 56-8
Langbecker v. Elec. Data Sys. Corp. ........................................ 49-38
Last Atlantis Capital LLC v.
AGS Specialist Partners.......................................34B-61, 34B-66
Leasco Data Processing Equip. Corp. v. Maxwell..................... 51-10
(Inv. Adv. Reg., Rel. #5, 6/14)
T–5
Livingston v. Wyeth, Inc. ........................................................ 31-19
Lorenz v. Watson .................................................................... 24-43
Lowe v. SEC................................................ 2-43, 2-44, 2-45, 49F-5,
......................................................... 55-62, 55-63, 55-64, 58-19
M
Manns v. Skolnik.................................................................... 35-79
Marc N. Geman, In re ............................................................ 48-33
Mass. Fin. Servs., Inc. v. Sec. Inv. Prot. Corp. ........... 49C-26, 49E-8
McKesson Corp. v. Green ..................................................... 34B-11
Mechigian v. Art Capital Corp. ................................................... 2-9
Meinhard v. Salmon ................................................................. 57-7
meVC Draper Fisher Jurvetson Fund I, Inc. v.
Millennium Partners, L.P. .................................................. 56-10
Monetta Fin. Servs., Inc. v. SEC ............................................. 55-74
Monetta Fin. Servs., Inc., et al., In re...................................... 48-33
Morris v. Wachovia Sec., Inc. ........................... 49C-9, 49E-26, 57-8
Moses v. Burgin ...................................................................... 55-78
N
Nat’l Home Prods., Inc. v. Gray ................................................ 56-9
New York v. Canary Capital Partners, LLC ................46-92, 46A-31
New York v. Henry “Hank” Morris and David Loglisci............ 55-42
Newport Pac. Inc. v. Cnty. of San Diego .................................. 34B-9
Noon Capital Mgmt., LLC & Timothy George Noonan,
In the Matter of ................................................................... 35-9
O
O’Connor & Assocs. v. Dean Witter Reynolds, Inc. ................ 24-43
Odone v. Croda Int’l PLC ..................................................... 34B-47
P
Pantry Pride, Inc. v. Rooney ............................................. 56-8, 56-9
Parklane Hosiery Co. v. Shore ............................................... 34B-67
Pearce v. E.F. Hutton Grp........................................................ 24-21
T–6
Petition to Am. Bank and Trust Co. of Penn., In re ................. 35-70
Phillips v. SEC ........................................................................ 47-69
Phillips Petroleum Secs. Litig................................................ 34B-65
Pinter v. Dahl .............................................................. 35-91, 47-27
Pitcairn Co., In re..................................................................... 2-48
Prudential Ins. Co. of Am. v. SEC ............................................. 59-8
Q
Qwest Commc’ns Int’l, Inc., In re ............................. 33-22, 34B-11
R
R v. Patel ............................................................................. 49C-55
Raymond James Fin. Servs., Inc. v.
Barbara J. Phillips, etc., et al .............................................. 35-85
Richard C. Breeden, Trustee of the Bennett Funding Grp. v.
Storch and Brenner, LLP & Irving M. Pollack ................... 34B-16
Richman v. Goldman Sachs Grp., Inc. .....................34B-14, 34B-63
Robert Anthony Donas, In the Matter of ................................ 49F-4
Rodriguez de Quijas v. Shearson/Am. Express, Inc. .......... 9-6, 35-92
Rolf v. Blyth, Eastman Dillon & Co. ....................................... 17-20
Roosevelt & Son, In re .............................................................. 2-48
Rosenberg v. Metlife, Inc......................................................... 35-45
Rosenberg v. Metlife, Inc., Metropolitan Life Ins. Co. &
Metlife Sec., Inc. ................................................................ 35-45
Ross v. A.H. Robbins Co. ........................................................ 24-27
S
Saltz v. First Frontier, L.P. .....................................................48A-23
Schaffer v. CC Inv., LDC .......................................................... 56-9
Schaffer v. Soros ....................................................................... 56-5
SEC v. Albert Jackson Stanley ...............................................31A-21
SEC v. Aletheia Research & Mgmt., Inc., et al. .....................48A-22
SEC v. Anthony Postiglione, Jr., et al. ..................................... 48-32
SEC v. Beacon Hill Asset Mgmt., LLC, et al............................ 48-32
SEC v. Blackfoot Bituminous, Inc. .......................................... 34B-6
SEC v. Bridge Premium Fin., LLC ......................................... 34B-57
SEC v. Burton G. Friedlander, et al.......................................... 48-32
(Inv. Adv. Reg., Rel. #5, 6/14)
T–7
SEC v. Capital Gains Research Bureau, Inc. ........1-6, 1-7, 4-10, 8-5,
..........................................................10-3, 15A-45, 20-2, 34-14,
................................................. 35-15, 38-12, 39-5, 44-5, 46-93,
..........................................46A-31, 48-30, 48-31, 48A-2, 48A-3,
......................................... 48A-9, 48A-10, 49C-9, 49E-26, 52-3,
........................................................ 54-28, 55-21, 55-64, 55-65,
............................................................... 55-66, 57-7, 60-8, 61-3
SEC v. Charles J. Marquardt ..................................................... 29-3
SEC v. Citigroup Global Mkts. Inc...........................34B-57, 34B-66
SEC v. Colello....................................................................... 34B-53
SEC v. Cont’l Tobacco Co. of S.C............................................ 47-27
SEC v. Cuban ........................................................................... 29-7
SEC v. David A. Zwick ........................................................... 28-15
SEC v. Deephaven Cap. Mgmt. and Bruce Lieberman ............... 29-3
SEC v. Delsa U. Thomas ......................................................48A-21
SEC v. DiBella ........................................................................ 55-29
SEC v. Dynamic Daytrader.com L.L.C. &
David A. Rudnick, C.A. ....................................................... 2-46
SEC v. Elles ............................................................ 49C-52, 49E-42
SEC v. Falcone ......................................................................15A-42
SEC v. Friedman, Billings, Ramsey & Co. ............................... 29-14
SEC v. Frohna ........................................................................... 29-7
SEC v. Galleon Mgmt., LP et al. ............................................... 29-4
SEC v. Gen. Elec. Co. ...........................................................31A-29
SEC v. Geon Indus., Inc.......................................................... 24-43
SEC v. Global Telecom Servs., LLC ....................................... 34B-53
SEC v. Graystone Nash, Inc.................................................. 34B-53
SEC v. Guttenberg et al............................................................. 29-4
SEC v. Halliburton Co. & KBR, Inc. .....................................31A-20
SEC v. Hansen, et al. .............................................. 48A-15, 48A-21
SEC v. Henry Morris et al. ...................................................... 55-42
SEC v. IBM ...........................................................................31A-27
SEC v. Int’l Bus. Machs. Corp................................. 49C-52, 49E-42
SEC v. ITT Corp...................................................................31A-30
SEC v. J.W. Korth & Co. ........................................................... 33-3
SEC v. John Gardner Black, Devon Capital Management, Inc.,
and Financial Management Services Inc............................. 55-47
SEC v. Johnson & Johnson ...................................................31A-23
SEC v. Juno Mother Earth Asset Management, LLC, et al. ....15A-52
SEC v. Kornman ................................................................... 34B-53
SEC v. Kurt Hovan ............................................................... 34B-35
SEC v. Mannion ..................................................................... 61-12
SEC v. Mark Anthony Longoria et al......................................... 29-3
SEC v. Michael L. Smirlock, et al. ........................................... 48-32
SEC v. Mondschein................................................................... 15-9
T–8
SEC v. Moran ........................................................................... 20-9
SEC v. Nat’l Exec. Planners, Ltd. ................................... 2-25, 38-13
SEC v. Nat’l Presto Indus., Inc.................................................. 59-2
SEC v. Nat’l Student Mktg. Corp. ......................................... 34B-56
SEC v. Nature’s Sunshine Prods., Inc...................... 31A-28, 31A-36
SEC v. Olsen........................................................................... 24-38
SEC v. Omnigene Devs., Inc. ................................................ 34B-53
SEC v. Oracle Corp. ................................................ 49C-52, 49E-42
SEC v. Oscar H. Meza...........................................................31A-27
SEC v. Park ............................................................................... 2-46
SEC v. Quadrangle Grp. LLC, et al........................................15A-16
SEC v. Ralston Purina Co. ...................................................... 47-27
SEC v. Robert W. Philip.........................................................31A-34
SEC v. Rorech ......................................................................... 29-20
SEC v. Schield Mgmt. Co........................................................ 33-20
SEC v. Sharef et al. ...............................................................31A-35
SEC v. Si Chan Wooh ...........................................................31A-34
SEC v. Sidney Mondschein ...................................................15A-30
SEC v. Siemens Aktiengesellschaft........................................31A-19
SEC v. SnyamicDaytrader.com LLC, et al................................ 48-32
SEC v. Steadman .................................................................... 48-31
SEC v. Straub et al. ................................................. 31A-34, 31A-35
SEC v. Suter............................................................................ 55-63
SEC v. Tex. Gulf Sulphur Co..................................................... 29-6
SEC v. Tome ............................................................................. 29-6
SEC v. Universal Major Indus. Corp. ...................................... 24-26
SEC v. Variable Annuity Life Ins. Co. of Am. ............................ 59-8
SEC v. Wall St. Transcript Corp. ............................................. 55-63
SEC v. Whittemore ............................................................... 34B-53
SEC v. W.J. Howey Co............................................................. 47-26
SEC v. Yorkville Advisors, LLC et al. ............................ 61-10, 61-11
Sec’y of State v. Tretiak ........................................................... 35-79
Selzer v. Bank of Berm., Ltd .................................................... 55-50
Shearson/Am. Express, Inc. v. McMahon ......................... 9-6, 35-92
Stanton v. Shearson Lehman/Am. Express, Inc. ........... 49-10, 49-12
State v. Andresen .................................................................... 35-95
State v. Dumke ....................................................................... 35-95
State v. Gunnison ................................................................... 35-79
State v. Landes........................................................................ 35-95
State v. Mueller ...................................................................... 35-95
State v. Shama Res. Ltd., P’ship. ............................................. 35-79
State of N.Y. v. Rachmani Corp............................................... 35-79
Steinhardt Partners, L.P., In re ................................... 33-22, 34B-61
Subpoenas Duces Tecum, In re ............................................. 34B-11
Sundstrand Corp. v. Sun Chem. Corp. ...................................... 29-7
(Inv. Adv. Reg., Rel. #5, 6/14)
T–9
T
Temple v. Gorman .................................................................. 46-28
Thomas v. Metropolitan Life Ins. Co. ....................................... 41-4
Tibble v. Edison Int’l...............................................................49A-7
TransAmerica Mortg. Advisors, Inc. v. Lewis ................1-6, 15A-40,
........................................................15A-45, 34-2, 34-13, 34-14,
....................................................... 34-15, 44-5, 48A-3, 48A-10,
.............................................48A-23, 49C-9, 49E-26, 57-8, 61-3
TSC Indus. Inc. v. Northway, Inc. .......................................... 56-11
U
U.D. Registry, Inc. v. State...................................................... 15-27
Union Cnty., Iowa v. Piper Jaffray & Co. .......... 54-14, 54-15, 54-28
United States v. Albert Jackson Stanley.................................31A-21
United States v. Amaro Goncalves, et al. ..............................31A-26
United States v. Arthur Young & Co. ...................................... 24-35
United States v. Barnhart...................................................... 34B-52
United States v. Bizjet Int’l Sales and Support, Inc................31A-24
United States v. Booker................................................ 24-27, 24-45
United States v. Butler ..........................................................31A-11
United States v. Davila ................................................ 24-27, 24-38
United States v. Elliott............................................................48A-3
United States v. Haligiannis ................................................... 48-32
United States v. Jeffrey Tesler................................................31A-21
United States v. Kellogg Brown & Root LLC..........................31A-20
United States v. Kozeny, et al................................................31A-10
United States v. Kumar & Richards ........................................ 34B-9
United States v. Metcalf & Eddy Int’l, Inc.............................31A-41
United States v. Noall.................................................. 24-22, 24-39
United States v. Noriega et al....................... 31A-8, 31A-9, 49C-52,
............................................................. 49C-53, 49E-42, 49E-43
United States v. O’Hagan ......................................................... 29-7
United States v. Panalpina World Transport (Holding) Ltd. ...31A-22
United States v. Patrick H. McCarthy III .............................. 34B-36
United States v. Ray ............................................................... 34B-9
United States v. Ring .............................................................. 34B-9
United States v. Rodriguez ........................................................ 26-4
United States v. Ruehle........................................................... 34B-9
United States v. Siemens Aktiengesellschaft .........................31A-19
United States v. Singleton....................................................... 34B-9
United States v. Snamprogetti Netherlands B.V.....................31A-11
United States v. Technip .......................................................31A-22
T–10
United States v. United Shoe Mach. Corp............................... 24-22
United States v. Warters............................................... 24-27, 24-38
United States v. Wojciech J. Chodan .....................................31A-21
Upjohn Co. v. United States ..................24-21, 31-30, 33-21, 34B-9
V
Valicenti Advisory Services, Inc. and
Vincent R. Valicenti, In re ...................................................... 6-3
Valicenti Advisory Servs., Inc. v. SEC ............................... 4-29, 6-13
W
Wang v. Gordon .......................................................................... 2-9
Weiner v. Quaker Oats Co. ................................................... 34B-65
Wilko v. Swan ............................................................................. 9-6
Z
Zinn v. Parrish..................................................................... 2-7, 2-9
Zweig v. Hearst Corp. ............................................................. 24-43
(Inv. Adv. Reg., Rel. #5, 6/14)
T–11
SEC NO-ACTION LETTERS
A
ABA Subcommittee on Private Investment Entities
(Dec. 8, 2005) .................................... 2-67, 4A-11, 45A-2, 57-11
(Aug. 10, 2006) .........................................................45A-4, 51-3
ABN AMRO Bank N.V. (July 1, 1997)..............46A-42, 51-7, 51-17,
.................................................................... 51-18, 51-19, 51-22
Aeltus Investment Management, Inc. (July 17, 2000) ...........34A-14
Al O’Brien (Oct. 6, 1973) ......................................... 49C-7, 49E-24
Alexander, Holburn, Beauden & Lang (Aug. 13, 1984) .............. 2-50
Alliance Capital Mgmt. L.P. (Oct. 11, 1989) ........................... 10-25
Allianz of America, Inc. (May 25, 2012) ..................................... 2-9
Alphadex Corp. (Feb. 21, 1972) ................................................ 2-10
American Bar Ass’n, Business Law Section
(Jan. 18, 2012) ..........................................................2-67, 45A-4
Am. Capital Fin. Servs., Inc.
(Apr. 25, 1985)..................................................................... 41-5
(Apr. 29, 1985)................................................. 2-24, 2-41, 38-19
American Century Co., Inc./J.P. Morgan
and Co. (Dec. 23, 1997)............................................9-8, 15A-37
American Express Financial Corp. (Aug. 28, 1995) ................. 10-20
American General Capital Planning, Inc.
(Sept. 18, 1976) ................................ 38-13, 38-19, 38-21, 38-22
(Mar. 21, 1977) ............................................ 38-13, 38-19, 38-21
American International Group, Inc.
(Dec. 8, 2004) ..................................................................34A-14
(Feb. 21, 2006).................................................................34A-14
Am. Skandia Life Assurance Corp. (May 16, 2005)................. 11-22
Ameriprise Financial Services Inc. (Apr. 5, 2006) ..................34A-14
Ameriway Sav. Ass’n (Apr. 28, 1986) ........................................ 2-13
Anametrics Investment Management (May 5, 1977) .................. 6-9
Angel Capital Elec. Network (Oct. 25, 1996) ............................ 2-11
Anthony & Company (Oct. 25, 1974)....................................... 38-8
Anthony Healy (Mar. 25, 1991) ................................................ 2-45
A.R. Schmeidler & Co. Inc. (June 1, 1976) ................................. 7-6
Arkad Co. (Mar. 19, 1992) ........................................................ 2-68
Aspen Grove (Dec. 8, 1982).................................................... 46-19
Associates in Financial Planning (July 24, 1976).............. 38-8, 38-9
Ass’n for Investment Management and Research
(Dec. 18, 1996) ........................................................... 6-13, 45-9
T–12
B
Barclays Bank PLC (June 6, 2007).........................................34A-14
Batterymarch Financial Management (Aug. 29, 1986) ............ 10-25
BDN Advisers Inc. (Aug. 29, 1986) ......................................... 10-25
Benson White & Company’s Life Cycle Mutual Funds
(June 14, 1995) .................................................................... 43-9
BISYS Fund Servs., Inc. (Sept. 2, 1999) ............................ 10-5, 10-6
Boston Advisory Group (Dec. 5, 1976).................................... 38-15
Bradford Hall (July 19, 1991) .................................................... 6-14
Bramwell Growth Fund (Aug. 7, 1996) ........................... 7-12, 45-9,
............................................................................ 48-62, 49C-23
Brent A. Neiser
(Jan. 21, 1985) ..................................................................... 2-41
(Jan. 21, 1986) ................................................................... 38-19
Brighton Pacific Realty Asset Mgmt. Co.
(Feb. 10, 1992).............................................. 2-6, 49C-6, 49E-24
Bruce H. Gemmel (July 14, 1976)............................................. 2-68
BT Alex Brown, Inc. (Nov. 17, 1999) .......................................... 5-6
Bypass Wall Street, Inc. (Jan. 7, 1992)................................ 6-9, 7-10
C
Calvin A. Fisher (May 1, 1972)...................................... 38-7, 38-13
Cambiar Investors, Inc.
(Aug. 28, 1994) .................................................................. 48-48
(Aug. 28, 1997) ...................................................................... 6-5
CFS Sec. Corp. (Feb. 27, 1987) ................................................. 41-7
Charles L. Simpson (July 7, 1992) ............................................ 2-45
Charles Lerner (Oct. 25, 1988) ...................................... 21-2, 21-11
Charles Schwab & Co., Inc. (Apr. 29, 1998)................................ 5-7
Charles St. Sec., Inc. (Feb. 27, 1987) ........................................ 2-10
CIBC Mellon Trust Company (Feb. 24, 2005).......................34A-14
Cigna Securities, Inc. (Sept. 10, 1991) ........................................ 6-5
Clearing Services, Inc. (Feb. 1, 1992) ................................... 49C-28
Clover Capital Mgmt., Inc.
