# SEC Investment Advisers Act of 1940 order IA-5196
> Respondent: **Stephens Inc.** · 2019-03-11 · File 3-19099
## Proceeding
- **Release Number:** IA-5196
- **Act:** Investment Advisers Act of 1940
- **File Number:** 3-19099
- **Publish Date:** 2019-03-11
## Respondents
- Stephens Inc.
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2019/ia-5196.pdf](https://www.sec.gov/files/litigation/admin/2019/ia-5196.pdf)

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