Mutual Security Act - PDFSEARCH.IO - Document Search Engine

Mutual Security Act
Results: 288

#	Item
221	U.S. Department of Labor Employee Benefits Security Administration Washington, DC[removed]FIELD ASSISTANCE BULLETIN NO[removed]02R 1 Add to Reading List Source URL: www.dol.gov Language: English - Date: 2012-07-30 08:11:44 Employee Retirement Income Security Act 401 Trust law Expense Taxation in the United States Law Internal Revenue Code Mutual fund fees and expenses
222	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; [removed]Elkhorn Investments, LLC and Elkhorn ETF Trust; Notice of Application June 19, 2014 Agency: Securities and Exchange Commission (“ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-20 11:11:21 Funds Financial services Financial markets Exchange-traded fund Security Mutual fund Depository Trust & Clearing Corporation Net asset value Settlement Financial economics Investment Finance
223	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; [removed]Prudential Investments LLC, et al.; Notice of Application May 29, 2014 Agency: Securities and Exchange Commission (“Commission” Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-05-30 10:06:35 Funds Financial services Financial markets Exchange-traded fund Security Mutual fund Net asset value Bond Depository Trust & Clearing Corporation Financial economics Investment Finance
224	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; File No[removed]BMO Funds, Inc., et al.; Notice of Application May 30, 2014 Agency: Securities and Exchange Commission (“Commission”). Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-02 10:46:58 Funds Financial services Exchange-traded fund Investment Company Act Financial adviser Mutual fund fees and expenses Money market fund Security Investment company Financial economics Investment Finance
225	SECURITIES CHECKLISTS These factors may indicate a violation of the CSL Unqualified Sales (§[removed]offer or sale in California (2) of a security (stock, bond, mutual or hedge Add to Reading List Source URL: www.dbo.ca.gov Language: English - Date: 2013-06-28 13:03:06 Financial services United States securities law Financial adviser Broker-dealer Security Securities regulation in the United States Hedge fund Investment Advisers Act Registered Investment Advisor Financial economics Investment Finance
226	State Street Resolution Plan - July 2014 Add to Reading List Source URL: federalreserve.gov Language: English - Date: 2014-07-02 16:30:11 Collective investment schemes State Street Global Advisors United States federal banking legislation State Street Corporation State Street Bank and Trust Company Dodd–Frank Wall Street Reform and Consumer Protection Act Mutual fund Central Bank of Ireland Security Financial economics Investment Financial services
227	SECURITIES AND EXCHANGE COMMISSION Investment Company Act Release No[removed]; [removed]Global X Funds, Global X Management Company LLC, and SEI Investments Distribution Company; Notice of Application June 17, 2014 Agency Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-06-17 17:31:07 Funds Financial services Financial markets Exchange-traded fund Security Mutual fund Net asset value Depository Trust & Clearing Corporation Financial adviser Financial economics Investment Finance
228	Member Regulation Notice MR-0062 Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2008-03-27 12:00:27 Investment Finance 73rd United States Congress United States Securities and Exchange Commission Securities Act Security Prospectus Mutual Fund Dealers Association Securities Exchange Act Financial economics Stock market United States securities law
229	Superseded by FAB 2012-02R U.S. Department of Labor Employee Benefits Security Administration Washington, DC 20210 Add to Reading List Source URL: www.dol.gov Language: English - Date: 2012-07-30 10:42:09 Employee Retirement Income Security Act 401 Expense Trust law Individual Retirement Accounts Law Internal Revenue Code Mutual fund fees and expenses
230	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; [removed]AdvisorShares Investments, LLC and AdvisorShares Trust; Notice of Application December 23, 2008 Agency: Securities and Exchange Com Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-12-24 10:08:52 Funds Financial services Collective investment schemes Stock market Mutual fund Security Net asset value Exchange-traded fund Open-end fund Financial economics Investment Finance

UPDATE