(Oct. 27, 1986) ............................................................... 49C-23
(Oct. 28, 1986) ..............................6-10, 6-11, 7-3, 7-4, 7-5, 7-6,
....................................... 7-9, 7-13, 49C-16, 49E-32, 60-7
(July 19, 1991) ..................................................................... 7-10
Computer Language Res., Inc. (Dec. 26, 1985) ......................... 2-10
CONS Commc’ns Fund, L.P. (Apr. 17, 1987) .......................... 47-40
Constellation Fin. Mgmt., LLC
(Jan. 9, 2003) ............................................ 10-6, 49C-14, 49E-30
(Inv. Adv. Reg., Rel. #5, 6/14)
T–13
Continental Trading (Jan. 22, 1976) ......................................... 38-8
Conway Asset Mgmt., Inc. (Jan. 27, 1989) .................... 7-13, 48-63
Copeland Fin. Servs., Inc. (Sept. 21, 1992) ............................... 45-3
Cornish & Carey Commercial, Inc. (June 21, 1996) .... 46-57, 47-40
Covato/Lipsitz, Inc. (Oct. 23, 1981)................. 6-9, 49C-16, 49E-32
Credit Suisse First Boston Corp. (Aug. 24, 2000) ..................34A-14
Credit Suisse First Boston, LLC (Aug. 31, 2005) ....................... 40-7
Crocker Inv. Mgmt. Corp.
(Apr. 14, 1978)........................................................ 11-14, 40-24
(Apr. 14, 1987)................................................................ 49C-19
Crystal Sec. Corp. (Jan. 4, 1974)............................................. 39-31
Curtis L. Stewart (Feb. 7, 1975) ................................................ 2-13
D
DALBAR (Mar. 24, 1998) ........................................................... 6-6
Dana Inv. Advisors, Inc. (Oct. 12, 1994) ..................................... 5-4
Daughters of Charity National Health System, Inc.
(Apr. 3, 1998)..................................................................... 58-15
Davenport Mgmt., Inc. (Apr. 13, 1993)................................. 46-113
David P. Atkinson (Aug. 1, 1977) ............................................ 38-21
Dean Witter, Discover & Co. (Feb. 8, 1993)..........................15A-37
Dechert, Price & Rhoads (Dec. 4, 1990) ..................................... 5-4
Denver Inv. Advisers (July 30, 1993)........................................... 6-5
Dillon, Read & Co.
(Nov. 17, 1973) .................................................................... 2-10
(Aug. 6, 1975) .................................................................... 19-10
Disclosure, Inc. (Aug. 22, 1996) ............................................. 32-14
DJZ Assoc. Inv. Mgmt. (Feb. 28, 1976) .............................. 2-7, 2-15
Don P. Matheson (Sept. 1, 1976) .............................................. 41-9
Double D Mgmt., Ltd. (Dec. 30, 1982) ..................................... 51-9
Dougherty & Company LLC (July 3, 2003)............ 34A-14, 49C-15,
........................................................................................ 49E-31
Dow Theory Forecasts, Inc. (Aug. 26, 1983) ...................... 6-7, 60-7
Dreyfus Corp. (Mar. 9, 2001)................................................34A-14
Dreyfus Strategic Investing (June 22, 1987) ............................ 12-12
DST Sys., Inc. (Feb. 2, 1993) .................................................. 32-14
T–14
E
Edward F. O’Keefe (Apr. 13, 1978) ................................6-9, 7-4, 7-5
Edward L. Grieger ’s Reports (Standards for Financial Planners)
(May 10, 1979) .................................................................... 38-9
E.F. Hutton & Co., Inc. (Nov. 17, 1983)......... 10-4, 49C-13, 49E-29
Egan-Jones Proxy Servs. (May 27, 2004) .......................... 13-2, 13-5
EJF Capital LLC (Jan. 16, 2007)............................................34A-14
Elmer D. Robinson (Jan. 6, 1986) ................ 2-41, 38-19, 41-5, 41-6
Eugene E. Castleberry (June 17, 1991) ...................................... 2-45
Excellence in Advertising, Ltd. (Dec. 15, 1986) ........................... 5-3
F
Fidelity Mutual Life (Jan. 5, 1974) ............................................ 38-6
Fiduciary Mgmt. Assocs., Inc. (Mar. 5, 1984)................... 7-12, 7-13
Fin. Counseling Corp. (Dec. 7, 1974) ..................................... 38-18
Financial Horizons Advisory (May 25, 1988) ............................ 4-12
Fin. Strategies, Inc. (Feb. 14, 1994)........................................... 2-15
FINESCO (Dec. 11, 1979) ................................ 38-13, 38-18, 38-19
First Call Corp. (Sept. 6, 1995) .................................... 32-13, 32-14
First Commerce Investors, Inc. (Jan. 31, 1991)................ 2-13, 2-48
First Liberty Real Estate Fund (July 14, 1975) ....................... 49B-12
First Southwest Co. (May 27, 2008) .....................................34A-13
Founders Asset Management LLC (Nov. 8, 2000) .................34A-14
FPC Sec. Corp. (Dec. 1, 1974) .................................................. 2-25
FPS Consultants, Ltd.
(Apr. 6, 1976)....................................................................... 38-8
(May 6, 1976) .................................................................... 38-13
Frank T. Hines (Nov. 19, 1972)................. 2-7, 2-15, 49C-6, 49E-24
Franklin Mgmt., Inc. (Dec. 10, 1998) .............. 6-7, 6-8, 48-50, 60-7
G
Gardner Russo & Gardner (June 7, 2006) ...................15A-48, 40-5,
............................................................................... 48-45, 57-11
GE Funds (Feb. 7, 1997) ........................................................... 45-9
General Motors Investment Management Corp.
(Feb. 2, 2000)................................................................... 49B-12
George E. Bates (Mar. 26, 1979)................................................ 41-9
George E. Bates and Assoc. (Apr. 26, 1979).................. 38-19, 38-21
George J. Dippold (May 7, 1990) ..........................................46A-38
(Inv. Adv. Reg., Rel. #5, 6/14)
T–15
Gerald H. Cline (Dec. 13, 1978) ............................................... 38-9
Gim-Seong Seow (Nov. 30, 1987) ................... 2-64, 46A-34, 49C-5,
........................................................... 49E-4, 49E-23, 51-4, 51-8
Goldman, Sachs & Co.
(Feb. 22, 1999)..................................................................... 40-6
(Feb. 23, 2005).................................................................34A-14
(Apr. 12, 2012)...................................................................34A-9
Goldman Sachs Group, Inc. (July 23, 2010)..........................34A-13
Goodwin, Procter & Hoar LLP (Feb.28, 1997) ......................... 45B-4
Great Lakes Advisors, Inc. (Apr. 3, 1992) ......................... 7-12, 7-14
Growth Stock Outlook Trust, Inc. (Apr. 15, 1986) ...... 45-9, 49C-23
Gruntal & Co. (July 17, 1996) .................................................... 5-6
G.T. Global Financial Services (Aug. 2, 1988) ......... 49C-36, 49E-19
Guardian Life Ins. Co. (June 23, 1971) ..................................... 2-62
H
Hall Moneytree Assocs. (Nov. 3, 1983) ................................... 47-33
Handy Place Inv. P’ship (July 19, 1989) .................................. 47-40
Harbert Management Corporation (July 3, 2012)....................34A-9
Hartzmark & Co. (Nov. 11, 1973) ............................................ 19-4
H.E. Butt Grocery Co. (May 18, 2001).................................... 47-44
Heitman Capital Management, LLC (Feb. 12, 2007)......9-5, 15A-40
Hoenig & Co. (Oct. 15, 1990) ................................................ 17-11
Hopkins & Sutter (Jan. 6, 1984) ............................................... 2-11
Horizon Asset Mgmt., LLC (Sept. 13, 1996) ........... 7-13, 7-14, 60-7
H.P. Hambrick Co., Inc. and Pajolo AG (Oct. 14, 1988) .......... 51-12
Hudson Valley Planning, Inc. (Feb. 25, 1978)............................ 2-11
Hugh Johnson & Co. (Feb. 22, 1976)...................................... 38-18
Hungerford, Aldrin, Nichols & Carter (Dec. 10, 1991) .... 2-14, 2-15
Huntington National Bank (Jan. 20, 1988) ........................... 49B-12
I
Institutional Shareholder Servs., Inc. (Sept. 15, 2004) ..... 13-2, 13-5
Institutional Trading Corp. (Nov. 27, 1972)................... 38-5, 38-21
Int’l Ass’n for Fin. Planning (June 1, 1998)................................. 5-3
Internet Capital Corp. (Jan. 13, 1998) ...................................... 2-11
Interstate/Johnson Lane Corp. (Apr. 21, 1997) ............................ 5-6
Investment Adviser Ass’n
(Dec. 2, 2005) ...................................................................... 60-7
(Sept. 20, 2007) ................................................................. 11-19
Investment Assoc., Inc. (Mar. 2, 1980) ................................... 38-21
T–16
Inv. Co. Inst.
(Aug. 24, 1987) .................................... 6-10, 7-9, 48-55, 49C-23
(Sept. 23, 1988) ........................................ 6-10, 7-9, 7-10, 48-55
(Sept. 12, 2011) ...............................................................15A-14
Investment Company Institute, Investment Counsel Association
of America (Apr. 10, 2001) ................................................... 14-4
Inv. Counsel Ass’n of Am., Inc.
(July 9, 1982) ..................................................................... 11-14
(Mar. 1, 2004) ...................... 6-3, 6-7, 6-8, 49C-16, 49E-32, 60-7
Investment Funds Institute of Canada
(Mar. 4, 1996) ......................................... 45B-4, 49C-34, 49E-17
Inv. Mgmt. & Res., Inc.
(Jan. 27, 1977) ............................................... 2-20, 38-19, 38-20
(Dec. 18, 1996) .................................................. 6-13, 7-11, 7-12
IR Resource Planning Corp. (Nov. 18, 1982) ............................. 38-9
ITT Hartford Mutual Funds (Feb. 7, 1997) ............................... 45-9
J
James A. Collins (Feb. 16, 1980)............................................... 38-9
James B. Peeke & Co., Inc. (Sept. 13, 1982)................................ 7-3
James DeYoung (Oct. 24, 2003) ............................................34A-14
James R. Waters (June 1, 1995)................................................. 10-6
Jan L. Warner (Dec. 27, 1988)............................... 2-14, 2-15, 55-61
Janney Montgomery Scott LLC (July 18, 2000) .....................34A-14
J.B. Hanauer & Co. (Dec. 12, 2000)......................................34A-14
J.D. Manning, Inc. (Feb. 27, 1986) ........................................... 2-45
Jeffries & Co. (June 16, 1989) ................................................... 2-13
Jennison Associates LLC (July 6, 2000)................... 7-16, 7-17, 32-5
Jennison Assocs. Cap. Corp. (Dec. 2, 1985) ...............15A-38, 47-69
JMB Fin. Managers, Inc. (June 23, 1993) .................................... 5-3
John B. Kennedy (June 5, 1996) .............................................. 11-14
John Bowen Inv. Mgmt. (May 13, 1997) ................................... 32-4
John G. Kinnard and Co. (Nov. 30, 1983) ................................. 39-5
John W. Henry & Co., Inc. (Sept. 20, 1996) ............................ 51-18
Joseph J. Nameth (Jan. 31, 1983).............................................. 2-48
J.P. Morgan Inv. Mgmt., Inc. (May 7, 1996) .......... 6-11, 7-11, 48-54
J.P. Morgan Securities LLC (Jan. 8, 2013)................................34A-9
(Inv. Adv. Reg., Rel. #5, 6/14)
T–17
K
Kanaly Co. (Sept. 7, 1977) ........................................................ 2-12
Kempner Capital Mgmt., Inc. (Dec. 7, 1987) ............................ 45-3
Kenisa Oil Co. (May 6, 1982) .......................................... 2-14, 2-15
Kidder Peabody & Co., Inc. (Oct. 11, 1990) ............................34A-5
Kinnaid Tech. Advisory Serv. (Nov. 30, 1973) ......................... 39-31
Kiran P. Dave (May 4, 1990) ................................................... 38-19
Kirkpatrick & Lockhart LLP (Jan. 28, 2004).............................. 4-29
Kleinwort Benson Inv. Mgmt. Ltd. (Dec. 15, 1993)
.........................................................2-66, 46A-42, 51-12, 51-17
Knowles and Armstrong (Apr. 16, 1974) ................................. 39-31
Kurtz Capital Mgmt. (Jan. 18, 1988) .......................................... 6-8
L
Lamp Techs., Inc. (May 29, 1997)....................... 2-50, 46-20, 46-54
Larry R. McIntire (Nov. 15, 1989) ............................................ 2-13
Lawwill, Sena & Weller (Apr. 11, 1983) .................................. 11-13
Legg Mason Wood Walker, Inc. (June 11, 2001).....................34A-14
LNC Equity Sales Corp. (Aug. 8, 1997) ..................................... 32-9
Louis Dreyfus Corp. (July 23, 1987) ..................................... 46-113
M
Maccabees Mutual Life Insurance Company
(Aug. 1, 1990) .................................................................. 49B-12
Maccabees Mutual Life Insurance Company
Separate Account (July 29, 1983) ..................................... 49B-12
Magnuson, McHugh & Co. (Nov. 13, 1989) ............................. 2-68
Managed Funds Association (Feb. 6, 2014) ................15A-39, 47-41
Mandell Fin. Grp. (May 21, 1997) ............................................ 4-30
Manning & Napier Advisors, Inc. (Apr. 24, 1990)..................... 43-9
Marakon Sys., Inc. (Sept. 6, 1982) ............................................ 2-10
Marvin Drabinsky (Nov. 2, 1984) ........................................... 38-23
Mary Lee Botsaris (Mar. 25, 1993) ............................................ 2-45
Mass. Fin. Servs. (Oct. 6, 1992)................................................ 32-9
Mayer Brown, LLP
(July 15, 2008) ......................5-4, 15A-8, 49C-15, 49E-31, 57-15
(July 28, 2008) .................................................................15A-18
McEldowney Fin. Servs. (Oct. 17, 1986) ..................................... 9-6
T–18
Mercury Asset Mgmt. plc
(Apr. 6, 1993)...................................................................46A-42
(Apr. 16, 1993)................................................. 2-66, 51-7, 51-17
Merrill Lynch Asset Management, L.P.
(July 1, 1996) ..................................................................... 12-12
(Apr. 28, 1997)................................................................... 19-13
Merrill Lynch Money Mkts. (Jan. 14, 1994) ............................ 12-11
Merrill Lynch, Pierce, Fenner & Smith, Inc.
(Aug. 7, 1997) ........................................................................ 5-6
(Sept. 15, 1999) ..................................................................... 5-6
Merrill Lynch Trust Co., FSB (July 6, 2000) ............ 19-4, 19-5, 40-5
Mexico Fund (Feb. 12, 1975) .................................................. 10-20
Millenia II (Jan. 24, 1992) ................................................... 49C-30
Mitchell Hutchins Asset Mgmt., Inc. (Jan. 2, 1998) ................... 5-6
Money Mgmt. Inst., Securities Industry
Association (Aug. 23, 1999) ............................................... 43-13
Morgan Keegan & Co., Inc. (Apr. 21, 2005) ............................ 43-13
Morgan, Lewis & Bockius LLP
(Apr. 16, 1997).......................................................... 40-6, 43-12
(Aug. 1, 2002) ...................................................................... 34-3
Morgan Stanley & Co. Inc. (Feb. 4, 2005) .............................34A-14
Ms. Stephanie Hibler (Jan. 24, 2014) ......................................15A-5
Munder Capital Mgmt. (May 17, 1996) ............................... 6-3, 6-6
MuniAuction, Inc. (Mar. 13, 2000) ........................... 49C-26, 49E-8
Murray Johnstone Holdings Ltd. (Oct. 7, 1994) ..........46A-42, 51-7,
.................................................................... 51-15, 51-18, 51-21
Murray Johnstone Ltd. (Apr. 17, 1987) ............................ 51-4, 51-6
Mutual Life Ins. Co. of N.Y. (Mar. 2, 1978) .............................. 2-63
Myers Krauss and Stevens (Aug. 19, 1988) ............................. 38-23
N
Nathan & Lewis Sec., Inc.
(Apr. 4, 1988).................... 2-41, 38-20, 38-21, 38-32, 41-5, 41-6
(July 19, 1990) ..................................................................... 4-12
Nat’l Ass’n of Sec. Dealers (Oct. 19, 1993) ................................. 6-6
Nat’l Council of Sav. Institutions (July 27, 1986).................. 46-113
Nat’l Deferred Compensation, Inc. (Aug. 31, 1987) ................. 10-5,
.......................................................................... 49C-14, 49E-30
Nat’l Football League Players Ass’n (Jan. 25, 2002)............ 2-11, 5-4
Nat’l Mutual Grp. (Mar. 8, 1993) ............................................. 2-66
Nat’l Regulatory Servs., Inc. (Dec. 2, 1992) ................... 32-14, 45-3
NationsBanc Inv., Inc. (May 6, 1998) ......................................... 5-6
(Inv. Adv. Reg., Rel. #5, 6/14)
T–19
Neuberger & Berman
(May 29, 1984) .................................................................... 10-4
(Mar. 30, 1987) ............................10-5, 15A-38, 49C-14, 49E-29
New Directions Grp., Inc. (Mar. 6, 1985) ................................. 2-48
N.Y. Investors Grp., Inc. (Sept. 7, 1982) ..................................... 6-5
Nicholas-Applegate Mutual Funds
(Aug. 6, 1996) ............................................... 6-13, 45-9, 49C-23
(Feb. 7, 1997)......................................................... 45-9, 49C-23
Nikko Sec. Inv. Trust & Mgmt. Co. (May 17, 1985)......... 51-6, 51-9
NMB Bank (Sept. 19, 1990)...................................................... 2-13
No Load Mutual Fund Assoc., Inc. (Dec. 31, 1984) ......... 2-10, 2-45
Northeastern Pennsylvania Synod of the
Evangelical Church in America (May 3, 1988) ................... 58-15
Northwestern Nat’l Life Ins. Co. (Jan. 6, 1983) ........................ 2-63
O
Oppenheimer & Co.
