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Financial Advisor
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#	Item
911	National Examination Program Examination Priorities for 2015 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-12 15:46:42 Business Financial services Registered Investment Advisor Financial adviser Dodd–Frank Wall Street Reform and Consumer Protection Act U.S. Securities and Exchange Commission Due diligence Investment management Hedge fund Financial economics Investment Finance
912	File No[removed]UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-30 16:09:25 Investment Investment Advisers Act Registered Investment Advisor Financial adviser Investment Advisor GTCR Citigroup Investment Company Act Management fee Finance 76th United States Congress Financial economics
913	FAMILY WEALTHREPORT EXCLUSIVE INTELLIGENCE FOR THE FAMILY OFFICE COMMUNITY Interview: How To Get The Young And Wealthy Interested In Reporting Add to Reading List Source URL: www.wealthtouch.com Language: English - Date: 2011-12-31 16:17:57 Financial adviser Butte Montana HNW Financial Advisor Business Finance Geography of the United States Financial services Stock market Wealth management
914	INITIAL DECISION RELEASE NO. 740 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-27 13:30:12 73rd United States Congress Financial economics Financial regulation Business 76th United States Congress Investment Advisor Investment Advisers Act U.S. Securities and Exchange Commission Financial adviser United States securities law United States Securities and Exchange Commission Finance
915	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]January 23, 2015 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-23 15:19:27 United States securities law 73rd United States Congress United States Securities and Exchange Commission 76th United States Congress Investment Advisers Act Registered Investment Advisor U.S. Securities and Exchange Commission Securities and Exchange Commission Financial adviser Financial economics Investment Finance
916	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No[removed]January 23, 2015 SECURITIES EXCHANGE ACT OF 1934 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-23 11:38:38 Investment Economics Business Ameriprise Financial Securities Exchange Act Security Registered Investment Advisor Investment Advisor Financial Industry Regulatory Authority Financial economics United States securities law Finance
917	INITIAL DECISION RELEASE NO. 741 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-30 12:54:59 United States securities law 76th United States Congress Registered Investment Advisor Investment Advisers Act Hedge fund U.S. Securities and Exchange Commission Securities regulation in the United States Investment Advisor Investment Company Act Financial economics Finance Investment
918	SPONSORED STATEMENT CTAs are back, but can they keep the momentum? Philippe Ferreira, Head of Research, Managed Account Platform, Add to Reading List Source URL: www.lyxor.com Language: English - Date: 2014-10-10 11:24:50 Commodities market Commodity trading advisor Asset allocation S&P GSCI Hedge fund Futures contract Managed futures account Financial economics Investment Finance
919	Statement for the Record of Paul Schott Stevens President and CEO of the Investment Company Institute Hearing on “Ensuring Appropriate Regulatory Oversight of Broker-Dealers and Legislative Proposals to Improve Investm Add to Reading List Source URL: www.ici.org Language: English Finance Investment 76th United States Congress Financial services Registered Investment Advisor Financial adviser Investment Advisers Act U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics United States securities law Law
920	THE WEEKLY BRIEF JANUARY 19, 2015 RESEARCH FROM LYXOR MANAGED ACCOUNT PLATFORM Add to Reading List Source URL: www.lyxor.com Language: English - Date: 2015-01-20 08:44:29 Financial services Funds Commodities market Société Générale Hedge fund Commodity pool Commodity trading advisor Collective investment scheme Global macro Financial economics Investment Finance

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