Investment Advisers Act Applications, Notices and Orders
Jan. 6, 2023
This page lists certain notices, orders, and applications filed under the Investment Advisers Act (IAA) issued after January 1, 2006. For other materials related to the Commission's oversight and regulation of the investment management industry, investment companies (including mutual funds), and investment advisers, see the Division of Investment Management.
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Chronological List
IAA File Number List
Chronological List
| Release No. | Date | Details |
|---|
| 801-111664 | | Notice | Apr. 14, 2026 | Focused Trading and Investments INC
(Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers Act of 1940) |
| 803-00287 | | Order | Jan. 8., 2026 | Parametric Portfolio Associates LLC
(Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder) |
| 803-00283 | | Order | Jan. 8., 2026 | True Venture Management, L.L.C.
(Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder) |
|
File Number List for 2026
| Release No. | Date | Details |
|---|
| 803-00287 | | Order | Jan. 8., 2026 | Parametric Portfolio Associates LLC
(Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder) |
| 803-00283 | | Order | Jan. 8., 2026 | True Venture Management, L.L.C.
(Order Under Section 206A of the Investment Advisers Act of 1940 and Rule 206(4)-5(e) Thereunder Granting an Exemption From Rule 206(4)-5(a)(1) Thereunder) |
| 801-111664 | | Notice | Apr. 14, 2026 | Focused Trading and Investments INC
(Notice of Intention To Cancel Registrations of Certain Investment Advisers Pursuant to Section 203(h) of The Investment Advisers Act of 1940) |
|
Last Reviewed or Updated: April 15, 2026
