Mutual exchange - PDFSEARCH.IO - Document Search Engine

Mutual exchange
Results: 2484

#	Item
921	Comment Letter on s7-06-04 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-01-03 12:26:48 Mutual fund fees and expenses Franchising United States securities law U.S. Securities and Exchange Commission Yield spread premium Business broker Business Financial economics Real estate broker
922	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]October 29, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-29 14:37:42 Financial regulation Government Securities Exchange Act Securities Act U.S. Securities and Exchange Commission Securities and Exchange Commission United States Mutual fund scandal Regulation S-K United States securities law 73rd United States Congress United States Securities and Exchange Commission
923	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]December 4, 2014 Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Ame Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-05 08:59:09 Funds Financial markets Exchange-traded funds Financial services Mutual fund Inverse exchange-traded fund Futures contract Collective investment scheme Short Financial economics Investment Finance
924	INITIAL DECISION RELEASE NO. 670 ADMINISTRATIVE PROCEEDING File No[removed]UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-17 12:37:58 Securities and Exchange Commission Form 10-Q U.S. Securities and Exchange Commission Form 10-K Security Securities and Exchange Commission Finance Financial regulation Mutual fund scandal SEC filings Government Securities Exchange Act
925	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION Investment Advisers Act of 1940 Release No[removed]December 22, 2014 Investment Company Act of 1940 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-22 10:33:11 Funds Collective investment schemes Exchange-traded funds Investment Advisers Act Registered Investment Advisor Mutual fund Investment management Financial adviser Advisorshares Financial economics Investment Financial services
926	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; File No[removed]Alternative Strategies Fund and Ladenburg Thalmann Asset Management, Inc.; Notice of Application December 1, 2014 Agency: Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-03 08:07:49 Financial services Funds Collective investment schemes Institutional investors Mutual fund fees and expenses Hedge fund Mutual fund Open-ended investment company Net asset value Financial economics Investment Finance
927	April 15, 2005 Mr. Jonathan G. Katz Secretary U.S. Securities and Exchange Commission 450 Fifth Street, N.W. Washington, D.C[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-04-25 15:53:38 Economics U.S. Securities and Exchange Commission Short Mutual fund scandal Financial adviser Securities market Investor Protection and Securities Reform Act Yield spread premium Finance Business Financial economics
928	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]November 20, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-11-20 10:14:35 Disgorgement Government U.S. Securities and Exchange Commission Securities and Exchange Commission Cease and desist Financial economics Economics Securities Fraud Deterrence and Investor Restitution Act Mutual fund scandal Corporate crime Fair Fund United States Securities and Exchange Commission
929	Nationwide Funds® Statement of Investments July 31, 2014 Add to Reading List Source URL: ssc.nwservicecenter.com Language: English - Date: 2014-09-26 14:09:35 Financial services Nationwide Mutual Insurance Company Bank of America Goldman Sachs Companies listed on the New York Stock Exchange Primary dealers Economy of the United States Investment
930	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]December 9, 2014 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-12-09 13:41:31 Fair Fund Disgorgement Investment Company Act U.S. Securities and Exchange Commission Financial regulation Government Financial economics Mutual fund scandal Corporate crime United States securities law United States Securities and Exchange Commission

UPDATE