KA Associates, Inc. Administrative Consent Agreement and Order
RBC Capital Markets, LLC
This order provided temporary relief from the registration requirements for “exempt reporting advisers.” The order was in effect from January 1 through December 31, 2014.
Berg Faircloth Investment Advisors Corp. and Ricky Landon Faircloth
Merrill Lynch, Pierce, Fenner and Smith, Inc.
Preston Wealth Management, LLC and Alexander Preston Cole
Morgan Asset Management Inc. and Morgan Keegan and Company Inc.
Order Extending Temporary Exemption of “Exempt Reporting Advisers” from the Definition of “Investment Adviser” in the DC Securities Act of 2000
ProEquities Administrative Consent Order