(July 5, 1979) ..................................................................... 24-43
(June 5, 1992) ........................................................................ 5-6
Oppenheimer Arbitrage Partners, L.P. (Dec. 26, 1985) ............ 46-54
Oppenheimer Mgmt. Corp. (Aug. 28, 1995) ........................... 32-14
Owen T. Wilkenson & Associates, Inc. (Feb. 3, 1988) ............. 19-17
P
Pacific Select Fund, et al. (Dec. 23, 2004) ............................... 10-17
Paul Laude, CFP (June 22, 2000) ..........................................34A-14
Pennsylvania Local Government Investment Trust
(May 2, 1981) .................................................................... 55-49
PerfectData Corp. (Aug. 5, 1996) .............................................. 2-11
Peter Adamson III (Apr. 3, 2012) ............................................ 59-20
Piette & Assocs., Ltd. (Aug. 18, 1981) .................................... 19-17
PIMS, Inc. (Oct. 21, 1991)...................................................... 11-18
Pretzel & Stouffer (Dec. 1, 1995) ............................................ 57-12
PricewaterhouseCoopers Inv. Advisors, LLC
(Aug. 10, 1999) ....................................................... 11-20, 11-21
Prime Advisors, Inc. (Nov. 8, 2001) ......................................34A-14
Princor Fin. Servs. Corp.
(Jan. 30, 1991) ............................................. 38-20, 38-21, 38-32
(Jan. 31, 1991) ............................................................ 2-41, 41-6
T–20
Professional Education and Planning Alliance
(Apr. 15, 1989)................................................................... 38-19
Prudential-Bache Special Situations Fund (Sept. 6, 1984)........ 51-12
Prudential Financial, Inc. (Sept. 5, 2008) ..............................34A-14
Prudential Ins. Co. of Am.
(June 3, 1977) ...................................................................... 2-63
(Mar. 1, 2005) ......................................................... 27-15, 32-10
Prudential Securities Inc. (Feb. 7, 2001)................................34A-14
Putnam Option Income Trust II (Sept. 23, 1985).................... 12-12
R
Raymond A. Parkins & Assocs. (July 18, 1974) ....................... 38-18
RDP Inv. Ltd. (May24, 1975).................................................... 10-5
R.E. Fin.
(May 5, 1989) .................................................................... 38-18
(June 29, 1989) .................................................................... 2-41
Reavis & McGrath (Oct. 29, 1986) ....... 49C-5, 49E-4, 49E-23, 51-8
Regions Financial Corp. (Sept. 24, 2010) ..............................34A-13
Reuters Info. Servs., Inc. (Jan. 17, 1991) ................................... 2-48
Richard Ellis (Mar. 19, 1981) ................................................ 45B-11
Richard Ellis, Inc. (Sept. 17, 1981) ......2-62, 2-63, 2-64, 2-65, 2-66,
.............................................................. 46A-41, 46A-42, 48-19,
......................................................... 48-67, 51-11, 51-12, 51-13
Richard J. Shaker (Aug. 1, 1977) ............................... 49C-7, 49E-24
Richard Silverman (Mar. 27, 1985) ............................................. 6-5
RNC Capital Mgmt. Co. (Mar. 8, 1985).................................... 10-4
Robert D. Brown Investment Counsel (July 19, 1984)............... 10-5
Robert L. Hammond, Jr. (Aug. 30, 1985)................................. 55-61
Robert R. Champion (Sept. 22, 1986) .................................. 2-8, 2-9
Robert T. Willis, Jr., P.C. (Jan. 18, 1988) ................................. 46-18
Rocky Mountain Fin. Planning, Inc. (Mar. 28, 1983) ................ 41-9
Roney & Co. (Apr. 3, 1985) .................................................... 38-18
Royal Bank of Canada (June 3, 1998)..........................46A-42, 51-7,
............................................................................... 51-18, 51-19
Runyon Assocs.—Consultant Publ’ns, Inc.
(Nov. 17, 1974) .................................................................. 39-31
(Inv. Adv. Reg., Rel. #5, 6/14)
T–21
S
Salomon Bros.
(May 4, 1975) ...................................................................... 13-2
(Jan. 26, 1994) ...................................................................34A-5
Salomon Bros. Asset Mgmt., Inc. and Salomon Bros.
Asset Mgmt. Asia Pacific Ltd.
(July 23, 1999) .......................................... 7-15, 7-16, 32-5, 32-6
S&R Mgmt. Co. (May 8, 1975)................................................. 2-50
Sanford C. Bernstein Fund, Inc. (June 25, 1990) ..................... 12-12
Santa Barbara Sec. (Apr. 8, 1983) ............................................ 46-54
Savoy Capitol Mgmt. (Nov. 15, 1989) ....................................... 2-13
SCF Partners, L.P. (Dec. 16, 1991) ............................................ 48-3
Scientific Mkt. Analysis (Mar. 24, 1976)..................................... 7-5
Sebastian Assocs., Ltd. (Aug. 7, 1975) ...................................... 2-11
Sec. Am. Advisors, Inc. (Apr. 4, 1997) .................................... 11-14
Sec. Indus. Ass’n
(Nov. 27, 1989) ........................................................... 6-10, 6-11
(Feb. 12, 2004).................................................................15A-62
(Dec. 16, 2005) ........................ 2-21, 38-22, 38-29, 39-17, 57-11
Securities Industry and Financial Markets Association
(SIFMA) (Jan. 11, 2011) ..................................... 15A-62, 15A-63
Securities Sources, Inc. (May 18, 1989) ......................... 38-20, 41-6
Seger-Elvekrogen (Oct. 13, 1998) ..................................... 4-14, 4-28
Seligman New Techs. Fund II, Inc. (Feb. 7, 2002) ........ 10-23, 10-24
Shoreline Fund, L.P. (Apr. 11, 1994)............................. 46-56, 46-57
Six Pack (Nov. 13, 1989)......................................................... 47-40
SMC Capital, Inc. (Sept. 5, 1995) .................................. 19-18, 20-9
Standard & Poor ’s Corp. (Nov. 23, 1975)................................ 39-31
Starr & Kuehl, Inc. (Apr. 17, 1976) .................................... 6-8, 60-7
State St. (Sept. 29, 1972) .......................................................... 13-2
Stein Roe & Farnham (June 29, 1990) ........................................ 5-4
Stephens, Inc. (Dec. 27, 2001).....................34A-5, 34A-13, 34A-14
Stephenson and Co. (Dec. 29, 1980).............. 10-5, 49C-14, 49E-30
Steve A. Flamm (Mar. 18, 1993) ............................................... 2-50
Strategic Advisers (Dec. 13, 1988) ............................................ 10-5
Sunbelt Farm Investment Report (Mar. 18, 1985) ............ 4-15, 4-28
Sunkist Master Trust, et al. (June 5, 1992) ............................. 46-52
Suzanne Clark-James (Aug. 30, 1984).............................. 2-14, 2-15
Syrus Assocs., Ltd. (Oct. 23, 1981) ........................................... 2-10
T–22
T
Taurus Advisory Grp., Inc. (July 15, 1993)....................... 6-14, 7-14
TBA Fin. Corp. (Dec. 7, 1983) ................................................ 24-40
TCW Group, Inc. (Nov. 7, 2008) ............................ 6-8, 48-50, 60-7
The Ayco Co., L.P. (Dec. 14, 1995) .......................................15A-38
The I.E.S. Management Group, Inc. (Mar. 4, 1971) .................. 38-4
The Knight Group (Nov. 13, 1991) ......................................... 55-15
The National Mutual Group (Mar. 8, 1993) ................. 51-7, 51-17,
............................................................................... 51-20, 51-21
The Pan Agora Group Trust (Apr. 29, 1994)............................ 47-40
The Provident Bank (Sept. 24, 1991) ...................................... 49B-6
Thompson Fin., Inc. (July 10, 2002) ..... 2-49, 2-50, 46A-38, 46A-39
Thomson Advisory Group L.P. (Sept. 26, 1995) .............. 2-62, 2-64,
............................................................................... 51-12, 51-18
Thraikill & Goodman, P.C. (July 16, 1982)............................. 55-61
Townsend and Assocs., Inc. (Sept. 21, 1994)................ 38-19, 38-20
Trainer, Wortham & Co., Starbuck, Tisdale & Assoc.
(Dec. 6, 2004) ............................................................. 7-3, 10-16
Tucker Anthony Inc. (Dec. 21, 2000) ....................................34A-14
Tyler Capital Fund, L.P. (Sept. 28, 1987) ................................. 47-40
U
UBS Fin. Servs. Inc.
(Sept. 29, 2005) ................................................................... 2-22
(May 24, 2007) .................................................................. 43-13
União de Bancos de Brasileiros S.A. (July 28, 1992) ......2-65, 45A-6,
....................................................................46A-42, 48-67, 51-5
United Missouri Bank of Kansas City (Jan. 23, 1995) ............... 43-9
Universal Heritage Investments Corporation (Mar. 13, 1971) ... 38-4
V
Vocor Int’l Holdings S.A. (Apr. 9, 1990) .................................... 51-4
Volunteer Corp. Credit Union (May 28, 1993)........................ 11-14
(Inv. Adv. Reg., Rel. #5, 6/14)
T–23
W
Wachovia Securities LLC (Apr. 30, 2007) ................................ 43-13
Wall St. Preferred Money Managers, Inc. (Apr. 10, 1992) .......... 43-9
Walter L. Stephens (Nov. 18, 1985)........................................... 51-4
Weiss, Barton Asset Mgmt. (Mar. 12, 1981)....... 2-6, 49C-6, 49E-24
WestAmerica Inv. Co. (Nov. 26, 1991) ...................................... 43-9
Westfield Consultants Group, Inc. (Dec. 13, 1991)................... 43-9
William Bloor (Feb. 15, 1980) ................................... 49C-7, 49E-24
William Casey (June 1, 1974) ................................................... 2-13
William J. Hughes (June 4, 1980) ............................................. 2-13
William Wood Enterprises, Inc. (1972) ................................... 55-62
Wilmer, Cutler & Pickering (Oct. 5, 1998) .............. 49C-34, 49E-17
Wolf, Block, Schorr and Solis-Cohen (Dec. 11, 1996).............. 47-29
Woodtrails-Seattle, Ltd. (Aug. 9, 1982) ................................... 46-19
W.R. Huff Asset Mgmt. Co., L.P. (Aug. 10, 1994)...................... 32-9
WR Inv. Partners Diversified Strategies Fund, L.P.
(Apr. 15, 1992)................................................................... 47-40
Z
Zenkyoren Asset Management of America, Inc.
(June 30, 2011) ...................................................................... 2-8
Zurich Ins. Co. (Aug. 31, 1998) .................................................. 9-8
T–24
SECURITIES ACT OF 1933
generally .........1-24, 2-47, 2-53,
...... 4-7, 6-2, 12-6, 15A-20,
......... 22-11, 27-10, 34A-6,
....... 34B-14, 34B-66, 35-7,
..........35-32, 35-59, 35-92,
................42-2, 42-3, 42-4,
............42-22, 42-27, 43-6,
........... 43-8, 44-11, 45B-4,
........... 45B-6, 46-9, 47-10,
..........47-33, 47-37, 47-44,
............47-58, 49-7, 49-66,
....... 49B-6, 49E-4, 49F-25,
..............50-4, 51-25, 57-4,
........................58-6, 58-21
§ 2(1)...............................47-26
§ 2(10) ....................6-17, 42-28
§ 2(13) .............................46-48
§ 2(a)(1) ...........................46-13
§ 2(a)(11) ..............46-21, 54-13
§ 3(a)(2) .. 46-48, 49B-6, 49B-10
§ 3(a)(2)(C) ..................... 49B-6
§ 3(a)(5)(A) ...........46-48, 58-38
§ 3(a)(11) .........................47-35
§ 3(b) ...............................47-35
§ 3(b)(1) ...........................47-28
§ 3(b)(2) ...........................47-35
§ 4(2)............12-11, 27-9, 46-9,
..........46-16, 46-21, 46-22,
..........46-27, 46-44, 46-54,
....... 47-27, 48-38, 49C-30,
............... 49C-34, 49C-35,
..................49E-17, 49E-18
§ 4(6)...........27-9, 46-24, 48-38
§ 4(a)(2) ...............47-27, 47-28,
...........47-32, 47-34, 47-38
(Inv. Adv. Reg., Rel. #5, 6/14)
§ 5 ............. 6-17, 42-28, 47-27,
.....47-28, 49C-29, 49C-30,
................. 49C-31, 49E-13
§ 5(a)...... 47-26, 49C-27, 49E-8
§ 5(c)................. 49C-27, 49E-8
§ 8A ................ 48A-13, 48A-14
§ 10........................ 6-17, 42-28
§ 10(a)(3)............34A-12, 42-22
§ 11........................ 34-2, 54-13
§ 12................................... 34-2
§ 12(a)(2)......................... 35-91
§ 14..................................... 9-6
§ 15......................23A-5, 24-42
§ 17......... 46-186, 55-44, 55-67
§ 17(a)........ 19-8, 28-15, 35-78,
.......... 38-4, 46-17, 46-185,
.... 46-187, 48A-14, 48A-21
§ 17(a)(1)....................... 46-187
§ 17(a)(2)................. 7-8, 35-79,
..................46-187, 48A-16
§ 17(a)(2)–(3).................48A-16
§ 17(a)(3)............ 35-79, 46-187
§ 18........................ 37-6, 46-27
§ 18(a)(1)......................... 46-29
§ 18(b)(1) ........................ 35-86
§ 18(b)(2) ........................ 35-86
§ 18(b)(4)(D) ................... 46-27
§ 18(c)(1)................ 37-6, 46-28
§ 18(c)(2)(B) .................... 46-28
§ 18(c)(3)......................... 46-28
§ 20............................... 34B-53
§ 27A .............................34A-9,
................. 34A-10, 34A-11
§ 27A(b) ........................34A-10
§ 28................................. 46-16
T–25
Securities Act Releases
4552, Non-Public Offering Exemption (Nov. 6, 1962)............. 47-27
5310, Commission’s Decisions on Advisory Committee
Recommendations Regarding Commencement of
Enforcement Proceedings and Termination of
Investigations (Mar. 1, 1973) ........................................... 34B-59
6188, Employee Benefit Plans (Feb. 1, 1980) ........................ 49B-12
6863, Offshore Offers and Sales (May 2, 1990) ......49C-30, 49C-31,
.............................................. 49C-32, 49C-33, 49C-35, 49E-13,
................................................. 49E-14, 49E-15, 49E-16, 49E-18
7233 (Oct. 6, 1995) .................................................................. 40-9
7308, In the Matter of Portfolio Management
Consultants, Inc. (June 27, 1996) ...................................... 43-11
7856, SEC Interpretation: Use of Electronic Media
(May 4, 2000) .................................................................... 46-21
7866, In re William M. Stephens (June 14, 2000) ................... 48-34
7881, Selective Disclosure and Insider Trading
(Aug. 15, 2000) ....................................................... 29-6, 34B-65
8041, SEC Proposed Rule (Dec. 27, 2001) .............................. 46-27
8185 (Jan. 29, 2003)............................................................... 24-36
8284, Order Instituting Proceedings, Brightpoint, Inc.
(Sept. 11, 2003) ............................................................... 34B-11
8591, Securities Offering Reform (Aug. 3, 2005) ...................34A-12
8651, Order Instituting Proceedings, Applix, Inc.
(Jan. 4, 2006) ................................................................... 34B-28
8766, Prohibition of Fraud by Advisers to Certain Pooled
Investment Vehicles; Accredited Investors in Certain
Private Investment Vehicles (Dec. 27, 2006) ....................46A-32
8814, Revisions of Limited Offering Exemptions in
Regulation D (June 29, 2007)................................46-15, 46A-34
8998, Enhanced Disclosure and New Prospectus Delivery
Option for Registered Open-End Management Companies
(Jan. 13, 2009) ..................................................................... 42-9
9009, Adjustments to Civil Monetary Penalty Amounts
(Mar. 3, 2009) .................................................................... 29-11
9080, J.P. Morgan Securities Inc. (Nov. 4, 2009) ...................34A-11
9090, Investools, Inc. (Dec. 10, 2009) ..................................34A-11
9128, Mutual Fund Distribution Fees, Confirmations
(July 21, 2010) ................................................................... 42-10
9130, Goldman, Sachs & Co. (July 22, 2010) .......................34A-11
9167, Am. Pegasus LDG, LLC et al.
(Dec. 21, 2010) ................................................. 48A-13, 48A-14,
.............................................................48A-15, 48A-17, 48A-22
T–26
9171, Charles Schwab Inv. Mgmt., et al.
(Jan. 11, 2011) ................................................... 48A-15, 48A-17
9211, Disqualification of Felons and Other “Bad Actors”
from Rule 506 Offerings (May 25, 2011) ................. 46-22, 47-31
from Rule 506 Offerings (June 1, 2011)..............................34A-7
9287, Net Worth Standard for Accredited Investors
(Dec. 21, 2011) .................................................................. 47-29
9298, GE Funding Capital Mkt. Servs., Inc. (Feb. 1, 2012) .....34A-9
9302, Laurence Albukerk & EB Fin. Grp., LLC
(Mar. 14, 2012) .....................................48A-19, 48A-20, 48A-21
9315, GMB Capital Mgmt., LLC, et al.
(Apr. 20, 2012)........................ 48A-14, 48A-15, 48A-16, 48A-17
9320, UBS Fin. Servs. Inc. of Puerto Rico
(May 1, 2012) ....................................................................34A-9
9326, Quantek Asset Mgmt., LLC, et al.
