# SEC Investment Advisers Act of 1940 order IA-4643
> Respondent: **Herman, Rosalind** · — · File 3-17828
## Proceeding
- **Release Number:** IA-4643
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-17828
- **Publish Date:** —
## Respondents
- Herman, Rosalind
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2017/ia-4643.pdf](https://www.sec.gov/files/litigation/admin/2017/ia-4643.pdf)

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*Source: [SEC Administrative Proceedings](https://www.sec.gov/litigation/admin) · AI Analytics · CC0 1.0*