Investment Advisers Act - PDFSEARCH.IO - Document Search Engine

Investment Advisers Act
Results: 2659

#	Item
911	2014 Investment Adviser Rule Amendments FAQs Add to Reading List Source URL: dfi.wa.gov Language: English - Date: 2014-08-14 11:46:16 Finance Financial adviser Hedge fund Fiduciary Collective investment scheme Investment Adviser Association Investment Advisers Act Financial economics Investment Financial services
912	~I FEDERAL ELECTION COMMISSION WASHINGTON, D.C. 204o3 OFFICE OF THE CHAIRMAN Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-21 10:59:31 76th United States Congress Government Politics Federal Election Campaign Act U.S. Securities and Exchange Commission Investment Advisers Act Rulemaking Municipal Securities Rulemaking Board Notice of proposed rulemaking United States administrative law Federal Election Commission Campaign finance
913	No-Action Request under Section 205(a)(l) ofthe Investment Advisers Act of 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-20 10:40:56 Law Financial services Business 76th United States Congress Investment Advisers Act Financial adviser Contingent fee Registered Investment Advisor Investment Advisor Investment Financial economics Finance
914	Microsoft Word - IC[removed]docx Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-08-06 17:29:08 United States securities law Business Financial regulation Investment Investment Advisers Act Citigroup Financial adviser Securities Act Investment Company Act Financial economics Finance 76th United States Congress
915	#..SEC-50 System name: Investment Adviser Records. System location: Records filed before January 1, 2001 and paper records filed after January 1, 2001: SEC, 450 Fifth Street, NW, Washington, DC 20549; and Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2007-08-24 14:36:40 Financial adviser Security Notice of electronic filing Business Finance 76th United States Congress Financial economics Investment Advisers Act
916	Microsoft Word - TIM_SELECTION_AND_REVIEW_OF_INVESTMENT Add to Reading List Source URL: www.gfoa.org Language: English - Date: 2014-08-12 17:40:18 Financial adviser Business Financial services Money Investment Adviser Association Investment Advisers Act Investment Finance Financial economics
917	Temporary Rule Regarding Principal Trades with Certain Advisory Clients Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2014-08-19 11:04:22 76th United States Congress Investment Advisers Act Investment United States securities law U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Financial adviser Securities regulation in the United States Investment Advisor Financial economics Finance Financial regulation
918	#..SEC-6 System name: Periodic Reports Filed under the Securities Act of 1933, Securities Exchange Act of 1934, Public Utility Holding Company Act of 1935, and Investment Company Act of 1940 and Investment Advisers Act o Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2007-08-24 13:06:04 United States Securities and Exchange Commission 76th United States Congress Government Financial economics Securities Exchange Act Securities regulation in the United States U.S. Securities and Exchange Commission Securities Act Securities and Exchange Commission United States securities law Financial regulation 73rd United States Congress
919	Federal Register / Vol. 79, No[removed]Monday, August 18, [removed]Notices of the Act and Rule 19b–4(f)(6)(iii) thereunder. At any time within 60 days of the filing of such proposed rule change, the Commission summarily m Add to Reading List Source URL: www.c2exchange.com Language: English - Date: 2014-08-18 09:01:18 Financial regulation 73rd United States Congress United States Securities and Exchange Commission 76th United States Congress Investment Investment Advisers Act Securities Act Securities Exchange Act Securities regulation in the United States Financial economics Finance United States securities law
920	Microsoft Word - Securities_Act.doc Add to Reading List Source URL: www.sos.ms.gov Language: English - Date: 2013-12-09 14:42:10 Business 73rd United States Congress United States Securities and Exchange Commission 76th United States Congress Investment Advisers Act Securities Act Securities Exchange Act Security Financial adviser United States securities law Financial economics Finance

UPDATE