(May 29, 2012) .....................................48A-15, 48A-16, 48A-17
9329, Oppenheimerfunds, Inc. & Oppenheimerfunds
Distrib., Inc. (June 6, 2012) ............................... 48A-15, 48A-16
9336, In the Matter of Belsen Getty, LLC, Terry M. Deru,
and Andrew W. Limpert (July 11, 2012) ...........................15A-49
9338, Further Definition of “Swap,” “Security-Based Swap,”
and “Security-Based Swap Agreement”; Mixed Swaps;
Security-Based Swap Agreement Recordkeeping
(July 18, 2012) ............................................... 58-9, 58-10, 58-12
9380, J.P. Morgan Secs. LLC et al. (Jan. 9, 2013) ....................34A-9
9390, Oppenheimer Asset Mgmt. Inc. & Oppenheimer
Alternative Inv. Mgmt., LLC (Mar. 11, 2013) ..... 48A-18, 48A-19
9396, In re John Thomas Capital Management Group LLC,
d/b/a Patriot28 LLC (Mar. 22, 2013) ................... 48A-17, 48A-18
from Rule 506 Offerings (July 10, 2013)....... 35-13, 35-82, 47-31
9415, Eliminating the Prohibition Against General Solicitation
and General Advertising in Rule 506 and Rule 144A
Offerings (July 10, 2013) ......................................... 47-30, 47-31
9416 (proposed July 10, 2013) ................................................ 47-29
9497, Proposed Rule Amendments for Small and Additional
Issues Exemptions under Section 3(b) of the Securities
Act (Dec. 18, 2013)............................................................ 47-35
(Inv. Adv. Reg., Rel. #5, 6/14)
T–27
SECURITIES EXCHANGE ACT OF 1934
generally.........2-28, 9-6, 11-29,
..............12-6, 14-10, 18-2,
............19-13, 22-11, 24-5,
............27-4, 27-10, 27-16,
............32-15, 34-3, 34-14,
.....34A-8, 34B-38, 34B-39,
....... 34B-64, 34B-66, 35-7,
..........35-32, 35-59, 39-18,
..........40-23, 42-13, 42-23,
..........45-5, 46-113, 47-32,
..........47-66, 49-27, 49-28,
..........49-29, 49-42, 49-62,
.......49B-7, 49C-5, 49E-23,
............51-13, 52-3, 56-13,
.............57-15, 58-6, 61-13
§ 3 ....... 49C-24, 49C-25, 49E-6
§ 3(a)(4) ................46-113, 59-2
§ 3(a)(5) ................46-113, 59-2
§ 3(a)(6) ...........................56-14
§ 3(a)(9) ...........................55-49
§ 3(a)(10) ........... 49C-25, 49E-7
§ 3(a)(11) ...................... 46-115,
..................... 46A-17, 56-3
§ 3(a)(12) .............2-47, 46-115,
.......... 49B-7, 55-60, 55-64
§ 3(a)(18) ...........................2-41
§ 3(a)(19) .........................56-14
§ 3(a)(23) .........................49-27
§ 3(a)(35) ...............17-5, 55-81,
......................56-22, 56-25
§ 3(a)(37) ............. 33-2, 46A-73
§ 3(a)(39) ...................... 34A-18
§ 3(a)(42) .........................55-64
§ 3(a)(55)(A) ......................58-8
§ 3(a)(55)(B).......................58-9
§ 3(a)(62) .........................19-15
§ 3(a)(68) .........................54-10
§ 3(a)(69) ..............54-10, 54-19
§ 3(d) ......................54-23, 55-4
§ 9 .....................................55-3
§ 9(i)..............................46-185
§ 9(j)..............................46-186
§ 10 ........................55-3, 55-67
§ 10(b)......15A-30, 19-8, 28-15,
.......31A-28, 34-14, 34-15,
......... 34B-63, 35-79, 38-4,
..... 46-17, 46-184, 46-185,
..... 46-186, 46-187, 48-43,
..48A-14, 48A-21, 48A-22,
..... 49C-37, 49E-20, 55-67
§ 10A .................31-12, 46A-66
§ 11(a)...................... 18-2, 18-3
§ 11(a)(1)......................... 40-11
§ 12 ................ 46-131, 46-139,
....................... 56-3, 56-17
§ 12(g)....... 46-29, 46-30, 47-44
§ 12(g)(2)(G)...................... 56-3
§ 12(g)(5)........................... 56-4
§ 13 ........... 27-9, 46-13, 46-17,
.... 46-84, 46A-18, 49C-48,
................. 49C-49, 56-18,
....................... 57-3, 61-14
§ 13(d) ............ 46-130, 46-131,
...... 46-133, 49C-49, 56-2,
...... 56-3, 56-5, 56-7, 56-8,
........... 56-9, 56-10, 56-11,
......... 56-12, 56-14, 56-15,
..................... 56-17, 56-22
§ 13(d)(1) ......................34A-25
§ 13(d)(6) ........................ 56-17
§ 13(f) ............ 46-133, 49C-49,
........ 49C-50, 56-2, 56-20,
.................... 56-21, 56-22,
..................... 56-23, 56-25
§ 13(f)(1) ...................... 49C-50
§ 13(g).... 46-130, 46-131, 56-2,
............ 56-9, 56-12, 56-17
§ 13(h) ............ 46-133, 46-134,
....................... 56-2, 56-23
§ 13B .............................. 47-67
§ 15 ......... 46-45, 54-13, 54-21,
...................... 55-3, 55-27,
..................... 55-33, 56-14
§ 15(a)............49C-24, 49C-27,
..................... 49E-6, 49E-8
T–28
§ 15(a)(1) ...................... 46-113,
................... 49C-24, 49E-6
§ 15(b) ............................15-10,
............23A-4, 34-4, 34A-8
§ 15(b)(1) .........................11-11
§ 15(b)(4) ..................... 34A-12,
................... 34A-18, 54-25
§ 15(b)(4)(B)....... 34A-10, 54-25
§ 15(b)(4)(C) ....................54-25
§ 15(b)(4)(E)..........24-37, 35-56
§ 15(b)(6) .........................24-37
§ 15(b)(6)(A)(i) .................31-23
§ 15(b)(11) .......................14-10
§ 15(c)(1) .................19-8, 38-4,
................. 49C-37, 49E-20
§ 15(d) ...................27-9, 46-13,
........ 46-17, 46-84, 46A-18
§ 15(f)....................27-16, 29-8,
.............29-9, 29-10, 29-18
§ 15(k) ........................2-31, 8-9
§ 15(o) .............................35-92
§ 15A(1) ......................... 34A-8
§ 15B ...................52-14, 54-10,
.....................54-13, 54-25,
...........55-33, 55-35, 55-61
§ 15B(a)(1) .............54-2, 54-13,
......................54-23, 54-26
§ 15B(b)(2).......................54-29
§ 15B(b)(2)(C) ....................54-9
§ 15B(c) ...........................54-25
§ 15B(c)(1) ...........54-26, 54-27,
......................54-28, 54-29
§ 15B(e) .............................55-4
§ 15B(e)(2) .......................54-11
§ 15B(e)(3) ............54-11, 54-12
§ 15B(e)(4) .............54-5, 54-10,
..........54-13, 54-18, 54-19,
.......................54-20, 55-5,
......................55-10, 55-12
§ 15B(e)(4)(A) ....................2-70
§ 15B(e)(4)(A)(i) ....54-22, 54-27
§ 15B(e)(4)(A)(ii) ...54-27, 54-31
§ 15B(e)(4)(i)....................54-29
§ 15B(e)(4)(ii)...................54-29
§ 15B(e)(5) .........................54-9
(Inv. Adv. Reg., Rel. #5, 6/14)
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
T–29
15B(e)(8)................ 54-8, 55-4
15B(e)(9)......................... 54-7
15B(e)(10)....................... 54-8
15F(b)......................... 46-172
15F(h)(2)(C)................ 46-166
16....... 27-8, 46-139, 49C-48,
........... 49C-51, 56-3, 56-7,
..................... 56-11, 56-16,
........................ 56-18, 57-3
16(a)........................... 46-139
16(b)........................... 46-139
16(c) ........................... 46-139
17(a)........................... 34B-17
17A(c)(3) ....................34A-18
20................................. 24-43
20(a)................. 24-42, 29-10,
...... 31A-29, 31A-36, 35-69
20(e).............................23A-5
20A ................... 29-10, 48-43
21................................. 35-70
21(a)...... 24-23, 31-24, 33-24,
................... 34-10, 34B-13,
..................34B-18, 34B-60
21(a)(2)......................... 35-71
21(c) ........................... 34B-31
21A ............ 29-2, 29-9, 29-11
21A(a)(3) ...................... 29-11
21A(b)(1)(A) ...... 29-10, 29-11
21A(b)(1)(B)....... 29-10, 29-11
21C .............. 48A-13, 48A-14
21E ...34A-9, 34A-10, 34A-11
21F.............. 31-3, 31-4, 31-5,
...... 31-21, 46A-62, 46A-63
24(c) ............................. 33-28
28(e).............. 1-10, 4-8, 17-4,
....... 17-5, 17-6, 17-7, 17-8,
............ 17-9, 17-10, 17-11,
.......... 17-12, 17-13, 17-15,
.......... 17-17, 17-19, 20-13,
.......... 20-17, 20-18, 20-19,
.......... 20-20, 20-21, 20-22,
.......... 20-25, 20-26, 21-11,
.......... 40-10, 44-5, 46-122,
.... 46-123, 46-124, 46-125,
.... 46-126, 46-127, 46-128,
......46-129, 46-130, 49-73,
..........55-79, 55-80, 55-81,
........................57-9, 57-10
§ 28(e)(3) ............46-125, 55-80
§ 28(e)(3)(A) ..........17-6, 20-19,
...............................46-126
§ 28(e)(3)(B) .......... 17-6, 20-19,
.............................. 46-126
§ 28(e)(3)(C) ........... 17-8, 20-19
§ 30A .............................. 47-67
Securities Exchange Act Releases
3211, In the Matter of Wunderlich Secs., Inc.
(May 27, 2011) .................................................................. 34B-8
4048, In the Matter of Arleen W. Hughes
(Feb. 18, 1948)............................... 8-5, 15A-45, 49C-9, 49C-10,
....................................................... 49E-26, 49E-27, 55-68, 57-8
5738, In the Matter of Nev-Tah Oil and
Mining Co. (July 22, 1958) ................................................ 56-19
8426, Kidder, Peabody & Co. (Oct. 16, 1968)............................ 16-2
8662, Richard N. Cea et al. (Aug. 6, 1969) ............................... 38-5
9082, In re Haight & Co., Inc. (Feb. 19, 1971) ................ 38-4, 41-7
9478, In re Winfield & Co., Inc., et al. (Feb. 9, 1972) ............. 48-33
11,203 (Jan. 23, 1975) .............................................................. 2-24
12,251 (Mar. 24, 1976)........................................................... 55-80
14,692 (Apr. 21, 1978) ............................................................. 56-4
14,852 (June 15, 1978) ........................................................... 56-22
15,292 (Nov. 2, 1978)............................................................. 56-22
16,278, Interpretative Release Relating to Record Keeping and
Record Production Obligations of National Securities
Exchanges and Registered Securities Associations
(Oct. 12, 1979) .................................................................... 33-3
16,679, Report of Investigation In the Matter of Investors
Information, Inc. (Mar. 19, 1980) ...................................... 17-20
20,017 (1989)......................................................................... 55-61
23,170, Interpretive Release Concerning Scope of Section 28(e)
of the Securities Exchange Act of 1934 and Related Matters
(Apr. 23, 1986)............................ 16-2, 16-3, 17-9, 17-11, 17-16,
............................................. 17-17, 20-13, 20-18, 20-19, 20-25,
...................................................... 40-10, 44-5, 46-122, 46-125,
................................................ 55-79, 55-80, 55-81, 55-82, 57-9
23,640, In re Shearson Lehman Brothers, Inc., Stein Roe &
Farnham (Sept. 24, 1986) ......................................... 34-5, 57-12
25,801, Exemption of Certain Foreign Brokers or
Dealers (June 14, 1988) ....................................... 49C-25, 49E-7
27,017, Registration Requirements for Foreign
Broker-Dealers (July 11, 1989) .................. 49C-25, 49E-6, 49E-7
T–30
29,018, In re Arthur James Huff (Mar. 28, 1991) ...................... 34-7
31,533 (Nov. 30, 1992)........................................................... 33-28
31,553 (Dec. 3, 1992)............................................................... 23-6
31,554, In re John H. Gutfreund (Dec. 3, 1992) ........... 24-26, 34-6,
................................................................................... 34-8, 34-9
32,757, In re Butcher Venture Mgmt. Co. (Aug. 17, 1993) ...... 56-12
33,007 (Oct. 4, 1993) ............................................................. 33-28
33,743 (Mar. 9, 1994)............................................................. 17-20
34,756, In re Joan Conan (Sept. 30, 1994) .............................. 27-22
34,962 (Nov. 10, 1994)........................................................... 17-20
35,057, In re Gabelli & Co. and GAMCO Investors, Inc.
(Dec. 8, 1994) ........................................................... 27-17, 29-9
35,082, Report of Investigation In the Matter of the Cooper
Companies, Inc. As It Relates to the Conduct of
Cooper ’s Board of Directors (Dec. 12, 1996) ...................... 24-45
35,375 (Feb. 14, 1995)........................................ 4-14, 17-13, 17-17
36,518, In re John J. Kaweske (Nov. 27, 1995) ........................ 27-22
37,376, In the Matter of Portfolio Management
Consultants, Inc. (June 27, 1996) ...................................... 43-11
37,940, Fox-Pitt, Kelton, Inc. (Nov. 12, 1996)......................... 27-17
38,245, Reporting Requirements for Brokers or Dealers
under the Securities Exchange Act of 1934
(Feb. 5, 1997)................................................................... 34B-38
38,596, In re Russell W. Stein, Ford D. Albritton, Jr.,
and Dover & Assocs., Inc. (May 9, 1977) ............................... 5-2
39,157, Report of Investigation In the Matter of
W.R. Grace, Inc. (Sept. 30, 1997) ....................................... 24-45
39,538 (Jan. 12, 1998) ..................................................... 56-5, 56-6
41,036, In re Republic New York Securities Corporation
and James Edward Sweeney (Feb. 10, 1999) ....................... 17-20
42,728 (Apr. 28, 2000).............................................................. 40-9
42,728, SEC Interpretation: Use of Electronic Media
(May 4, 2000) .................................................................... 46-21
42,941, In re William M. Stephens (June 14, 2000) ................ 48-34
42,968, In the Matter of Waste Mgmt., Inc.
(June 12, 2000) ................................................................ 34B-18
42,974 (June 29, 2000, effective as of Nov. 13, 2000) ............. 47-61
42,974, Privacy of Consumer Financial Information
(Regulation S-P) (June 29, 2000) ........... 46A-99, 49C-39, 49E-22
43,154, Selective Disclosure and Insider Trading
(Aug. 15, 2000) .................................................................... 29-6
43,183, In the Matter of Boston Scientific Corp.
(Aug. 21, 2000) ................................................................ 34B-18
44,283, In the Matter of Guy P. Wyser-Pratte, Wyser-Pratte Mgmt.
Co., Inc. and Wyser-Pratte and Co., Inc. (May 9, 2001)...... 29-13
(Inv. Adv. Reg., Rel. #5, 6/14)
T–31
44,969, Report of Investigation Pursuant to Section 21(a)
of the Securities Exchange Act of 1934 and Commission
Statement on the Relationship of Cooperation to Agency
Enforcement Decisions (Oct. 23, 2001)....... 24-23, 24-25, 31-24,
....................................................33-24, 34-10, 34B-18, 34B-19,
................................................ 34B-20, 34B-21, 34B-27, 34B-60
45,194, Commission Guidance on the Scope of
Section 28(e) of the Exchange Act (Dec. 27, 2001) ............. 17-12
46,937, In the Matter of Deutsche Bank Secs., Inc.
(Dec. 3, 2002) .....................................................34B-35, 34B-36
47,752, Financial Crimes Enforcement Network and
Securities and Exchange Commission, Customer
Identification Programs for Broker-Dealers
(Apr. 29, 2003).................................................................15A-61
49,386, In the Matter of Banc of Am. Secs. LLC
(Mar. 10, 2004) ................................................................ 34B-17
49,537 (Apr. 7, 2004) ............................................................... 25-2
50,138, In the Matter of Fid. Brokerage Servs. LLC
(Aug. 3, 2004) .................................................................. 34B-35
50,781, Disposal of Consumer Report Information
(Dec. 2, 2004) ..................................... 46-99, 46A-102, 46A-103
(Dec. 8, 2004) .................................................................... 15-17
51,523, Certain Broker Dealers Deemed Not to Be
Investment Advisers (Apr. 15, 2005) .................................... 43-3
51,761, In the Matter of Smith Barney Fund
Management LLC (May 31, 2005) ...................................15A-42
52,635
(Oct. 2005) ........................................................................ 20-17
(July 18, 2006) ................................................................... 21-11
53,029, In re Schultz Investment Advisers, Inc.
(Dec. 28, 2005) .................................................................... 56-6
53,201, In re Schield Management Co. (Jan. 31, 2006)........... 33-20
53,473, In the Matter of Merrill Lynch, Pierce, Fenner &
Smith, Inc. (Mar. 13, 2006).............................................. 34B-17
54,047, In the Matter of Morgan Stanley & Co. Inc. and
Morgan Stanley DW, Inc. (June 27, 2006) ............................ 29-9
54,118, National Association of Securities Dealers, Inc.;
Regulation of Compensation, Fees, and Expenses in Public
Offerings of Real Estate Investments Trusts and Direct
Participation Programs (July 10, 2006) ................. 49C-26, 49E-9
54,165, Commission Guidance Regarding Client Commission
Practices Under Section 28(e) of the Securities Exchange
Act of 1934 (July 18, 2006) ........... 17-6, 17-7, 17-8, 17-9, 17-10,
..................................... 20-17, 20-19, 20-21, 20-22, 20-27, 57-9
T–32
54,165, Commission Guidance Regarding Client Commission
Practices Under Section 28(e) of the Securities Exchange
Act of 1934 (July 24, 2006) .................... 46-121, 46-123, 46-126
54,861, In the Matter of Jefferies & Co., Inc. and
Scott Jones (Dec. 1, 2006) .................................................. 28-14
55,466, In the Matter of Banc of America Sec. LLC
(Mar. 14, 2007) .................................................................. 29-14
56,145, (July 26, 2007) ............................................. 49C-24, 49E-4
56,316, In the Matter of Next Financial Group, Inc.
