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Bookmark or Share- IAPD - Investment Adviser Public Disclosure - HomepageThis file contains information about investment advisers who are registered with the SEC or who are filing reports as Exempt Reporting Advisers with the SEC and is available for download in XML format.
- IAPD - Investment Adviser Public Disclosure - HomepageInvestment advisers file Form ADV to register with the SEC and/or the states. Some advisers that do not have to register with the SEC or the states ("Exempt Reporting Advisers") must nonetheless complete some of the questions in Form ADV for purposes of reporting to the SEC and/or the states.
- Regulation of Investment Advisers - SEC.govUnited States as “investment advisers” under the U.S. Investment Advisers Act of 1940 (“Advisers Act” or “Act”) or similar state statutes. This outline describes the regulation of investment advisers by the U.S. Securities and Exchange Commission (“SEC”).
- SEC.gov | Frequently Asked Questions on Form ADV and IARDQ: Are SEC-registered advisers and SEC Exempt Reporting Advisers required to report arbitration claims in Item 11? A: No. However, state-registered advisers filing Part 1B of Form ADV are required by state law to report arbitration claims and complete a corresponding DRP.
- UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION ...Section 203(f) of the Investment Advisers Act of 1940 (“Advisers Act”) against David M. Anthony (“Respondent” or “Anthony”). II. After an investigation, the Division of Enforcement alleges that: A. RESPONDENT AND RELATED ENTITIES 1. Anthony (CRD 3068955), 49, is a resident of Westminster, Colorado. He is the
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