Investment Advisers Act

Results: 2659



#Item
991DISCLOSURE BROCHURE February 14, 2014 FOOTHILLS ASSET MANAGEMENT, LTD[removed]E. VIA DE VENTURA, SUITE 175 SCOTTSDALE, AZ 85258

DISCLOSURE BROCHURE February 14, 2014 FOOTHILLS ASSET MANAGEMENT, LTD[removed]E. VIA DE VENTURA, SUITE 175 SCOTTSDALE, AZ 85258

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Source URL: www.faml.net

Language: English - Date: 2014-03-12 19:18:20
992SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]July 22, 2014 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing to List and Trade S

SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]July 22, 2014 Self-Regulatory Organizations; NYSE Arca, Inc.; Notice of Filing of Proposed Rule Change Proposing to List and Trade S

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Source URL: www.sec.gov

Language: English - Date: 2014-07-23 09:44:03
993Microsoft Word - IC[removed]docx

Microsoft Word - IC[removed]docx

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Source URL: www.sec.gov

Language: English - Date: 2014-08-06 17:29:08
994BARNES & THORNBURG LLP 11 South Meridian Street Indianapolis, IN[removed]U.S.A[removed]Fax[removed]

BARNES & THORNBURG LLP 11 South Meridian Street Indianapolis, IN[removed]U.S.A[removed]Fax[removed]

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Source URL: www.sec.gov

Language: English - Date: 2010-11-18 11:09:39
995UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]July 23, 2014 ADMINISTRATIVE PROCEEDING

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]July 23, 2014 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2014-07-23 13:21:16
996SNR Denton US LLP Two World Financial Center 225 Liberty Street New York, NY[removed]USA Ira I. Roxland

SNR Denton US LLP Two World Financial Center 225 Liberty Street New York, NY[removed]USA Ira I. Roxland

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Source URL: www.sec.gov

Language: English - Date: 2010-11-19 10:40:38
997INITIAL DECISION RELEASE NO. 638 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

INITIAL DECISION RELEASE NO. 638 ADMINISTRATIVE PROCEEDING FILE NO[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION

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Source URL: www.sec.gov

Language: English - Date: 2014-07-22 15:20:14
998South Carolina Code of Regulations[removed]Dishonest or Unethical Practices by Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers. Each investment adviser and investment adviser represen

South Carolina Code of Regulations[removed]Dishonest or Unethical Practices by Investment Advisers, Investment Adviser Representatives and Federal Covered Advisers. Each investment adviser and investment adviser represen

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Source URL: www.scag.gov

Language: English - Date: 2014-05-07 11:06:40
999UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]July 31, 2014 ADMINISTRATIVE PROCEEDING

UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]July 31, 2014 ADMINISTRATIVE PROCEEDING

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Source URL: www.sec.gov

Language: English - Date: 2014-07-31 15:17:27
1000SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; File No[removed]Altegris Advisors L.L.C. and Northern Lights Fund Trust; Notice of Application July 28, 2014 Agency: Securities and Exchan

SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; File No[removed]Altegris Advisors L.L.C. and Northern Lights Fund Trust; Notice of Application July 28, 2014 Agency: Securities and Exchan

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Source URL: www.sec.gov

Language: English - Date: 2014-07-29 10:04:11