(Aug. 24, 2007) .................................................. 15A-29, 15A-30
57,427, Privacy of Consumer Financial Information and
Safeguarding Personal Information
(Mar. 4, 2008) .................................... 15-4, 15-17, 15-18, 15-19,
.............................. 15-22, 15-23, 15-24, 15-25, 46-99, 46A-103
57,755, In the Matter of A. Carlos Martinez
(May 1, 2008) .............................................. 29-18, 29-21, 29-22
57,680, Order Instituting Administrative Proceedings
Pursuant to Section 15(b) of the Securities Exchange
Act of 1934, Making Findings, and Imposing Remedial
Sanctions (Apr. 17, 2008)................................................... 15-10
58,192, That Initial Decision Has Become Final
(July 18, 2008) ..................................................................... 15-6
58,451, In re Tracinda Corp. (Sept. 3, 2008) ........................... 56-12
58,515, Order Instituting Administrative and
Cease-and-Desist Proceedings (Sept. 11, 2008) .................. 15-11
58,597 (Sept. 19, 2008) .......................................................... 56-14
59,449, Adjustments to Civil Monetary Penalty Amounts
(Mar. 3, 2009) .................................................................... 29-11
59,916 (May 13, 2009) ......................................................... 34B-63
59,740, In the Matter of Woodbury Financial Services
(Apr. 9, 2009)....................................................................... 15-6
60,351, In the Matter of Perry Corp.
(July 21, 2009) ........................................... 46-133, 56-14, 56-19
60,976, In the Matter of Merriman Curham Ford &
Co. et al. (Nov. 10, 2009).................................................15A-29
61,908, Large Trader Reporting System (Apr. 14, 2010) ........ 46-134
62,544, Mutual Fund Distribution Fees, Confirmations
(July 21, 2010) ................................................................... 42-10
62,577 (July 27, 2010) .............................................................. 2-33
62,824 (Sept. 1, 2010) .............................................................. 54-4
63,010 (Sept. 29, 2010) ........................................... 46-119, 46-120
63,237, SEC Proposed Rules for Implementing the
Whistleblower Provisions of Section 21F of Securities
Exchange Act of 1934 (Nov. 3, 2010) ................................... 31-4
(Inv. Adv. Reg., Rel. #5, 6/14)
T–33
63,576, Registration of Municipal Advisors
(Dec. 20, 2010) ........................................................... 2-71, 54-3
63,576, Registration of Municipal Advisors
(Dec. 21, 2010) ......................................................... 55-5, 55-10
63,784.................................................................................... 40-22
64,123, In the Matter of Ball Corp. (Mar. 24, 2011)..............31A-29
64,220, In the Matter of Ellis (Apr. 7, 2011) .........................15A-30
64,221, In the Matter of Kraus (Apr. 7, 2011) ......... 15A-29, 15A-30
64,222, In the Matter of Levine (Apr. 7, 2011)........ 15A-29, 15A-30
64,380, In the Matter of Rockwell Automation, Inc.
(May 3, 2011) ..................................................................31A-28
64,442, In the Matter of Aletheia Research and
Mgmt., Inc. (May 9, 2011) ................................................. 34B-8
64,545, SEC Rules Implementing the Whistleblower
Provisions of Section 21F of Securities Exchange Act
of 1934 (May 25, 2011) ................ 31-5, 31-7, 31-8, 31-9, 31-10,
........................................................ 31-11, 31-13, 31-18, 31-19,
......................................................... 31-20, 31-21, 31-22, 31-29
64,545, Implementation of the Whistleblower Provisions of
Section 21F of the Securities Exchange Act of 1934
(June 13, 2011) .....................................46A-62, 46A-63, 46A-69
64,976, Large Trader Reporting Rule
(July 27, 2011) .................... 49C-50, 56-24, 56-26, 56-27, 56-30
64,978, In re Diageo, plc (July 27, 2011) .............................. 49E-42
65,643, In the Matter of Fin. Indus. Regulatory
Auth., Inc. (Oct. 27, 2011) (Order)................................... 34B-35
66,206, AXA Advisors, LLC (Jan. 20, 2012) (Order) .............. 34B-26
67,453, Further Definition of “Swap,” “Security-Based Swap,”
and “Security-Based Swap Agreement”; Mixed Swaps;
Security-Based Swap Agreement Recordkeeping
(July 18, 2012) ............................................... 58-9, 58-10, 58-12
67,934, In the Matter of Goldman, Sachs & Co.
(Sept. 27, 2012) ...............................................................15A-15
68,307, KCAP Financial, Inc., et al. (Nov. 28, 2012)....... 61-6, 61-7,
...................................................................... 61-8, 61-13, 61-14
68,456, In the Matter of Biremis Corp. (Dec. 18, 2012)........ 34B-40
69,279, Report of Investigation Pursuant to § 21(a)
of the Exchange Act: Netflix, Inc., and
Reed Hastings (Apr. 2, 2013)...............................34B-13, 34B-65
69,627, In the Matter of Morrison (May 23, 2013) ...............15A-16
70,462 (Sept. 20, 2013) ........................................................15A-12
70,742, In the Matter of Gisclair (Oct. 23, 2013) .................15A-29
71,050, GLG Partners, Inc., (Dec. 12, 2013)........................... 61-18
T–34
INVESTMENT COMPANY ACT OF 1940
generally ..... 1-3, 1-4, 1-5, 1-30,
.......6-2, 6-17, 10-3, 10-10,
.......11-8, 12-2, 12-6, 13-2,
...18-2, 20-12, 22-11, 24-2,
..............27-10, 32-2, 35-9,
..........35-27, 35-32, 35-59,
.....40-6, 42-4, 42-7, 42-11,
..........42-12, 42-13, 42-14,
..........42-15, 42-16, 42-19,
..........42-21, 42-26, 42-29,
.....43-6, 43-16, 44-6, 45-3,
.....45B-6, 45A-14, 45B-19,
..... 46-9, 46-105, 46A-124,
............49-7, 49-51, 49-53,
........ 49B-2, 49D-4, 49E-4,
..............50-4, 56-3, 56-29,
.........56A-5, 56A-11, 57-4,
.................57-5, 58-6, 61-5
§ 1–65 ...............................1-31
§ 1(b) ...............................12-12
§ 2(a)(3) ...........................42-23
§ 2(a)(4) ................. 9-8, 15A-37
§ 2(a)(8) .............................59-8
§ 2(a)(9) .............. 15A-37, 27-9,
........................47-69, 59-7
§ 2(a)(19) .........................42-23
§ 2(a)(20) .........2-4, 27-9, 55-50
§ 2(a)(38) .........................48-27
§ 2(a)(41) .........................55-39
§ 2(a)(41)(B)(ii) ..................61-2
§ 2(a)(48) ........................46-48,
....................46-116, 61-13
§ 2(a)(51) ............47-43, 49E-12
§ 2(a)(51)(A) ........10-12, 10-21,
..... 46-46, 46-96, 46A-110,
.................. 48-12, 49C-14,
.........49E-30, 55-70, 58-37
§ 2(a)(51)(A)(i) .................47-42
§ 2(a)(51)(A)(ii) ................47-42
§ 2(a)(51)(A)(iii) ...............47-42
§ 2(a)(51)(A)(iv) ...............47-42
§ 2(a)(51)(C) ....................47-43
(Inv. Adv. Reg., Rel. #5, 6/14)
§ 2(b)........ 55-45, 55-46, 55-48,
........... 55-49, 55-50, 55-52
§ 2a(48)(A) ......................34A-8
§ 2a(48)(B) ......................34A-8
§ 3 .............1-24, 2-51, 15A-23,
........ 45B-3, 46-81, 46-144,
....46A-13, 46A-14, 46A-77
§ 3(a)........ 10-13, 46-12, 46-13,
..........48A-11, 52-6, 52-16,
........... 55-30, 55-31, 57-13
§ 3(a)(1)................15A-8, 46-51
§ 3(a)(1)(A) ...................... 47-37
§ 3(a)(1)(A)–(C) ................. 59-2
§ 3(c)...................15A-8, 35-14,
...................... 46-24, 46-51
§ 3(c)(1).......... 2-49, 2-51, 2-53,
............ 2-58, 10-13, 10-23,
..... 15A-20, 15A-39, 35-13,
..........35-14, 45B-2, 45B-3,
..... 45B-5, 45B-12, 45B-13,
.......... 46-12, 46-15, 46-16,
.......... 46-51, 46-52, 46-54,
.......... 46-81, 46-90, 46-94,
......46-97, 46-162, 46A-13,
...46A-14, 46A-20, 46A-33,
...46A-37, 46A-77, 46A-99,
......46A-111, 47-31, 47-38,
.......... 47-39, 47-40, 47-42,
.......... 47-43, 47-44, 47-48,
.......... 47-49, 47-58, 48-13,
.......... 48-14, 48-18, 48-24,
........48-27, 48-36, 48A-11,
....... 49C-36, 49E-19, 52-6,
..... 52-16, 55-5, 55-6, 55-7,
.......... 55-30, 55-31, 57-13,
........................ 57-14, 59-5
§ 3(c)(1)–(9) ..................... 46-13
§ 3(c)(1)(A) ........... 46-52, 47-39
§ 3(c)(2)......................... 49B-10
§ 3(c)(5)......................... 45B-13
§ 3(c)(5)(C) .........45B-3, 45B-12
T–35
§ 3(c)(7) ..........2-49, 2-51, 2-53,
..............2-58, 10-7, 10-15,
....... 10-23, 10-24, 15A-39,
......... 45B-2, 45B-3, 45B-5,
..... 45B-12, 45B-13, 46-15,
..........46-16, 46-51, 46-52,
..........46-54, 46-55, 46-56,
..........46-81, 46-90, 46-94,
..... 46-97, 46-162, 46A-13,
................ 46A-14, 46A-20,
................ 46A-33, 46A-77,
.............. 46A-99, 46A-111,
..........47-31, 47-37, 47-38,
..........47-39, 47-42, 47-43,
..........47-44, 47-45, 47-48,
..........47-49, 47-57, 48-13,
..........48-18, 48-24, 48-27,
....... 48-36, 48-59, 48A-11,
... 49C-36, 49E-12, 49E-13,
..........49E-19, 52-6, 52-16,
................55-5, 55-6, 55-7,
..........55-30, 55-31, 57-13,
........................57-14, 59-5
§ 3(c)(7)(B).......................46-55
§ 3(c)(7)(E) .......................47-43
§ 3(c)(10)(B) .......................36-3
§ 3(c)(11) ....2-63, 10-18, 10-24,
..... 49B-6, 49B-11, 49B-12,
......... 49B-15, 52-6, 52-16,
......................55-31, 57-14
§ 3(c)(14) .........................56-14
§ 3(e)(1)(A) ......................47-39
§ 4 .....................................1-25
§ 5(a) .................................1-25
§ 5(a)(1) .............................11-7
§ 5(b)(1)................12-11, 42-25
§ 6(a) ...............................46-41
§ 7(d) ........................... 49C-35,
................. 49C-36, 49E-19
§ 8 .............42-22, 48-18, 56-14
§ 8(b) ...............................42-22
§ 9(a) .........34-2, 34A-4, 34A-5,
... 34A-18, 49C-37, 49E-20
§ 9(b) ........................... 34A-16,
.................48A-13, 48A-14
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
T–36
9(c)...............................34A-5
10 ................................ 47-37
10(f) ......... 1-27, 40-11, 42-24
12 ................................ 42-25
12(d)(1) ................ 12-7, 12-8,
....................... 42-5, 42-25
12(d)(1)(A)...................... 12-7
12(d)(1)(B) ...................... 12-8
12(d)(1)(C)...................... 12-8
12(d)(1)(E) ...................... 12-8
12(d)(1)(F) ........... 12-8, 42-20
12(d)(1)(G) ..................... 12-8
12(d)(1)(J) ....................... 12-8
12(d)(3) ............... 12-9, 42-25
12(g)(4).............. 56-12, 56-20
13 .......... 47-37, 56-12, 56-20
15 ........................ 1-26, 10-3,
.......... 42-23, 42-24, 47-37
15(a)......................... 9-2, 9-3,
............... 9-7, 9-8, 15A-36
15(c) ................... 17-13, 42-5,
...................46-67, 46A-47
15(f) ............................. 42-23
15c .................... 35-40, 35-50
15(A) ............................ 55-36
17 ................................ 47-37
17(a)................... 1-27, 19-10,
.......... 20-11, 40-11, 42-24
17(d) .................. 1-27, 19-17,
..................... 19-18, 42-24
17(e)................... 1-27, 17-17,
..................... 40-11, 42-24
17(e)(1)........................ 17-17,
................... 28-14, 46-130
17(e)(2)..... 18-3, 19-11, 42-24
17(f) ................11-29, 15A-53
17(g)............................... 11-3
17(j) ............................. 27-18
18 .................... 12-11, 12-12,
..................... 42-26, 47-37
18(f) .................. 12-11, 42-26
18(g)............................. 42-26
19 ................................ 47-37
22 ................................ 55-38
22(b).................... 42-5, 42-27
§
§
§
§
§
§
§
22(c) .............................55-39
22(e) ..................12-10, 42-26
30 ........................1-31, 47-37
34(b) ................... 7-8, 48A-16
36 ........................10-3, 47-37
36(b) ...........34-2, 42-5, 42-24
42(b) .............................42-30
§
§
§
§
§
42(d)............................. 42-30
47.............................. 9-1, 9-5
48(a)....... 24-42, 46-57, 47-39
49................................. 42-30
54......................... 3-6, 35-10,
...........46-60, 46A-5, 48-18
Investment Company Act Releases
2332, Disposal of Consumer Report Information
(Dec. 8, 2004) .................................................................... 15-17
2576 (Jan. 4, 2007)................................................................. 48-36
4595, Investors Mutual, Inc. (May 11, 1966).......................... 47-68
5847, Statement Regarding “Restricted Securities”
(Oct. 21, 1969) ......................................................... 12-10, 61-4
6082, Guidelines Concerning the Applicability of the
Federal Securities Laws to the Offer and Sale Outside
the United States of Shares of Registered Open-End
Investment Companies (June 23, 1970) .......................... 49C-30
7113 (Apr. 6, 1972) .......................................... 10-14, 10-19, 10-20
7565 (Dec. 18, 1972)................................................................ 2-62
10,666 (Apr. 18, 1979)............................................................ 12-12
13,666 (Dec. 19, 1983)............................................................. 2-13
14,983 (Mar. 12, 1986)................................................ 12-11, 42-25
17,096 (Aug. 3, 1989) ............................................................... 12-9
17,357 (Feb. 26, 1990).............................................................. 12-7
19,804, In re Kemper Financial Services, Inc.
(Oct. 20, 1993) .................................................................. 19-18
21,113, In re Kemper Financial Services, Inc.
