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Raymond James Financial
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#	Item
91	ALJ Order dated Dec. 23, 2004 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-08-05 17:58:28 Raymond James Financial U.S. Securities and Exchange Commission Federal Rules of Civil Procedure Discovery Law Government Legal documents Subpoena duces tecum Subpoena
92	Microsoft Word - rjai020705a.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-02-08 15:55:05 Business 76th United States Congress Investment Advisers Act Financial adviser Raymond James Financial Broker-dealer Investment Advisor U.S. Securities and Exchange Commission Registered Investment Advisor Financial economics Finance Investment
93	Initial Decision Release No. 296: Raymond James Financial Services, Inc., J. Stephen Putnam and David Lee Ullom Add to Reading List Source URL: www.sec.gov Language: English - Date: 2009-02-13 10:18:21 Financial adviser Investment Advisers Act U.S. Securities and Exchange Commission Registered representative Business Financial services Raymond James Financial Financial economics Registered Investment Advisor
94	Paul Allison Dealer As Chairman and Chief Executive Officer of Raymond James Ltd., Paul Allison oversees business-building efforts and Add to Reading List Source URL: www.iiroc.ca Language: English - Date: 2014-07-07 14:49:44 Investment banking BMO Nesbitt Burns Investment Merrill Lynch Financial services Education S&P/TSX 60 Index BMO Capital Markets Fares D. Noujaim McMaster University Primary dealers DeGroote School of Business
95	Administrative Proceeding: Raymond James & Associates, Inc. and Raymond James Financial Services, Inc. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-06-29 12:37:45 Auction rate security Bonds Securities United States securities law Raymond James Financial Broker-dealer Auction Registered Investment Advisor Investment Advisers Act Financial economics Financial system Finance
96	SECURITIES AND EXCHANGE COMMISSION Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-12 13:03:02 Law Business Investment Business law Legal entities Accredited investor Raymond James Financial General partnership Limited partnership Partnerships Types of business entity Financial economics
97	UNITED STATES OF AMERICA BEFORE THE SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No[removed]November 6, 2007 ______________________________________________________ Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-06 15:14:39 Finance Corporate crime U.S. Securities and Exchange Commission Investment Company Act Raymond James Financial Collective investment scheme USA PATRIOT Act Title III Financial economics Investment 76th United States Congress
98	File Number[removed]Target Date Fund Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:03:18 Funds Institutional investors Collective investment schemes 401 Mutual fund Raymond James Financial Target date fund Financial economics Investment Financial services
99	INVESTMENT COMPANIES RSA 31:25-d states: – The trustees of trust funds may manage and invest such funds in accordance with the prudent investor rule under RSA 564-B:[removed]RSA 564-B:9-906 without regard to the investme Add to Reading List Source URL: www.doj.nh.gov Language: English - Date: 2014-05-12 10:17:00 Financial adviser Northern Trust Raymond James Financial Business Financial economics Finance Investment
100	Opinion of the Commission: Leslie A. Arouh Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-09-13 15:37:16 Financial system Financial Industry Regulatory Authority Securities Exchange Act Registered representative U.S. Securities and Exchange Commission Broker-dealer Raymond James Financial Financial adviser Investment banking United States securities law Financial economics Finance

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