SEC Investment Advisers Act Exemptions, Notices, and Orders
Summary
The SEC has issued notices and orders granting exemptions under the Investment Advisers Act of 1940. These notices pertain to specific applications filed by investment advisers, such as Parametric Portfolio Associates LLC and True Venture Management, L.L.C., for exemptions from certain rules.
What changed
The Securities and Exchange Commission (SEC) has published notices and orders related to applications filed under the Investment Advisers Act of 1940. Specifically, orders were granted to Parametric Portfolio Associates LLC and True Venture Management, L.L.C. on January 8, 2026, providing exemptions from Rule 206(4)-5(a)(1) concerning political contributions. These documents are part of a broader archive of notices, orders, and applications issued by the SEC.
These notices serve as an informational record for regulated entities and legal professionals. While these specific orders grant exemptions, the SEC's ongoing publication of such documents highlights the importance of monitoring regulatory actions and ensuring compliance with the Investment Advisers Act. No immediate action is required for entities not directly named in these specific orders, but awareness of the types of exemptions granted and the underlying rules is crucial for ongoing compliance.
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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
| 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) | | | | 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) |
| 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) | | | | 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) |
| 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) | | | | | | | | | | | | |
Last Reviewed or Updated: Jan. 8, 2026
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