(June 6, 1995) .................................................................... 27-22
21,114, In re Thomas H. Richards (June 6, 1995)................... 19-18
21,221 (July 21, 1995) ............................................................ 17-17
21,259 (July 27, 1995) ............................................................ 11-29
21,260, Status of Investment Advisory Programs Under
the Investment Company Act of 1940
(July 27, 1995) ................................................... 2-11, 41-7, 43-8
21,341 (Sept. 8, 1995) .............................................................. 32-9
21,541, In re John J. Kaweske (Nov. 27, 1995) ........................ 27-22
22,389 (Dec. 11, 1996)........................................................... 11-29
22,405, Private Investment Companies (Dec. 18, 1996) ......... 47-42
22,579, Status of Investment Advisory Programs Under
the Investment Company Act of 1940
(Mar. 24, 1997) ...................................................... 43-9, 49C-22
(Inv. Adv. Reg., Rel. #5, 6/14)
T–37
22,597 (Apr. 3, 1997) ....................................... 46-52, 46-54, 46-57
22,658 (May 12, 1997) ........................................................... 11-29
23,958 (Aug. 20, 1999) ........................................................... 27-19
24,067, Schwab Capital Trust (Oct. 1, 1999) ............................ 12-9
24,113, Schwab Capital Trust (Oct. 27, 1999) .......................... 12-9
24,326 (Mar. 2, 2000)............................................................... 14-2
24,424 (Apr. 27, 2000) ........................................................... 11-29
24,426, SEC Interpretation: Use of Electronic Media
(May 4, 2000) .................................................................... 46-21
(Regulation S-P) (June 22, 2000) ................................. 14-2, 14-8
(Regulation S-P) (June 29, 2000) ........... 46A-99, 49C-39, 49E-22
24,828, Investment Company Names (Aug. 18, 2001) ........... 42-26
24,890, Electronic Recordkeeping by Investment Companies
and Investment Advisers (Mar. 13, 2001)........................... 32-14
25,739 (Sept. 20, 2002) ............................................................ 13-7
25,798, In the Matter of Gintel Asset Mgmt., Inc., Gintel &
Co. LLC, Robert M. Gintel and Stephen G. Stavrides
(Nov. 8, 2002) .................................................................... 29-21
25,922 (Sept. 20, 2002) ........................................ 13-7, 13-8, 13-10
25,922 (Jan. 31, 2003) .............................................................. 13-3
26,299, Final Rule: Compliance Programs of Investment
Companies and Investment Advisers
(Dec. 17, 2003) ......................... 22-8, 22-13, 22-15, 22-16, 23-2,
................................................... 23-3, 23-4, 23-6, 23-12, 23-13,
........................................................ 23-14, 23A-2, 23A-3, 33-21
26,299, SEC Final Rule (Feb. 5, 2004) ......................... 46-73, 46-75
26,312, In re Alliance Capital Mgmt., LP
(Dec. 8, 2003) .................................................................... 29-10
26,492....................................................................................48A-7
26,685, Disposal of Consumer Report Information
(Dec. 2, 2004) .....................................................46-99, 46A-103
27,588, In the Matter of Kevin W. Quinn
(Dec. 1, 2006) .................................................................... 28-14
and Safeguarding Personal Information
(Mar. 4, 2008) ............................................14-9, 46-99, 46A-103
28,345, Commission Guidance Regarding the Duties and
Responsibilities of Investment Company Boards of
Directors with Respect to Investment Adviser Portfolio
Trading Practices (July 30, 2008).............................. 17-2, 17-14,
............................................................................... 17-15, 17-18
28,842, Regulation S-AM: Limitations on Affiliate
Marketing (Aug. 4, 2009) ............................... 14-10, 14-11, 42-6
T–38
29,367, Mutual Fund Distribution Fees, Confirmations
(July 21, 2010) ................................................................... 42-10
29,776, Use of Derivatives by Investment Companies
under the Investment Company Act of 1940
(Aug. 31, 2011) .................................................................. 42-10
INVESTMENT ADVISERS ACT OF 1940
generally ..... 1-3, 1-4, 1-5, 1-13,
.......1-19, 1-20, 1-28, 1-30,
.......... 2-23, 5-7, 6-2, 6-17,
............ 7-2, 7-3, 7-17, 9-6,
.....10-2, 10-5, 10-26, 11-3,
..........11-15, 11-18, 11-27,
............. 12-2, 13-2, 15A-7,
................15A-14, 15A-17,
................15A-20, 15A-52,
.......15A-53, 15A-54, 18-2,
.......20-2, 20-3, 23-2, 24-2,
........... 31-24, 32-3, 34A-3,
....... 34B-38, 34B-39, 35-7,
..........35-15, 35-25, 35-32,
...35-40, 35-59, 36-2, 37-3,
...37-12, 39-4, 39-6, 39-11,
..........39-12, 39-16, 39-25,
............40-2, 40-13, 40-15,
............40-23, 40-24, 41-4,
.........42-30, 45A-5, 45A-6,
....... 45B-4, 45B-6, 45B-13,
....... 45B-22, 46-57, 46-58,
..........47-42, 47-51, 47-55,
.........47-69, 48A-2, 48A-9,
................48A-22, 48A-23,
.....48A-24, 48A-28, 49-11,
..........49-18, 49-53, 49-66,
....... 49-77, 49B-10, 49E-4,
.....55-13, 57-5, 57-7, 58-3,
............61-7, 61-10, 61-15,
........................61-17, 61-8
§ 2.05(a) ..........................48-13
§ 102(16)(c)(ii) .................36-12
§ 201–22 ...........................1-31
§ 201(a)(11) .................... 46A-5
(Inv. Adv. Reg., Rel. #5, 6/14)
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
T–39
201(c) ........................... 35-83
202............................... 55-34
202(a)......................... 46-194
202(a)(1)................ 9-8, 47-68
202(a)(2)............. 2-12, 11-11,
...................... 55-56, 58-24
202(a)(2)(A) .................... 2-12
202(a)(2)(B) .................... 2-12
202(a)(2)(C) .................... 2-12
202(a)(5).............. 10-13, 59-8
202(a)(11)...2-3, 2-5, 2-6, 2-8,
......... 2-15, 2-48, 2-59, 3-3,
............ 3-14, 35-19, 35-21,
..... 36-7, 37-2, 38-2, 38-11,
.......... 38-16, 38-23, 39-10,
..... 40-3, 40-21, 41-4, 43-3,
....... 46-92, 46A-4, 46A-25,
............ 47-45, 48-3, 49-11,
....... 49C-4, 49E-22, 54-21,
.......... 55-56, 55-59, 55-60,
.... 55-64, 58-24, 59-2, 59-5
202(a)(11)(A) ................... 3-3,
........................ 43-8, 43-17
202(a)(11)(A)–(E) ......... 38-11,
................................. 38-12
202(a)(11)(A)–(F) .............. 3-3
202(a)(11)(B) ......... 2-14, 2-19
202(a)(11)(C) ........ 2-15, 2-22,
................ 2-23, 2-32, 2-34,
......... 2-41, 8-6, 8-10, 8-12,
.......... 38-12, 38-18, 39-17,
.......... 39-19, 39-22, 39-23,
...... 39-24, 40-3, 41-5, 41-7
202(a)(11)(D)....... 2-43, 55-62
202(a)(11)(E) ....... 2-46, 55-64
§ 202(a)(11)(F) .......2-48, 38-11,
........................59-3, 59-17
§ 202(a)(11)(G) .................2-47,
..................... 46A-25, 59-5
§ 202(a)(12) .......................59-7
§ 202(a)(17) ...............5-8, 5-10,
........................48-6, 48-68
§ 202(a)(18) .........................2-9
§ 202(a)(22) .........10-10, 46-13,
......................46-48, 58-39
§ 202(a)(25) .............3-15, 3-16,
..............23-2, 27-3, 27-10,
...........35-27, 36-12, 48-38
§ 202(a)(26) .......................2-13
§ 202(a)(29) ...............2-51, 4-6,
....................... 45B-3, 55-6
§ 202(a)(30) ...........2-52, 46-89,
.................. 46A-35, 47-49,
...........48-25, 48-26, 48-27
§ 202(a)(ii) .......................55-15
§ 202(b) .................55-4, 55-49,
......................55-50, 55-55
§ 203 ............10-11, 11-4, 20-3,
.......22-2, 23-3, 27-5, 34-3,
............34-14, 35-9, 35-12,
..........35-13, 35-18, 35-19,
..............35-81, 36-6, 36-7,
..... 46A-111, 48-11, 48-14,
........ 48A-25, 51-26, 56-14
§ 203(a) .............. 48-18, 49C-3,
..... 49C-27, 49E-8, 49E-22,
....51-2, 55-12, 55-60, 57-3
§ 203(b) ............2-48, 3-3, 3-10,
................10-7, 29-8, 33-2,
..........46-85, 46-89, 46-96,
................ 46A-13, 46A-21,
......... 46A-34, 48-29, 51-2,
..............52-6, 55-6, 55-12,
......................55-60, 57-16
§ 203(b)(1) .........................2-49
§ 203(b)(2) .........................41-4
§ 203(b)(3) ......2-50, 2-51, 2-52,
................2-54, 2-61, 2-67,
....... 15A-10, 26-10, 46-64,
.....46-80, 46A-12, 46A-13,
..........47-45, 47-49, 47-65,
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
T–40
.... 48-17, 50-2, 50-8, 50-9,
.... 51-1, 51-4, 51-8, 51-23,
.. 51-24, 51-25, 52-6, 55-5,
.. 55-6, 55-21, 55-51, 57-2,
.... 58-20, 59-3, 59-5, 59-6,
..................... 59-18, 59-20
203(b)(4) ........................ 2-57
203(b)(5) ........................ 2-57
203(b)(6) ............. 2-58, 58-21
203(b)(7) ............... 2-54, 2-55
203(c) ............................... 4-9
203(c)(2)......................... 4-30
203(d)...........................34A-8
203(e)........4-31, 15A-5, 22-5,
.........23A-8, 31-23, 33-20,
.............34-3, 34-4, 34A-8,
....34A-13, 4A-15, 34A-16,
............... 34A-17, 34A-18,
............... 34A-21, 48A-13,
...................48A-14, 55-32
203(e)(2)(A)–(D) ...........15A-5
203(e)(3)......................... 34-3
203(e)(4).......................15A-5
203(e)(6).... 23-5, 23-7, 24-40,
..................46A-61, 57-12,
............ 57-13, 60-9, 60-10
203(e)(9)...................... 35-81,
..................... 35-82, 35-83
203(f) ..... 15A-5, 23-5, 23A-4,
...... 34-4, 34A-15, 34A-16,
............... 34A-21, 48A-13,
...................48A-14, 55-32
203(g)............................. 4-31
203(i) ............................. 34-4
203(j) ............................. 34-4
203(k) ............................ 34-4
203(l) ...... 2-55, 35-13, 46-83,
.... 46-85, 46A-16, 46A-21,
.... 48-21, 48A-13, 48A-14,
............. 55-6, 55-8, 55-21,
............ 55-22, 57-2, 57-16
203(m) ...... 2-52, 2-56, 35-13,
......... 35-14, 46-81, 46-82,
.......46-85, 46-87, 46A-13,
............... 46A-14, 46A-15,
............... 46A-16, 46A-21,
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
........... 46A-23, 55-6, 55-7,
............55-8, 55-21, 55-22,
........................57-2, 57-16
203A ...........3-3, 35-9, 35-10,
.....35-19, 36-5, 36-8, 36-9,
..........46-59, 46-60, 46-80,
.......46A-6, 46A-13, 47-58,
..............51-2, 55-9, 55-34,
......................55-55, 55-56
203A(1)(A)....................55-12
203A(a)..................3-4, 39-14
203A(a)(1)..........35-12, 38-23
203A(a)(1)(A) ................47-46
203A(a)(2)..............3-7, 47-46
203A(a)(3).............3-7, 46-61,
................................ 46A-7
203A(b) ..........................3-12
203A(b)(1) ........35-18, 35-19,
.......................35-20, 36-5,
.............36-12, 47-57, 55-3
203A(b)(1)(A) ........3-15, 36-8,
.............36-11, 37-5, 39-15
203A(b)(1)(B) ..................59-7
203A(b)(1)(b) ..................59-8
203A(b)(2) .............36-5, 37-5
203A(c).......3-9, 35-51, 55-12
204 ..............27-4, 29-8, 33-2,
....... 45B-8, 46A-73, 48-14,
....... 49C-21, 51-20, 51-26,
.................................57-16
204(a) .............. 27-2, 45B-21,
........ 46-85, 46A-21, 48-29
204(b) .......... 46-152, 46A-74,
........46A-86, 46A-87, 55-7
204(b)(3) .................... 15A-42
204(b)(4) .....................45B-21
204(b)(8) .....................45B-23
204(b)(11) .................... 45B-8
204A ........ 1-12, 3-13, 23A-6,
.....24-41, 27-2, 27-3, 27-4,
............27-16, 27-17, 29-2,
...29-8, 29-9, 29-10, 29-11,
........... 34-7, 48-43, 48A-6,
......................51-21, 57-16
(Inv. Adv. Reg., Rel. #5, 6/14)
§ 205............ 3-13, 10-7, 10-20,
..... 15A-36, 46-93, 46A-31,
........... 48-12, 51-21, 55-69
§ 205(a).......... 15A-36, 15A-38,
...... 48-11, 49C-14, 49E-30
§ 205(a)(1).......... 1-9, 9-3, 10-6,
.......... 10-10, 10-11, 10-16,
........10-17, 10-18, 15A-38,
.................46-95, 46A-110,
......46A-111, 47-50, 51-21,
................................. 55-69
§ 205(a)(2)..... 9-7, 9-8, 15A-36,
...................15A-37, 47-53,
................. 49C-23, 49E-34
§ 205(a)(3).......................... 9-5,
....................15A-38, 47-54
§ 205(a)(12)..................... 47-68
§ 205(b)..............15A-39, 55-70
§ 205(b)(1) ...................... 10-17
§ 205(b)(2) ..................... 10-18,
...................... 10-19, 10-24
§ 205(b)(3) ........................ 10-7
§ 205(b)(4) .......... 10-15, 10-24,
................................. 47-57
§ 205(b)(5) .......... 10-15, 10-25,
.................. 48-12, 49C-14,
........... 49E-30, 51-7, 51-21
§ 205(c) ........................... 10-19
§ 205(d).........................15A-36
§ 205(e) .......................... 10-13,
..................46-96, 46A-111
§ 205(f) ........................... 35-93
§ 206.........1-6, 1-7, 1-31, 2-12,
....3-13, 4-10, 5-4, 7-6, 9-5,
............. 9-6, 10-5, 15A-40,
....... 15A-42, 15A-45, 20-2,
....... 20-3, 20-6, 22-2, 28-2,
............ 34-14, 34-15, 37-2,
.......... 38-12, 46-17, 46-74,
..... 46-93, 46A-31, 46A-54,
........48-29, 48-30, 48A-10,
........ 49C-7, 49C-8, 49C-9,
...... 49E-24, 49E-25, 55-21,
.......... 55-38, 55-44, 55-65,
.......... 55-66, 55-67, 55-72,
T–41
..........55-75, 55-82, 55-83,
............57-8, 57-10, 57-14,
.................60-6, 60-7, 60-8
§ 206(1) ..............1-7, 1-8, 12-6,
................ 15A-42, 15A-46,
.......15A-48, 17-20, 23A-4,
............40-10, 40-27, 41-9,
....... 46-93, 46-94, 46A-29,
.....46A-31, 46A-32, 48-30,
..........48-31, 48-34, 48-35,
.......48-36, 48A-3, 48A-21,
.............. 49C-110, 49E-27,
..........51-21, 51-26, 52-16,
......................55-21, 55-30
§ 206(2) ...... 1-7, 1-8, 7-5, 12-6,
................ 15A-42, 15A-46,
.....15A-48, 15A-49, 17-19,
..........17-20, 19-19, 20-13,
.........23A-4, 23A-7, 34-15,
............39-5, 40-10, 40-27,
..............41-9, 43-12, 44-5,
..........44-11, 44-12, 46-93,
..... 46-94, 46-187, 46A-29,
.....46A-31, 46A-32, 48-30,
..........48-31, 48-34, 48-35,
.......48-36, 48A-3, 48A-21,
.... 48A-25, 48A-26, 49C-9,
... 49C-110, 49E-27, 51-21,
..........51-26, 52-16, 55-21,
...............55-30, 57-7, 61-3
§ 206(3) ..........1-10, 1-11, 2-27,
................3-13, 8-18, 8-19,
................ 15A-47, 15A-48,
........... 15A-49, 18-2, 19-2,
.......19-3, 19-4, 19-5, 19-6,
.....19-7, 19-8, 19-9, 19-10,
..........19-12, 19-13, 19-14,
............19-20, 20-2, 21-10,
......... 23-13, 23A-6, 39-18,
............39-19, 39-20, 40-4,
.......40-5, 40-6, 40-7, 40-8,
..............40-9, 43-12, 45-8,
....... 46-93, 46A-31, 48-30,
....... 48-45, 48-46, 48A-14,
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
§
T–42
.................... 51-21, 55-75,
..................... 57-10, 57-11
206(4) ........1-7, 6-2, 6-5, 6-6,
............6-16, 7-6, 7-8, 7-9,
...... 7-12, 7-14, 8-18, 11-4,
....15A-8, 15A-46, 15A-48,
...... 15A-49, 23A-5, 24-39,
.........34A-14, 40-10, 41-9,
......... 44-11, 44-12, 46-94,
.....46-95, 46-183, 46A-29,
.... 46A-32, 46A-34, 48-31,
......... 48-35, 48-36, 48-47,
....48A-3, 48A-11, 48A-21,
.........48A-25, 51-21, 52-3,
......... 52-12, 52-16, 55-21,
.................... 55-30, 57-14,
..................... 57-15, 61-16
207..........4-4, 15A-46, 17-19,
........... 17-20, 44-8, 44-11,
....... 48-14, 49C-8, 49E-25
208.................... 48-15, 48-27
208(a)............................. 4-30
208(d)........ 2-50, 2-61, 10-16,
..................34A-13, 48-69,
.......... 51-12, 51-18, 59-20
209............................... 34-14
209(b)............................. 33-3
209(d)........................... 34-13
209(e)........................... 34-13
209(f) ...........................23A-5
210(b)..............33-28, 46A-87
210(c) ......................... 45B-22
211.............................46A-32
215.......15A-40, 34-14, 34-15
215(a).......9-5, 15A-40, 47-53
215(b).......9-1, 15A-40, 51-21
217............................... 33-20
222.............. 1-16, 1-17, 1-31,
...................... 35-17, 36-3,
........46A-11, 55-55, 55-57
222(b)....... 1-17, 35-12, 35-46
222(c) ................. 1-17, 35-12,
..................... 35-39, 35-46
§ 222(d) ............1-15, 1-18, 2-4,
............3-15, 35-11, 35-12,
........ 35-29, 46A-11, 48-28
§ 223.............................46A-96
Investment Advisers Act Releases
2, Opinion of General Counsel Relating to Section 202(a)(11)(C)
of the Investment Advisers Act of 1940
(Oct. 28, 1940) ....................................... 2-24, 2-25, 2-28, 39-23
6, First Serv. Corp. (Nov. 6, 1940)............................................. 2-13
21, In the Matter of Donner Estates, Inc. (Nov. 3, 1941) ......46A-25
40, Opinion of Director of Trading and Exchange Division
(Jan. 5, 1945) .......................................................... 55-75, 57-11
40 (Feb. 4, 1945) ...................................................................... 39-5
40, dated February 5, 1945 .............................................. 19-8, 19-9
48, Marine Midland Grp., Inc. (Sept. 2, 1947) .......................... 2-13
52, In the Matter of the Pitcairn Company (Mar. 2, 1949) ....46A-25
54, In the Matter of Roosevelt & Son (Aug. 31, 1949)...........46A-25
58, In the Matter of William Lee Parks (Apr. 10, 1951) ............... 9-5
122 (Nov. 6, 1961).................................................................. 11-20
123 (Feb. 27, 1962)................................................................. 11-20
201 (June 1, 1966).................................................................. 11-21
203 (Aug. 11, 1966) .................................................................. 39-5
232, Kidder, Peabody & Co., Inc. (Oct. 16, 1968)
........................................................................ 16-2, 20-13, 39-5
271......................................................................................... 46-69
302 (Dec. 1, 1971).................................................................... 2-62
305 (Jan. 12, 1972)................................................................... 2-62
308 (Feb. 10, 1972)................................................................... 2-62
315 (Apr. 6, 1972) ................................. 10-14, 10-19, 10-20, 55-70
333, Chase Investors Mgmt. Corp. N.Y.
