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Financial Advisor
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#	Item
561	U.S. Securities and Exchange Commission Investment Adviser Registration Depository (IARD) PRIVACY IMPACT ASSESSMENT (PIA) July 8, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-05 10:53:52 Finance Corporate crime U.S. Securities and Exchange Commission Financial regulation Investment Advisers Act Financial adviser Registered Investment Advisor Federal Reserve System Financial Industry Regulatory Authority Financial economics Business Investment
562	Hansberger Global Investors 401 East Las Olas Boulevard, Suite 1700 Fort Lauderdale, FL[removed]Telephone[removed]Fax[removed]www.hansberger.com Add to Reading List Source URL: www.morganstanley.com Language: English - Date: 2015-01-25 11:34:38 Financial services Financial markets Funds Investment banking Financial adviser Investment management Collective investment scheme Registered Investment Advisor Exchange-traded fund Financial economics Investment Finance
563	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 4, 2015 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-04 16:45:36 Financial system Investment 76th United States Congress Investment Advisers Act Registered Investment Advisor U.S. Securities and Exchange Commission Financial adviser Registered representative Securities Exchange Act Financial economics United States securities law Finance
564	THE EFFECTS OF CONFLICTED INVESTMENT ADVICE ON RETIREMENT SAVINGS February 2015 Add to Reading List Source URL: www.whitehouse.gov Language: English - Date: 2015-02-22 16:15:13 Financial services Pension Collective investment schemes Individual retirement account Financial adviser Roth IRA Traditional IRA Defined contribution plan Registered Investment Advisor Financial economics Investment Individual Retirement Accounts
565	COMMONWEALTH OF PUERTO RICO COMMISSIONER OF FINANCIAL INSTITUTIONS Centro Europa Building, Suite[removed]Ponce de León Ave. San Juan, PR[removed]Tel[removed]Fax: ([removed] Add to Reading List Source URL: www.ocif.gobierno.pr Language: English - Date: 2013-05-03 09:45:36 Business Financial adviser Investment Financial regulation Investment Advisor U.S. Securities and Exchange Commission Security Uniform Securities Act Securities Act United States securities law Finance Financial economics
566	ANDREW HIGGINSON JOINS WARBURG PINCUS AS SENIOR ADVISOR London, February 23rd, 2015 – Warburg Pincus, a leading global private equity firm focused on growth investing, today announced Andrew Higginson has joined the fi Add to Reading List Source URL: www.warburgpincus.com Language: English - Date: 2015-02-27 12:27:24 Pincus Warburg Investment Lionel Pincus Economy of the United States Financial economics Metavante Warburg Pincus Warburg family Poundland
567	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 4, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-04 17:45:21 Finance United States Securities and Exchange Commission 76th United States Congress 73rd United States Congress Investment Registered Investment Advisor U.S. Securities and Exchange Commission Investment Advisers Act Securities and Exchange Commission United States securities law Financial economics Financial regulation
568	Financial Services Institute 607 14th Street NW, Suite 750 Washington, D.C[removed]1840 \| financialservices.org VIA ELECTRONIC MAIL Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-09 13:29:14 Financial markets United States securities law Investment Financial services U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Financial adviser Registered Investment Advisor Broker-dealer Financial economics Finance Business
569	VIA ELECTRONIC MAIL February 12, 2015 SEC Investor Advisory Committee c/o Brent J. Fields Secretary, Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-11 18:37:02 Business Financial Industry Regulatory Authority Registered Investment Advisor Financial adviser ACT U.S. Securities and Exchange Commission Registered representative Selling away United States securities law Finance Financial economics
570	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No[removed]February 23, 2015 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-23 17:18:36 Financial regulation Registered Investment Advisor Securities Exchange Act Investment Advisers Act U.S. Securities and Exchange Commission SEC Rule 10b-5 Securities Act United States Financial system United States securities law United States Securities and Exchange Commission 73rd United States Congress

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