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Financial advisors
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331	Wells Fargo Advisors, LLC Regulatory Policy One North Jefferson St. Louis, MO[removed]HO004[removed] (t) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-09 12:27:15 Finance United States Securities and Exchange Commission Self-regulatory organizations Financial regulation Financial services Securities Exchange Act Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Broker-dealer United States securities law Financial system Financial economics
332	GAFIS Focus Note 4: Agents and Cash Merchant Channels Begin to Deliver Useful Savings Products Gateway Financial Innovations for Savings (GAFIS) is a special project of Rockefeller Philanthropy Advisors, funded by the Bi Add to Reading List Source URL: gafis.net Language: English - Date: 2014-01-04 10:29:57 Banking ICICI Bank Electronic commerce Payment systems Bank Branchless banking Transactional account Deposit account ING Group Financial services Business Finance
333	SEC Complaint: GLR Capital Management, LLC, GLR Advisors, LLC, Geringer, Luck & Rode LLC, John A. Geringer, and Relief Defendant GLR Growth Fund, L.P. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-05-25 13:57:39 Financial services Collective investment schemes Funds U.S. Securities and Exchange Commission Financial adviser Rate of return Financial economics Investment Finance
334	Date of Event: October 23, 2014 Duration of Recording: 5 hrs. 2 min. Transcript: Compliance Outreach Program for Municipal Advisors Speakers: Drew Bowden, Director, OCIE; Ed Wegener, Midwest Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-12-05 11:22:36 Self-regulatory organizations Business Financial regulation Investment Municipal Securities Rulemaking Board U.S. Securities and Exchange Commission Financial adviser Financial Industry Regulatory Authority Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics Finance United States securities law
335	DAVIS ADVISORS Contact Phone Number[removed]http://davisadvisors.com FORM ADV PART 2 Add to Reading List Source URL: www.morganstanley.com Language: English - Date: 2015-01-25 11:34:36 Finance Collective investment schemes Institutional investors Financial adviser Registered Investment Advisor Separately managed account Investment Advisor Mutual fund Investment management Financial economics Investment Financial services
336	Tortoise Capital Advisors, L.L.C. Code of Ethics Statement of General Policy Tortoise Capital Advisors, L.L.C. (the “Adviser,” “we,” or “us”) seeks to foster a reputation for integrity and professionalism. Th Add to Reading List Source URL: www.tortoiseadvisors.com Language: English - Date: 2014-01-10 13:14:28 Business 73rd United States Congress United States Securities and Exchange Commission Stock market United States corporate law Investment Advisers Act Financial adviser Securities Exchange Act Securities Act United States securities law Finance Financial economics
337	WINTER NEWSLETTER 2014 The JAG Winter Newsletter has been put together by the JAG Capital Advisors team for both managers and investors (the “Newsletter"). From a know-how perspective, our Corporate Report covers an ar Add to Reading List Source URL: jagcapadvisors.com Language: English - Date: 2014-03-28 12:38:58 Institutional investors Financial services Equity securities Financial markets Capital gains tax Hedge fund Private equity Insurance United Kingdom company law Financial economics Investment Finance
338	PRIMERICA FINANCIAL SERVICES Financial Advisor Sacramento, CA Advisors help their clients identify and plan for short-term and long-term goals. Helping clients plan for retirement, education expense, and general investme Add to Reading List Source URL: students.gsm.ucdavis.edu Language: English - Date: 2011-08-04 18:24:21 Business Financial adviser Money Financial Advisor Financial planner National Association of Personal Financial Advisors Finance Investment Financial economics
339	Administrative Proceeding: Palmyra Capital Advisors LLC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-01-26 15:31:05 Financial services United States securities law United States Securities and Exchange Commission 76th United States Congress Hedge fund Investment Advisers Act U.S. Securities and Exchange Commission Registered Investment Advisor Securities Exchange Act Financial economics Investment Finance
340	FI R M PROFI LE Ranked among the top 15 firms in the nation 1,300 professionals, Add to Reading List Source URL: www.mkllp.com Language: English - Date: 2014-11-19 10:51:16 Finance Financial audit UHY Advisors Accountancy Auditing Business

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