Back to Results
First PageMeta Content
Exchange-traded fund / U.S. Securities and Exchange Commission / Mutual fund / Hedge fund / Closed-end fund / Dodd–Frank Wall Street Reform and Consumer Protection Act / Mary Schapiro / Investment Company Act / Financial adviser / Financial economics / Investment / Finance


compliance services NEWS WELCOME Welcome to this installment of the Compliance Services News, continuing our commitment of bringing industry-relevant issues to the forefront
Add to Reading List

Document Date: 2014-12-03 01:06:33


Open Document

File Size: 856,44 KB

Share Result on Facebook

Company

The New York Times / Merrill Communications LLC / IRI / Investment Money Market Funds / Debevoise / Merrill Corporation / Reuters / Money Market Funds / /

Country

United States / /

Currency

USD / /

/

Event

Person Communication and Meetings / /

Facility

Investment Company Institute / University of Michigan / /

IndustryTerm

exemptive relief applications / technology investment / helpful search engine / secure web-based tools / information technology systems / online filing version / online tool / e-support / communication services / regulatory services / exemptive applications / inverse products / active products / public relations / law / unnecessary computer equipment / compliance services / /

OperatingSystem

DOS / /

Organization

Division of Risk / Senate committee / SEC’s office of Compliance Inspections and Examinations / Commodity Futures Trading Commission / Financial Services Committee / Senate Banking Committee / U.S. Securities and Exchange Commission / Senate / Congress / White House / Division of Investment Money Market Funds / U.S. Council / Investment Company Institute / White House office of Management and Budget / Stability Oversight Commission / SEC’s Division of Investment Management / Securities and Exchange Commission / Money Market Fund / the University of Michigan / /

Person

Norm Champ / MARY JO WHITE / Obama / Elizabeth Osterman / John White / Mary Schapiro / Daniel Gallagher / Elizabeth Warren / Frank Act / Elisse Walter / Jeff Merkley / /

Position

financial advisor / advisor / President / advisors / investment advisors / co-chairman / director for exemptive applications / funds and investment advisors / Brown spokeswoman / Chairman / Director / associate director / Commissioner / agency chairman / chair / administration official / representative / /

ProvinceOrState

Ohio / Oregon / Michigan / Massachusetts / /

PublishedMedium

The New York Times / the Compliance Services News / /

Technology

information technology / /

URL

www.merrillcorp.com / /

SocialTag