# SEC Investment Advisers Act of 1940 order IA-1938
> Respondent: **Mumtaz Saxena** · 2001-04-12 · File 3-10319
## Proceeding
- **Release Number:** IA-1938
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-10319
- **Publish Date:** 2001-04-12
## Respondents
- Mumtaz Saxena
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*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*