# SEC Investment Advisers Act of 1940 order IA-5172
> Respondent: **NBC Securities, Inc.** · 2019-03-11 · File 3-19075
## Proceeding
- **Release Number:** IA-5172
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-19075
- **Publish Date:** 2019-03-11
## Respondents
- NBC Securities, Inc.
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2019/ia-5172.pdf](https://www.sec.gov/files/litigation/admin/2019/ia-5172.pdf)

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