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Financial management advisor
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501	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]December 14, 2009 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-14 17:34:08 Financial services Hedge fund Investment Advisers Act Securities Exchange Act Investment management Securities and Exchange Commission Registered Investment Advisor Financial economics Investment Finance
502	UNITED STATES OF AMERICA before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]December 14, 2009 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-14 17:40:39 Financial services Hedge fund Investment Advisers Act Registered Investment Advisor Financial adviser Investment management Financial economics Investment Finance
503	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]July 18, 2013 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-18 16:43:47 Financial regulation Registered Investment Advisor Investment Advisers Act Financial adviser U.S. Securities and Exchange Commission Deephaven Capital Management Securities Act Business Financial economics Finance Investment
504	Morgan Stanley Investment Management Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-11-16 10:26:05 Financial regulation Financial economics United States Securities and Exchange Commission 73rd United States Congress Business Securities Act U.S. Securities and Exchange Commission Investment Advisers Act Investment Advisor United States securities law 76th United States Congress Finance
505	Arizona Administrative Code Title 14, Ch. 6 Corporation Commission – Investment Management TITLE 14. PUBLIC SERVICE CORPORATIONS; CORPORATIONS AND ASSOCIATIONS; SECURITIES REGULATION Add to Reading List Source URL: www.azsos.gov Language: English - Date: 2007-04-13 14:06:11 Financial services Business 76th United States Congress Investment Advisers Act Financial adviser Investment Advisor Collective investment scheme Financial planner U.S. Securities and Exchange Commission Financial economics Investment Finance
506	Microsoft Word[removed]doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-12-16 17:48:32 Financial adviser Investment Advisers Act Investment Advisor Asset allocation Separately managed account Mutual fund Financial economics Investment Investment management
507	Proposed Rule: Exemptions for Advisers to Venture Capital Funds, Private Fund Advisers With Less Than $150 Million in Assets Under Management, and Foreign Private Advisers (CORRECTED TO CONFORM TO THE FEDERAL REGISTER VE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-12-10 10:19:04 Financial services 76th United States Congress United States securities law Investment Advisers Act Registered Investment Advisor Hedge fund Investment Company Act Financial adviser Dodd–Frank Wall Street Reform and Consumer Protection Act Financial economics Investment Finance
508	SECURITIES AND EXCHANGE COMMISSION Investment Company Act Release No[removed] ; File No[removed]Wells Fargo Funds Trust, et al.; Notice of Application December 13, 2013 Agency: Securities and Exchange Commission (“Com Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-12-13 17:40:18 Financial services Financial adviser Investment Advisers Act Investment management Investment Advisor Regulation S-X Hedge fund Investment Policy Statement Financial economics Investment Finance
509	Investment Management Regulation The Investment Management Division regulates investment companies (which include mutual funds, closed-end funds and unit investment trusts) and investment advisers under two companion sta Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-01-31 09:45:46 Funds Financial services Collective investment schemes 76th United States Congress Exchange-traded fund Investment Company Act Mutual fund Investment Advisers Act Registered Investment Advisor Financial economics Investment Finance
510	Complaint: SEC v. Vincent A. Lenarcic, Jr. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-12-02 11:37:06 Finance Security Stock market Investment Advisers Act Registered Investment Advisor Investment management Financial economics Financial services Investment

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