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Investment Advisers Act
Results: 2659

#	Item
961	Microsoft Word - Comment Letter_Lee & Stone LLP Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-18 11:10:46 Financial services Primary dealers Late-2000s financial crisis Investment banks Family office Dodd–Frank Wall Street Reform and Consumer Protection Act Financial adviser Investment Advisers Act U.S. Securities and Exchange Commission Financial economics Investment Finance
962	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; [removed]Persimmon Capital Management LP and Northern Lights Fund Trust III; Notice of Application Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-20 09:10:29 76th United States Congress Collective investment schemes Funds Investment Advisers Act Investment management Financial adviser Investment Company Act Mutual fund fees and expenses Financial economics Investment Financial services
963	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]August 1, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-01 13:33:39 Finance 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission Securities Exchange Act Securities and Exchange Commission Financial adviser Hedge fund SEC Rule 10b-5 Financial economics United States securities law Investment
964	SEC Complaint: Sage Advisory Group, LLC and Benjamin Lee Grant Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-09-29 17:40:55 Business Financial services Wedbush Securities Charles Schwab Corporation Investment Advisers Act Financial adviser Wrap account Discount brokerage Investment Advisor Finance Financial economics Investment
965	McDermott Will&Emery Boston Brussels Chicago DOsseldorf Houston London Los Angeles Miami Milan Munich New York Orange County Rome San Diego Silicon Valley Washington, D.C. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-19 10:56:22 Financial services Finance Common law Inheritance Trust law Family office Investment Advisers Act Hague Trust Convention Financial adviser Law Civil law Equity
966	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]August 13, 2014 INVESTMENT ADVISERS ACT OF 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-13 15:23:53 United States securities law 76th United States Congress Investment Advisers Act Registered Investment Advisor 73rd United States Congress United States Securities and Exchange Commission Investment Advisor Financial adviser U.S. Securities and Exchange Commission Financial economics Finance Business
967	SECURITIES AND EXCHANGE COMMISSION [Release No. IC-31212; File No[removed]Fifth Street Finance Corp.et al.; Notice of Application August 14, 2014 Agency: Securities and Exchange Commission (“Commission”). Action: Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2014-09-09 10:25:26 76th United States Congress Financial services Collective investment scheme Funds Investment Company Act Small Business Administration Investment company Investment Advisers Act Financial adviser Financial economics Investment Finance
968	South Carolina Securities Division Add to Reading List Source URL: www.scag.gov Language: English - Date: 2014-05-07 11:07:04 Business Financial adviser Money Wrap account U.S. Securities and Exchange Commission Investment Adviser Association Investment Advisers Act Investment Finance Financial economics
969	Microsoft Word - Comment Letter on Mark Up of Proposed Rule 202_a__11__G_-1 _3_.DOC Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-11-18 12:05:03 Dodd–Frank Wall Street Reform and Consumer Protection Act Family office Financial regulation Financial economics Economics Investment Policy Statement Financial services 76th United States Congress Investment Advisers Act
970 $UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 9619 \ July 28, 2014 ORDER UNDER RULE 506(d) OF THE$	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES ACT OF 1933 Release No. 9619 \ July 28, 2014 ORDER UNDER RULE 506(d) OF THE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-07-28 17:37:31 Financial regulation Government Finance New Deal Securities Act Regulation D Investment Advisers Act U.S. Securities and Exchange Commission Registered Investment Advisor United States Securities and Exchange Commission United States securities law 73rd United States Congress