Mutual exchange - PDFSEARCH.IO - Document Search Engine

Mutual exchange
Results: 2484

#	Item
971	SECURITIES AND EXCHANGE COMMISSION [Investment Company Act Release No[removed]; File No[removed]Advisors Series Trust and Vivaldi Asset Management, LLC; Notice of Application August 27, 2014 Agency: Securities and Exch Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-27 23:47:36 Financial services 76th United States Congress Collective investment schemes Financial adviser Investment Advisers Act Investment Company Act Investment management Hedge fund Mutual fund fees and expenses Financial economics Investment Finance
972	UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No[removed]August 27, 2014 ____________________________________ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-08-29 13:17:56 Finance 76th United States Congress Collective investment schemes Institutional investors Investment Company Act Mutual fund Financial economics Investment Financial services
973	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]September 9, 2014 Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by Am Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-10 08:29:31 Financial services Collective investment schemes Institutional investors Exchange-traded fund Mutual fund Net asset value Money market fund Security NYSE Arca Financial economics Investment Funds
974	Sent: Thursday, August 28, 2014 4:56 PM To: EBSA, E-ORI - EBSA Subject: Please keep BrokerageLink accounts in 401(k) I understand the need for scrutiny for something new like brokerage linked accounts in 401(k)s but I th Add to Reading List Source URL: www.dol.gov Language: English - Date: 2014-09-18 12:44:37 Financial services Internal Revenue Code Exchange-traded fund 401 Mutual fund Index fund Financial economics Investment Funds
975	Comment Letter - Small Investor Protection Association Add to Reading List Source URL: www.mfda.ca Language: English - Date: 2014-09-25 10:16:57 Mutual fund fees and expenses Collective investment scheme Mutual fund Exchange-traded fund Index fund Non-reporting issuer Exempt market dealer Financial economics Investment Financial adviser
976	PDF Document Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-10 12:06:21 Funds Financial services Financial markets Exchange-traded fund Security Mutual fund Depository Trust & Clearing Corporation Net asset value Bond Financial economics Investment Finance
977	SECURITIES AND EXCHANGE COMMISSION (Release No[removed]; File No. SR-NYSEArca[removed]September 11, 2014 Self-Regulatory Organizations; NYSE Arca, Inc.; Order Granting Approval of Proposed Rule Change, as Modified by A Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-09-12 09:12:08 Financial services Financial markets Funds Collective investment schemes Exchange-traded fund Futures contract Mutual fund Stock market Derivative Financial economics Investment Finance
978	September 12, 2014 Elizabeth M. Murphy, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC[removed]Re: Reporting of Proxy Votes (File No. S7-30-10) Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-03 10:00:47 Financial services Institutional investors Collective investment schemes Elections Proxy voting Electronic voting Mutual fund Corporate governance Financial economics Investment Finance
979	CCO Investment Services Corp. 770 Legacy Place Dedham, Massachusetts[removed]www.citizensbank.com March 31, 2011 Form ADV, Part 2; the “Disclosure Brochure” as required by the Investment Advisers Act of Add to Reading List Source URL: www.charterone.com Language: English - Date: 2011-04-22 11:17:34 Financial adviser Investment management Separately managed account Exchange-traded fund Turnkey Asset Management Program Mutual fund Asset allocation The Mutual Fund Store Financial economics Investment Collective investment scheme
980	SECURITIES AND EXCHANGE COMMISSION [Release No. IC-31268; File No[removed]Managed Portfolio Series, et al.; Notice of Application September 29, 2014 Agency: Securities and Exchange Commission (“Commission”). Acti Add to Reading List Source URL: www.sec.gov Language: English - Date: 2014-10-01 12:12:56 Insurance 76th United States Congress Financial services Annuity Investment Company Act Life insurance Mutual fund Financial adviser Investment Advisers Act Financial economics Investment Institutional investors

UPDATE