# SEC Investment Company Act of 1940 order IC-30502
> Respondent: **Northern Lights Compliance Services, LLC, et al.** · 2013-05-02 · File 3-15313
## Proceeding
- **Release Number:** IC-30502
- **Act:** Investment Company Act of 1940
- **File Number:** 3-15313
- **Publish Date:** 2013-05-02
## Respondents
- Northern Lights Compliance Services, LLC, et al.
## Order PDF

- [https://www.sec.gov/files/litigation/admin/2013/ic-30502.pdf](https://www.sec.gov/files/litigation/admin/2013/ic-30502.pdf)

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