federal_register: 2014-30435

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document_number title type abstract publication_date pub_year pub_month html_url pdf_url agency_names agency_ids excerpts regulation_id_numbers
2014-30435 William E. Simon & Sons, LLC; New Vernon Advisors, Inc.; Notice of Application Notice Summary of Application: The Applicant requests that the Commission issue an order declaring it to be a person not within the intent of Section 202(a)(11) of the Advisers Act, which defines the term "investment adviser." 2014-12-30 2014 12 https://www.federalregister.gov/documents/2014/12/30/2014-30435/william-e-simon-and-sons-llc-new-vernon-advisors-inc-notice-of-application https://www.govinfo.gov/content/pkg/FR-2014-12-30/pdf/2014-30435.pdf Securities and Exchange Commission 466 Summary of Application: The Applicant requests that the Commission issue an order declaring it to be a person not within the intent of Section 202(a)(11) of the Advisers Act, which defines the term "investment adviser."  

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