(Aug. 21, 1972) .................................................................... 2-13
353 (Dec. 18, 1972).................................................................. 2-62
455 (Apr. 23, 1975) ................................................................ 38-11
470, Adoption of Rule 206(3)-1 Under the Investment Advisers
Act of 1940 and Termination of Temporary Rule 206(3)-1(T)
Under that Act (Aug. 20, 1975)....................15A-48, 19-8, 19-13
471 (Aug. 20, 1975) .................................................................. 2-20
497 (Feb. 19, 1976)................................................................... 2-63
589 (June 1, 1977).................................................................... 19-4
615, Requirements Governing Payments of Cash Referral Fees by
Investment Advisers (Feb. 2, 1978) ............... 5-2, 15A-4, 34A-13
626 (Apr. 27, 1978) ................................... 2-20, 2-24, 38-11, 55-61
(Inv. Adv. Reg., Rel. #5, 6/14)
T–43
664, Investment Adviser Requirements Concerning Disclosure,
Recordkeeping, Applications for Registration and Annual
Filings (Jan. 30, 1979)......................................................15A-16
688, Requirements Governing Payments of Cash Referral
Fees by Investment Advisers (July 12, 1979) ........... 5-3, 5-4, 5-8,
............................................... 5-9, 5-10, 15A-4, 15A-6, 34A-13,
.................................................. 34A-14, 49C-15, 49E-30, 55-31
688 (July 19, 1979).................................................................15A-6
701 (Sept. 17, 1979) ................................................................. 41-9
721, Contingent Advisory Compensation Arrangements
(May 16, 1980) ...............................10-14, 10-16, 15A-38, 55-69
736, In the Matter of William Lee Parks (Oct. 27, 1980)............. 9-5
770, Applicability of the Investment Advisers Act to
Financial Planners (Aug. 13, 1981) ...... 2-5, 38-12, 38-13, 38-14,
.................................................................... 38-15, 38-16, 38-17
870 (July 15, 1983)................................................................... 57-3
897, In the Matter of Alfred C. Rizzo
(Jan. 11, 1984) ............................................................ 39-5, 57-9
920, In re Bond Timing Services, Inc. and Vilis Pasts
(July 23, 1984) ................................................................ 7-7, 7-9
952 (Jan. 16, 1985)................................................................. 32-13
961 (Mar. 25, 1985)................................................................ 10-24
996, Exemption to Allow Registered Investment Advisers
to Charge Fees Based Upon a Share of Capital Gains
Upon or Capital Appreciation of a Client’s Account
(Nov. 14, 1985) .....................................................10-21, 15A-39
996 (Nov. 26, 1985).................................................................. 10-4
1000 (Dec. 3, 1985)..................................................... 11-13, 11-14
1034, Certain Transactions Not Deemed Assignments
(Sept. 9, 1986) .................................................................15A-37
1038, In re Shearson Lehman Brothers, Inc., Stein Roe
& Farnham (Sept. 24, 1986)........................... 21-11, 34-5, 48-33
1083 (Sept. 25, 1987) ...................................................... 4-28, 4-29
1092, Applicability of the Investment Advisers Act to
Financial Planners, Pension Consultants, and
Other Persons Who Provide Investment Advisory Services
as a Component of Other Financial Services
(Oct. 8, 1987) .............2-5, 2-11, 2-41, 2-59, 2-69, 35-21, 35-22,
.................................... 35-23, 35-26, 38-16, 38-17, 38-31, 39-8,
.............................................. 39-9, 39-24, 41-5, 46-93, 46A-31,
.................................. 49C-4, 55-18, 55-34, 55-61, 58-14, 58-15
1092, Applicability of the Investment Advisers Act to Financial
Planners, Pension Consultants, and Other Persons Who
Provide Investment Advisory Services as a Component of
Other Financial Services (Oct. 16, 1987).............. 49C-4, 49E-23
T–44
1093, Investment Advisers (Nov. 5, 1987) ................................ 7-16
1095, In re John Guira, et al. (Nov. 13, 1987)......................... 48-33
1105, In the Matter of Mark Bailey & Co. and
Mark Bailey (Feb. 24, 1988) ................. 15A-50, 16-2, 20-6, 57-9
1117, In re Westmark Financial Services Corp.
(May 16, 1988) .................................................................... 39-5
1135, Recordkeeping by Investment Advisers
(Aug. 17, 1988) .................................................. 7-15, 7-16, 32-5
1140 (Sept. 16, 1988) ...................................................... 2-49, 2-50
1174, In re George Sein Lin (June 19, 1989) ............................. 12-4
1243, Thomson McKinnon Asset Management L.P.
(July 26, 1990) ..................................................................... 10-4
1297, In the Matter of Baskin Planning Consultants, Ltd.
(Dec. 19, 1991) .................................................................... 57-9
1318, In re M&I Investment Management Corp.
(June 30, 1992) ........................................................... 21-3, 21-7
1324, In re Demitri Balatsos (Aug. 18, 1992)............................ 19-7
1358, In re Stephen C. Schulmerich (Jan. 4, 1993) ................. 33-27
1379, In the Matter of Aetna Capital Management, Inc.
and Aetna Financial Services, Inc. (Aug. 19, 1993) ................. 5-5
1387, In re Kemper Fin. Servs., Inc.
(Oct. 20, 1993) .............................................. 19-18, 20-8, 55-73
1393, In re Michael L. Smirlock
(Nov. 29, 1993) ............................................ 19-18, 48-31, 55-73
1396, In re Kingsley, Jennison, McNulty &
Morse, Inc., et al. (Dec. 23, 1993).................... 44-5, 48-31, 61-3
1406, Suitability of Investment Advice Provided by
Investment Advisers; Custodial Account Statements
for Certain Advisory Clients (Mar. 16, 1994) ............. 12-5, 32-2,
............................................................................. 39-5, 49C-17,
.................................................................... 49E-33, 55-83, 57-8
1406, Suitability of Investment Advice Provided by Investment
Advisers; Custodial Account Statements for Certain
Advisory Clients (Mar. 22, 1994) ......................................... 60-8
1411, Disclosure by Investment Advisers Regarding Wrap
Fee Program (Apr. 19, 1994)............................. 43-6, 44-2, 55-71
1423, In re Edgemont Asset Mgmt. Corp. and
Bowling Green Sec., Inc. (July 5, 1994) .............................. 48-34
1425 (July 12, 1994) ............................................................... 55-76
1431, In re Seaboard Investment Advisers, Inc.
(Aug. 3, 1994) ...................................................................... 7-14
1435, In re Piper Capital Management, Inc.
(Aug. 11, 1994) ......................................................... 19-9, 55-75
1446, In re Joan Conan (Sept. 30, 1994)...................... 27-22, 55-76
1446, In re Schwendiman Partners, LLC (Sept. 30, 1994) ....... 48-33
(Inv. Adv. Reg., Rel. #5, 6/14)
T–45
1447, In re Chancellor Capital Mgmt., Inc., Parag Saxena,
and James A. Long IV (Oct. 18, 1994).......... 27-21, 48-33, 55-77
1452, In the Matter of Credit Suisse Asset
Management, Inc. (Nov. 16, 1994)..................................... 55-75
1457, In re Gabelli & Co. and GAMCO Investors, Inc.
(Dec. 8, 1994) ......................................................... 24-41, 27-17
1468, In re Thomas J. Bowne (Feb. 10, 1995) ......................... 48-33
1469 (Feb. 14, 1995)................................ 4-14, 17-13, 17-17, 55-81
1492, In re Askins Capital and David J. Askin
(May 23, 1995) .................................................................. 48-32
1494, In re Kemper Financial Services, Inc. (June 6, 1995) ..... 27-22
1495, In re Thomas H. Richards (June 6, 1995) ..................... 19-18
1501, In the Matter of Clarke Lanzen Skalla Investment
Firm, Inc. (June 16, 1995).................................................... 44-6
1504, In the Matter of Clariden Asset Management
(New York) Inc. (July 10, 1995) .......................................... 57-11
1510, Status of Investment Advisory Programs Under the
Investment Company Act of 1940 (July 27, 1995) ...... 2-11, 43-8
1525, In re Van Kampen American Capital Mgmt., Inc.
(Sept. 29, 1995) ................................................................. 48-32
1527, In re Roger W. Honour (Sept. 29, 1995).............. 27-21, 48-33
1529, In re Account Mgmt. Corp., et al.
(Sept. 29, 1995) ...................................................... 19-19, 48-33
1538, Feldman Investment Group, Inc. (Nov. 27, 1995) ........... 19-5
1539, In re John J. Kaweske (Nov. 27, 1995) ................ 27-22, 48-33
1545, In re Leeb Investment Advisors et al. (Jan. 16, 1996) ........ 7-8
1550, In re Stanley Peter Kerry (Jan. 25, 1996) ......................... 44-8
1560, In the Matter of Gruntal & Co., Inc. (Apr. 9, 1996) ...... 43-12
1562, Use of Electronic Media by Broker-Dealers, Transfer
Agents, and Investment Advisers for Delivery of
Information (May 9, 1996) .........................15A-19, 19-12, 40-9,
.............................................................. 46-67, 46A-39, 46A-47,
............................................................... 49C-12, 49E-29, 55-59
1568, In the Matter of Portfolio Mgmt. Consultants, Inc.
(June 27, 1996) ............................................ 40-10, 43-11, 48-34
1571, In re McKenzie Walker Investment Mgmt., Inc.,
et al. (July 16, 1996) ........................... 19-19, 20-8, 48-33, 57-12
1575, In re S Squared Technology Corp.
(Aug. 7, 1996) ......................................................... 17-19, 57-10
1581, In re Michael C. Robertson, et al. (Sept. 26, 1996)........ 48-33
1584, In re Patricia Owen-Michel
(Sept. 27, 1996) ..............................................6-6, 6-16, 7-7, 7-8
1585, In re Concord Investment Co. (Sept. 27, 1996)............... 19-5
1601 (Dec. 20, 1996)................................................................ 37-3
1605, In re Ronald L. Speaker, et al. (Jan. 13, 1997)................ 48-33
T–46
1614, In re Oakwood Counselors, Inc. and
Paul J. Sherman (Feb. 10, 1997) .............................. 17-20, 48-33
1632, In re Russell W. Stein, Ford D. Albritton, Jr.,
and Dover & Assocs., Inc. (May 9, 1977) ............................... 5-2
1633, Rules Implementing Amendments to the Investment
Advisers Act of 1940 (May 15, 1997) ......... 3-4, 3-10, 3-17, 3-18,
.................................................. 5-10, 15A-48, 36-5, 36-8, 37-5,
............................................. 46-62, 46-93, 46A-9, 46A-31, 51-4
1637, Arthur Anderson Financial Advisers
(June 16, 1997) (Notice)....................................................... 3-11
1642, Arthur Anderson Financial Advisers
(July 8, 1997) (Order) ........................................................... 3-11
1644, In re LBS Capital Management, Inc.
(July 18, 1997) ................................................6-16, 7-7, 7-8, 7-9
1648, In re First Capital Strategies, et al.
(Aug. 13, 1997) .................................................................. 48-32
1648, In re First Capital Strategists, et al.
(Aug. 15, 1997) .................................................................. 48-32
1654, In re Mitchell Hutchins Asset Mgmt., Inc.
(Sept. 2, 1997) ................................................................... 48-32
1666, In re Stephens, Inc. (Sept. 16, 1997) .................... 19-9, 57-11
1681 (Nov. 13, 1997)....................................................... 3-11, 3-17
1682 (Nov. 13, 1997).............................................................. 10-21
1688, In re Renaissance Capital Advisors, Inc. and
Richard N. Fine (Dec. 22, 1997) ........................................ 17-20
1717, In re Reservoir Capital Management, Inc.
(Apr. 24, 1998).............................................................. 6-5, 6-15
1731, Exemption to Allow Investment Advisers to
Charge Fees Based Upon a Share of Capital Gains
Upon or Capital Appreciation of a Client’s Account
(July 15, 1998, effective as of Aug. 20, 1998) .......... 47-57, 47-58
1731, Exemption to Allow Registered Investment Advisers
to Charge Fees Based Upon a Share of Capital Gains
Upon or Capital Appreciation of a Client's Account
(July 15, 1998) ...........................................10-21, 10-23, 15A-39
1732, Interpretation of Section 206(3) of the Investment
Advisers Act of 1940 (July 17, 1998) ........ 15A-47, 15A-48, 19-4,
.............................................................. 19-7, 19-8, 19-9, 19-10,
............................................................................... 57-10, 57-11
1733 (July 17, 1998) ............................................... 3-11, 3-16, 3-17
1741, In the Matter of: Nicholas-Applegate Capital
Management (Aug. 12, 1998) ............................................. 57-12
1751, In re Stephen H. Brown (Sept. 14, 1998) ....................... 48-32
1763, In re FinArc, LLC (Sept. 29, 1998) ......................... 4-30, 6-15
(Inv. Adv. Reg., Rel. #5, 6/14)
T–47
1764, In re Profitek, Inc. and Edward G. Smith
(Sept. 29, 1998) ............................................................ 6-15, 7-8
1767, In re ABN AMRO-NSM International Funds
Management, B.V. (Sept. 30, 1998) ...................................... 19-5
1772, In the Matter of O’Brien Partners, Inc.
(Oct. 27, 1998) .............................................. 2-68, 55-15, 55-72
1774, In re Valicenti Advisory Services and
Vincent R. Valicenti (Nov. 18, 1998) ........................... 4-29, 6-13
1775, In re Robert J. Smith (Nov. 25, 1998).............................. 10-6
1779, In re Meridian Investment Management Corp. et al.
(Dec. 28, 1998) ............................................................. 7-7, 7-15
1798, In re Wren Harold Hart (Apr. 22, 1999) .......................... 34-8
1801, In re Boston Investment Counsel, Inc. and
Robert E. Campanella (June 10, 1999) ........................ 4-28, 6-15
1804 (June 22, 1999) .................................................................. 3-3
1805, CSX Fin. Mgmt., Inc. (June 23, 1999)............................. 2-48
1808 (July 20, 1999) ................................................................. 2-48
1812 (Aug. 4, 1999)................................................................ 28-12
1813, In re Bell Capital Management, Inc.
(Aug. 6, 1999) ............................................................. 6-15, 6-16
1814, In re Bing Sung (Aug. 12, 1999) ................. 8-6, 12-4, 15A-45
1819, In re Van Kampen Investment Advisory Corp.
and Alan Sachtleben (Sept. 8, 1999)............................ 7-5, 48-32
1821, In re Fleet Investment Advisors, Inc. (Sept. 9, 1999)..... 48-34
1825, In re Engebretson Capital Management, Inc.
and Lester W. Engebretson (Sept. 13, 1999).......................... 7-22
1834, In re Capital Markets Research Co. &
Paul Edward Holl (Sept. 27, 1999)...................................... 48-33
1841, In re Marvin & Palmer Assocs., et al.
(Sept. 30, 1999) ................................................................. 48-33
1843, In re Gordon Richard Taubenheim
(Oct. 4, 1999) .........................................................3-13, 46A-32
1845, Certain Broker-Dealers Deemed Not to
Be Investment Advisers (Nov. 4, 1999).................... 38-24, 38-25
1848, In the Matter of Scudder Kemper Investments, Inc.
and Gary Paul Johnson (Dec. 22, 1999) .................. 24-16, 48-32
1849, In the Matter of Michael T. Sullivan, III
(Dec. 22, 1999) ....................................................... 24-16, 48-32
1862 (Apr. 5, 2000) ........................................ 1-24, 4-4, 4-11, 4-16,
..................................................................33-28, 46-67, 46A-47
1863, In the Matter of Rauscher Pierce Refsnes, Inc., et al.
(Apr. 6, 2000)................................................. 2-68, 48-33, 55-16
1870, In re The Dreyfus Corporation and
Michael L. Schonberg (May 10, 2000) .............. 7-5, 48-32, 48-33
T–48
1872, In re Schield Management Company et al.
(May 31, 2000) ...............................................7-4, 7-7, 7-8, 7-22
1879, In re Founders Asset Mgmt., LLC, et al.
(June 15, 2000) .................................................................. 48-34
1880, In the Matter of Owen-Joseph Asset Mgmt.
Corp., et al. (June 15, 2002)............................................... 40-10
1882, SEC v. Timothy J. Lyons (June 20, 2000) ...................... 48-33
1883, Final Rule: Privacy of Consumer Financial
Information (Regulation S-P) (June 22, 2000)..................15A-22,
.......................................................................... 15A-24, 46A-99
1883, Privacy of Consumer Financial Information
(Regulation S-P) (June 29, 2000) ........................ 49C-39, 49E-22
1883, Final Rule: Privacy of Consumer Financial
Information (Regulation S-P) (Nov. 13, 2000) .... 15A-26, 15A-27
1889, In re Dawson Samberg Capital Mgmt., Inc., et al.
(Aug. 3, 2000) ....................................................... 46-122, 48-33
1895, In re F.W. Thompson Co., Ltd., et al.
(Sept. 7, 2000) ............................................... 20-8, 20-11, 48-33
1897, Electronic Filing by Investment Advisers;
Amendments to Form ADV (Sept. 12, 2000)......... 1-24, 4-4, 4-9,
................................................................. 4-10, 4-12, 4-16, 4-31
1898 (Sept. 25, 2000) ............................................................... 12-6
1924, In the Matter of Marc N. Geman (Feb. 14, 2001).......... 43-11
1931, Bear Creek Inc. (Mar. 9, 2001) ....................................46A-25
1932, Electronic Recordkeeping by Investment Companies
and Investment Advisers, (Mar. 13, 2001).......................... 32-14
1937, In re John Wellington Bagwell (Apr. 10, 2001)................. 4-28
1941, In re Joel R. Mogy Investment Counsel, Inc.
(May 7, 2001) ................................................................. 49C-50
1943, In the Matter of Guy P. Wyser-Pratte,
Wyser-Pratte Mgmt. Co., Inc. and Wyser-Pratte
and Co., Inc. (May 9, 2001) .................................... 27-17, 29-13
1945 (May 24, 2001) .................................................32-15, 46A-72
1954, In the Matter of Sage Advisory Services LLC
(July 27, 2001) ..................................................................... 12-6
1967, In re Andrew S. Parlin (Aug. 10, 2001) .......................... 48-32
1978, In the Matter of Performance Analytics, Inc. and
Robert P. Moseson (Sept. 27, 2001) ...................................... 6-17
1979, In re David F. Bellet (Sept. 28, 2001).................... 32-9, 34-12
1980, In the Matter of Western Asset Management Co.
and Legg Mason Fund Adviser, Inc. (Sept. 28, 2001)........... 57-12
1984, In re Duff & Phelps Investment Mgmt. Co., Inc.
(Sept. 28, 2001) ................................................................. 48-34
1991, In the Matter of F.X.C. Investors Corp., and
Francis Curzio (Oct. 18, 2001) ............................................. 6-16
(Inv. Adv. Reg., Rel. #5, 6/14)
T–49
1994, In the Matter of IMS/CPAs & Associates, Vernon T. Hall,
Stanley Hargrave, and Jerome B. Vernazza (Nov. 5, 2001) ...... 5-5
2001, In re Cambridge Equity Advisors, Inc. and
Michael E. Goldston (Dec. 12, 2001) ................................... 6-15
2002, In re Market Timing Systems, Inc., Gregory Meadors
and Mark Shinnick (Dec. 14, 2001) ..................................... 6-15
2010, In re Raymond A. Parkins, Jr. (Jan. 18, 2002) .................. 12-6
2023, In re Stan D. Kiefer & Associates and
Stanley D. Kiefer (Mar. 22, 2002)......................................... 7-22
2028 (Apr. 12, 2002) ................................................................ 3-11
2035, In re Deprince, Race & Zollo, Inc., and
John D. Race (June 12, 2002).................................... 4-30, 27-17
2038, In the Matter of Portfolio Advisory Servs., LLC, et al.
