# SEC Investment Advisers Act of 1940 order IA-4665
> Respondent: **Stifel and Nicolaus & Company, Incorporated** · 2017-03-13 · File 3-17879
## Proceeding
- **Release Number:** IA-4665
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-17879
- **Publish Date:** 2017-03-13
## Respondents
- Stifel and Nicolaus & Company, Incorporated
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2017/ia-4665.pdf](https://www.sec.gov/files/litigation/admin/2017/ia-4665.pdf)

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