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Financial advisors
Results: 1463

#	Item
541	Microsoft Word - 0914_a&cITEM08--Quarterly Investment Report Add to Reading List Source URL: www.regents.iowa.gov Language: English - Date: 2014-12-16 15:00:41 Financial services Corporate finance Private capital Private equity Investment management State Street Global Advisors Hedge fund Private equity secondary market Financial economics Finance Investment
542	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES ACT OF 1933 Release No[removed]December 15, 2014 SECURITIES EXCHANGE ACT OF 1934 Release No[removed]December 15, 2014 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-16 06:23:13 Financial services Structured finance Fixed income securities Funds State Street Global Advisors Mutual fund Subprime mortgage crisis Tranche Asset-backed security Financial economics Investment Finance
543	VERMONT DEPARTMENT OF FINANCIAL REGULATION 89 Main Street, Montpelier, Vermont[removed]Banking Division Activity Journal #[removed]November 1, 2014 through November 15, 2014 NAME Add to Reading List Source URL: www.dfr.vermont.gov Language: English - Date: 2014-11-26 16:51:06 Vermont Route 22A American Advisors Group
544	INVESTMENT POLICY AND ASSET ALLOCATION FOR LOCAL GOVERNMENTS Alaska Municipal League TRUSTED ADVISORS Add to Reading List Source URL: www.akml.org Language: English - Date: 2014-11-25 17:51:20 Financial risk Financial services Institutional investors Collective investment schemes Asset allocation Repurchase agreement Mutual fund Diversification Investment Policy Statement Financial economics Investment Finance
545	Investment Advice provided by USI Advisors, Inc. Under certain arrangements, securities offered to the Plan through USI Securities, Inc. Member FINRA/SIPC. Add to Reading List Source URL: www.usicg.com Language: English - Date: 2014-12-03 14:58:12 Bonds United States housing bubble Dow Jones & Company MSCI EAFE Index Stock market index Bond market MSCI Dow Jones Industrial Average Economics Financial economics Investment
546	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
547	SECURITIES AND EXCHANGE COMMISSION Rel. No. IA[removed] William E. Simon & Sons, LLC; New Vernon Advisors, Inc.; Notice of Application December 22, 2014 Agency: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-23 08:01:55 76th United States Congress Investment Advisers Act Financial regulation Dodd–Frank Wall Street Reform and Consumer Protection Act Financial adviser Business Family office U.S. Securities and Exchange Commission Financial economics Finance Financial services
548	ETF Securities Advisors LLC, et al. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-24 06:21:55 Finance United States securities law 76th United States Congress Financial services Exchange-traded fund Investment Company Act Unit investment trust U.S. Securities and Exchange Commission SEC filing Financial economics Investment Funds
549	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; [removed]ETF Securities Advisors LLC, et al.; Notice of Application November 24, 2014 Agency: Securities and Exchange Commission (“Commiss Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-26 08:44:05 Funds Financial services 76th United States Congress Exchange-traded funds Collective investment scheme Financial adviser Unit investment trust Securities and Exchange Commission Investment Advisers Act Financial economics Investment Finance
550	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; [removed]SSgA Funds Management, Inc., et al.; Notice of Application December 18, 2014 Agency: Securities and Exchange Commission (the “Com Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-19 06:47:21 Financial services 76th United States Congress Collective investment schemes Investment Advisers Act Financial adviser Investment Company Act State Street Global Advisors State Street Corporation Investment management Financial economics Investment Finance

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