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Financial Advisor
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121	Division of Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-01-09 16:41:46 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer U.S. Securities and Exchange Commission Investment Advisers Act Short Net capital rule Financial economics Financial markets Finance
122	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. NoMay 7, 2015 Admin. Proc. File NoIn the Matter of the Application of Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-05-07 15:46:38 Financial Industry Regulatory Authority Securities Exchange Act Registered Investment Advisor U.S. Securities and Exchange Commission Security PINO Debits and credits General Securities Representative Exam Sales United States securities law Business Finance
123	COLLEGE ILLINOIS!® 529 Prepaid Tuition Program STATEMENT OF INVESTMENT POLICY Add to Reading List Source URL: www.collegeillinois.org Language: English - Date: 2015-05-01 16:12:28 Financial services Funds Financial markets Collective investment scheme Financial adviser Investment management Investment Advisor Chief investment officer Private equity Financial economics Investment Finance
124	Daphne A. Wright, CPA, CFP®, MSFS Who I am Daphne Wright is a CERTIFIED FINANCIAL PLANNER™ professional, Certified Public Accountant, and CFP®, and investment advisor with 22 years of professional experience in the Add to Reading List Source URL: www.hr.howard.edu Language: English - Date: 2011-11-02 11:58:20 Finance Financial planner Certified Financial Planner Money Financial adviser Certified Public Accountant Financial Planning Association Certified Financial Planner Board of Standards Financial management advisor Professional certification in finance Personal finance Business
125	Division of Trading and Markets No-Action Letter: SIFMA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-11 10:59:43 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer Investment Advisor U.S. Securities and Exchange Commission Investment Advisers Act Financial adviser Broker Financial economics Finance Financial markets
126	PLANNED GIVING Support the Migraine Research Foundation while providing income, tax advantages, and other financial benefits for you and your family. Please consult your financial advisor, estate planner, or attorney for Add to Reading List Source URL: www6425.ssldomain.com Language: English - Date: 2013-09-13 18:40:27 Charitable trust Trust law Estate tax in the United States Income tax in the United States Life insurance Foundation Charitable organizations Estate planning Charitable Gift Annuity Law Inheritance Taxation in the United States
127	Sifting Through the Wreckage: Lessons from Recent Hedge-Fund Liquidations∗ Mila Getmansky†, Andrew W. Lo‡, and Shauna X. Mei†† This Draft: November 14, 2004 Abstract Add to Reading List Source URL: web.mit.edu Language: English - Date: 2004-11-18 21:46:00 Financial services Hedge funds Hedge fund Management fee Performance fee Trading Advisor Selection System Hedge fund replication Financial economics Investment Finance
128	How to Get Your Banker To Give You What You Want Add to Reading List Source URL: www.tednicholas.com Language: English - Date: 2012-03-30 11:16:19 Financial economics Late-2000s financial crisis Economics Money Causes of the late-2000s financial crisis Commercial finance advisor Bank Finance Financial adviser
129	Division of Trading and Markets No-Action Letter: SIFMA Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2013-01-11 10:59:43 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer Investment Advisor U.S. Securities and Exchange Commission Investment Advisers Act Financial adviser Broker Financial economics Finance Financial markets
130	Risk Alert: Cybersecurity Examination Sweep Summary Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-06-02 17:20:17 Investment Registered Investment Advisor Business Occupations Financial adviser U.S. Securities and Exchange Commission Registered representative Broker-dealer Cyberwarfare Financial economics Finance Financial services

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