# SEC Investment Advisers Act of 1940 order IA-1714
> Respondent: **Rothschild Investment Corporation** · 1998-04-13 · File 3-9577
## Proceeding
- **Release Number:** IA-1714
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-9577
- **Publish Date:** 1998-04-13
## Respondents
- Rothschild Investment Corporation
---
*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*