(June 20, 2002) ....................................................... 40-10, 48-34
2047, In re Market Timing Systems, Inc. et al.
(Aug. 28, 2002) ............................................................... 7-7, 7-8
2064, In the Matter of Renberg Capital Management, Inc.
and Daniel H. Renberg (Oct. 1, 2002) ................................ 57-11
2079, In the Matter of Gintel Asset Mgmt., Inc., Gintel
& Co. LLC, Robert M. Gintel and Stephen G. Stavrides
(Nov. 8, 2002) .................................................................... 29-21
2091 (Dec. 12, 2002)................................................................ 3-11
2092, In re Millennium Capital Advisors (Dec. 3, 1992) .......... 23-5
2092, In re Millennium Capital Advisors of Pennsylvania, Inc.
and Louis J. Sozio (Dec. 13, 2002) ....................................... 34-7
2106, Proxy Voting by Investment Advisers
(Jan. 31, 2003) .................................... 13-3, 13-4, 13-6, 15A-43,
........................................................15A-44, 32-12, 57-15
(Mar. 10, 2003) ................................................................46A-97
2125, Am. Pegasus LDG, LLC et al.
(Dec. 21, 2010) ................................................. 48A-13, 48A-14,
.............................................................48A-15, 48A-17, 48A-22
2136, In re Monetta Financial Services, Inc. et al.
(June 9, 2003) ...................................................................... 20-8
2153, In re John McStay Investment Counsel L.P.
(July 31, 2003) ................................................................... 48-32
2160, In the Matter of Deutsche Asset Mgmt., Inc.
(Aug. 19, 2003) ......................................................... 13-5, 57-15
2165, In the Matter of Massachusetts Fin. Servs. Co.
(Sept. 4, 2003) ................................................................... 29-13
2176, Final Rule: Custody of Funds or Securities of
Clients by Investment Advisers
(Sept. 25, 2003) ..................................... 4-8, 4-15, 11-13, 11-17,
................................................... 11-19, 11-22, 15A-50, 46A-88,
................................................. 46A-92, 49C-18, 49C-21, 57-15
T–50
2192, In the Matter of Putnam Investment Management, LLC
(Nov. 13, 2003) .................................................................. 27-22
2201, In the Matter of FT Interactive Data, f/k/a Interactive
Data Cease-and-Desist Order (Dec. 11, 2003).................... 55-38
2203, In re Robert T. Littell & Wilfred Meckel
(Dec. 15, 2003) ........................................................... 34-5, 34-8
2203, In the Matter of Wilfred Mickel and
Robert A. Littell (Dec. 15, 2003) ...........................46A-61, 57-12
2204, Final Rule: Compliance Programs of Investment
Companies and Advisers
(Dec. 17, 2003) ........................ 15A-46, 17-18, 22-2, 22-4, 22-5,
...................................... 22-7, 22-13, 22-14, 23-2, 23A-2,
...................................... 23A-3, 24-4, 24-8, 24-12, 24-17,
............... 24-39, 25-1, 28-3, 29-10, 46A-53, 46A-55, 61-5
(Feb. 5, 2004)...............................................46-73, 46-75, 48A-5
2204, Adopting Release (Dec. 24, 2003) .................................48A-5
2205, In re Alliance Capital Mgmt., LP (Dec. 8, 2003) ........... 29-10
2239, In the Matter of Strong Capital Management, Inc.
(May 20, 2004) .................................................................. 27-23
2256, Investment Advisers Codes of Ethics
(July 2, 2004) .............................................. 24-12, 24-33, 24-35,
........................................................ 28-2, 29-10, 46A-58, 57-16
2256 (July 6, 2004)...................................................... 27-16, 32-10
2256, Investment Adviser Codes of Ethics
(Aug. 31, 2004) ........................................... 27-10, 27-11, 27-13,
................................................................. 46-78, 46A-60, 48A-7
2276, In re Thayer Capital Partners, et al.
(Aug. 12, 2004) .................................................................. 48-34
2278, Certain Broker-Dealers Deemed Not to Be
Investment Advisers (Aug. 18, 2004) ...................... 38-25, 39-16
2294, In re Bridgeway Capital Management, Inc.
(Sept. 15, 2004) ................................................................. 10-19
2332, Proper Disposal of Consumer Report Information
(Dec. 2, 2004) ..................... 14-8, 14-9, 15A-22, 46-99, 46A-103
2333, Registration Under the Advisers Act of Certain
Hedge Fund Advisers (Dec. 2, 2004)....... 11-28, 46A-30, 46A-32,
........................................................... 46A-70, 50-8, 51-3, 51-5,
............................................................ 51-6, 51-8, 51-11, 51-20,
.................................................................... 51-21, 51-24, 51-25
Investment Advisers (Jan. 14, 2005) .................................. 38-26
2374, In re Michael T. Jackson and EGM Capital
(Apr. 6, 2005).............................................................. 21-1, 21-7
2376 (Apr. 12, 2005) .................................... 2-20, 2-21, 2-22, 2-25,
.................................................... 2-26, 2-27, 2-28, 39-17, 39-18
(Inv. Adv. Reg., Rel. #5, 6/14)
T–51
2376, Certain Broker Dealers Deemed Not to Be
Investment Advisers (Apr. 15, 2005) .................................... 43-3
Investment Advisers; Final Rule
(Apr. 19, 2005)............................................... 38-2, 38-27, 38-28
2396, In the Matter of Banc of Am. Inv. Servs., Inc.
(June 15, 2005) ...................................................34B-38, 34B-39
2426 (Sept. 12, 2005) ............................................................... 2-20
2441, In re Angelo Haligiannis (Oct. 12, 2005) ...................... 48-32
2457, In re Gerson Asset Mgmt., Inc. (Dec. 2, 2005)................ 20-9
2459, Riverton Management, Inc. (Dec. 9, 2005) .................46A-25
2489, In re New England Securities Corp.
(Feb. 21, 2006).......................................................... 44-5, 44-12
2514, Hutchens Investment Management, Inc. and
William Hutchens (May 9, 2006) .......................................15A-8
2520, In re Capital Works Investment Partners, LLC, et al.
(June 6, 2006) ............................................................. 6-4, 33-27
2628, Prohibition of Fraud by Advisers to Certain Pooled
Investment Vehicles
(Aug. 3, 2007) ............................................. 46-95, 49C-8, 55-30
(Sept. 10, 2007) .................................................. 48A-3, 48A-11,
...................................................48A-12, 48A-22, 48A-23
2634, In re Quattro Global Capital, LLC
(Aug. 15, 2007) ............................................................... 49C-50
2652, Interpretive Rule Under the Advisers Act
Affecting Broker-Dealers (Sept. 24, 2007)..... 39-22, 39-23, 39-24
2652 (Sept. 28, 2007) ............................................................. 38-30
2653, Rule Regarding Principal Trades with
Certain Advisory Clients
(Sept. 24, 2007) .........................................15A-48, 19-13, 19-14
2711, Amendments to Form ADV
(Mar. 3, 2008) .....................17-18, 44-2, 46A-48, 49C-7, 49E-24
2711, Amendments to Form ADV (Mar. 4, 2008) ..................... 4-16
2712, Part 248—Regulation S-P: Privacy of Consumer
Financial Information & Safeguarding Personal
Information (Mar. 4, 2008) ....................................14-9, 15A-24,
...........................................................................46-99, 46A-103
2713, In the Matter of Fid. Mgmt. & Research Co., Inc.
(Mar. 5, 2008) .................................................................. 34B-40
2761, In the Matter of Pax World Management, Corp.
(July 30, 2008) ..................................................................... 12-3
2775, LPL Fin. Corp. (Sept. 11, 2008)....................................... 14-8
2775, Order Instituting Administrative and Cease-and-Desist
Proceedings (Sept. 11, 2008) .............................................. 15-11
2804, In the Matter of WLD Enters., Inc. (Oct. 17, 2008) ........ 59-3
T–52
2872, In the Matter of INTECH Inv. Mgmt. LLC and
David E. Hurley (May 7, 2009) .......................... 15A-43, 46A-98
2876 (May 20, 2009) ............................................................15A-55
2910 (Aug. 3, 2009) ................................................................ 55-24
2911, Regulation S-AM: Limitations on Affiliate
Marketing (Aug. 4, 2009) ................................... 15A-22, 15A-31
2945, In the Matter of Value Line, Inc., et al.
(Nov. 4, 2009) .................................................................... 40-10
2950, Final Model Privacy Form under the
Gramm-Leach-Bliley Act (Nov. 16, 2009).........................15A-22
2968, Custody of Funds or Securities of Clients by
Investment Advisers (Dec. 30, 2009) .............. 4-8, 11-19, 11-23,
......................................................11-25, 11-28, 15A-50, 32-10,
.................................... 40-24, 46A-90, 46A-92, 46A-94, 49C-18
2969, Commission Guidance Regarding Independent
Public Accountant Engagements Performed Pursuant
to Rule 206(4)-2 Under the Investment Advisers Act
of 1940 (Dec. 30, 2009) ........................................11-25, 46A-94
3043, Political Contributions by Certain Investment
Advisers (June 30, 2010) ......................................... 55-21, 55-22
Advisers (July 1, 2010) ................................ 32-11, 47-65, 47-66,
............................................................. 52-3, 52-9, 52-10, 52-11
3043 (July 10, 2010) ............................................................... 57-13
3043 (Sept. 13, 2010) .................................15A-9, 15A-10, 15A-11,
.......................................................................... 15A-12, 15A-13
3060, Amendments to Form ADV
(July 28, 2010) ......................... 4-4, 4-16, 4-25, 15A-16, 15A-18,
.................................... 15A-46, 15A-49, 32-6, 44-9, 45-5,
.................................46-65, 46-66, 46-67, 46-69, 46A-45,
.............................46A-46, 46A-47, 46A-49, 47-52, 55-58
(Aug. 12, 2010) ................................................................34A-22
(Oct. 12, 2010) ................................................................15A-16
3090, In the Matter of Valentine Capital Asset
Mgmt., Inc. (Sept. 29, 2010) .............................. 48A-25, 48A-26
3098 (Oct. 10, 2010) ..................................................... 59-6, 59-12
3098 (Oct. 12, 2010) ................................................................ 2-47
3109, In the Matter of Buckingham Research Grp., Inc.
(Nov. 17, 2010) (Order).................................................... 34B-35
3110 (Nov. 19, 2010)............. 3-8, 55-9, 55-12, 55-22, 55-26, 55-34
3111 (Nov. 19, 2010)..................................................... 55-6, 55-22
3120 (Dec. 28, 2010)................................................................ 4-27
3128 (Dec. 28, 2010).............................................................. 19-14
3136, Charles Schwab Inv. Mgmt., et al.
(Jan. 11, 2011) ................................................... 48A-15, 48A-17
(Inv. Adv. Reg., Rel. #5, 6/14)
T–53
3145, Reporting by Investment Advisers to Private Funds
and Certain Commodity Pool Operators and Commodity
Trading Advisors on Form PF
(Jan. 26, 2011) ................................................... 46-153, 46-155,
................................................................ 46-156, 46-156, 48-16
3149, In the Matter of AXA Rosenberg Group, LLC
(Feb. 3, 2011).............................................. 22-4, 48A-7, 48A-26
3197, Alethia Research and Management
(May 9, 2011) .................................................................... 27-23
3198 (May 10, 2011) .............................................................. 10-22
3211, In the Matter of Wunderlich Securities, Inc., et al.
(May 27, 2011) ....................................................... 27-23, 40-16
3220, Family Offices (June 22, 2011)...............2-47, 46-92, 46A-26,
..........................................................46A-28, 47-49, 59-7, 59-9,
........................................................ 59-11, 59-12, 59-13, 59-14,
......................................................... 59-15, 59-17, 59-20, 59-21
3221 (June 22, 2001) ................................................................ 37-4
3221, Rules Implementing Amendments to the Investment
Advisers Act of 1940 (June 22, 2011) ........... 2-53, 2-56, 3-4, 3-8,
.............................................................3-10, 3-11, 4-4, 4-5, 4-6,
............................................... 4-24, 35-52, 46-60, 46-61, 46-62,
............................................ 46-63, 46A-7, 46A-8, 47-45, 47-46,
............................................. 47-48, 47-49, 47-50, 47-52, 47-53,
....................................................... 47-65, 47-66, 49C-13, 50-9,
.................................................... 52-7, 52-9, 52-13, 57-4, 57-13
3222, Exemptions for Advisers to Venture Capital Funds,
Private Fund Advisers With Less Than $150 Million in
Assets Under Management, and Foreign Private Advisers
(June 22, 2011) ..................................2-53, 45B-4, 46-81, 46-82,
.................................................46-89, 46A-13, 46A-15, 46A-17,
.................................................. 46A-36, 46A-40, 47-47, 49C-5,
........................................... 49C-6, 49E-3, 49E-23, 49E-24, 57-4
3236 (July 12, 2011) ............................................................... 10-22
3297, Approval of Filing Fees for Exempt Reporting Advisers
and Private Fund Advisers (Sept. 30, 2011) .......................... 57-6
3304, In the Matter of Banco Espirito Santo S.A.
(Oct. 24, 2011) ........................... 49C-4, 49C-26, 49C-27, 49E-7
3305, Order Approving Filing Fees for Exempt Reporting
Advisers and Private Fund Advisers (Oct. 24, 2011) ......... 45B-22
3308, Reporting by Investment Advisers to Private Funds
and Certain Commodity Pool Operators and
Commodity Trading Advisors on Form PF
(Oct. 31, 2011) ..........................................45B-7, 45B-23, 47-56
3325, In the Matter of Feltl & Co., Inc. (Nov. 28, 2011) ......... 40-16
T–54
3372, Investment Adviser Performance Compensation
(Feb. 15, 2012)....................................... 10-22, 15A-39, 15A-40,
.......................................................37-5, 46A-110, 47-58, 48-12
3383, Laurence Albukerk & EB Fin. Grp., LLC
(Mar. 14, 2012) .....................................48A-19, 48A-20, 48A-21
3399, GMB Capital Mgmt., LLC, et al.
(Apr. 20, 2012)........................ 48A-14, 48A-15, 48A-16, 48A-17
3403 (July 1, 2010)................................................................... 52-9
3408, Quantek Asset Mgmt., LLC, et al.
(May 29, 2012) .....................................48A-15, 48A-16, 48A-17
3416, In re David Mark Bunzel (June 7, 2012)........................ 61-11
Advisers: Ban on Third-Party Solicitation; Extension
of Compliance Date (June 8, 2012) ........................... 47-66, 52-5
3428, Calhoun Asset Mgmt., LLC (July 9, 2012) .................. 34B-13
3441, In the Matter of Consultiva Internacional, Inc.
(Aug. 3, 2012) .................................................................... 34B-7
3458, In the Matter of Focus Point Solutions, Inc.
(Sept. 7, 2012) .................................................................15A-44
3464, In the Matter of Walter V. Gerasimowicz, et al.
(Sept. 14, 2012) ...............................................................15A-56
3495, BTS Asset Management, Inc.
(Oct. 29, 2012) (Order) .................................................... 34B-26
3519, Claymore Advisors, LLC (Dec. 19, 2012) .......34B-25, 34B-26
3520, Fiduciary Asset Management, LLC
(Dec. 19, 2012) ................................................................48A-17
3522, Temporary Rule Regarding Principal Trades with
Certain Advisory Clients
(Dec. 20, 2012) ..........................................15A-48, 19-14, 19-15
3547 (Feb. 6, 2013)................................................................. 35-17
3553, Oxford Inv. Partners LLC & Walter J. Clarke
(Feb. 15, 2013).................................................................48A-17
3564, In the Matter of Fry Hensley and Company and
Nicholas L. Fry, II (Mar. 8, 2013) .....................................15A-47
3566, Oppenheimer Asset Mgmt. Inc. & Oppenheimer
Alternative Inv. Mgmt., LLC
(Mar. 11, 2013) ....................................... 48A-18, 48A-19, 61-15
3571.....................................................................................48A-18
3582, Identity Theft Red Flags Rules
(Apr. 10, 2013).................................................. 15A-31, 15A-32,
.............................................................15A-33, 15A-34, 15A-35
3587, In the Matter of Vector Wealth Management, LLC
(Apr. 18, 2013).................................................................15A-55
3636, In the Matter of Comprehensive Capital
Management, Inc. (July 20, 2013) ....................................15A-55
(Inv. Adv. Reg., Rel. #5, 6/14)
T–55
3693 (Oct. 17, 2013) ............................................................15A-13
3704, In the Matter of Equitas Capital Advisors, LLC et. al.
(Oct. 23, 2013) ................................................................15A-46
3705, In the Matter of Knelman Asset Management Group
(Oct. 29, 2013) ................................................................15A-44
3706, In the Matter of GW & Wade, LLC (Oct. 28, 2013).....15A-51
3715 (Nov. 13, 2013)............................................................15A-13
3719, In re Agamas Capital Management, LP
(Nov. 19, 2013) ....................................................... 61-16, 61-17
3727, In the Matter of Tri-Star Advisors, Inc.,
William T. Payne, and Jon C. Vaughan (Nov. 26, 2013) ....15A-49
3747, In the Matter of Jim Poe & Associates, Inc.
(Dec. 24, 2013) ................................................................15A-39
3785, In the Matter of Clean Energy Capital, LLC and
Scott A. Brittenham (Feb. 25, 2014) .................................15A-48
31,308, Reporting by Investment Advisers to Private Funds
and Certain Commodity Pool Operators and
Commodity Trading Advisers on Form PF
(Oct. 31, 2011) ....................... 46A-75, 46A-78, 46A-81, 46A-87
T–56

TOA_Investment Adviser Regulation_Rel#5.fm

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