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WebSection 3(a) of the Securities Exchange Act of 1934; (ii) Who is: (A)An investment adviser, as that term is defined in Section 202(a)(11) of the Investment Advisers Act of 1940; (B)An institutional investment manager, as that term is defined in Section 13(f)(5) of the Securities Exchange Act of 1934, that filed a Web19 Apr 2024 · On March 3, 2024, the SEC’s Division of Examinations (formerly the Office of Compliance Inspections and Examinations (OCIE)) issued its examination … headley voluntary care group
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