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Registered Investment Adviser
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#	Item
991	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]November 26, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-11-26 09:28:16 Financial economics Business Registered Investment Advisor Financial regulation Investment Advisor Financial adviser U.S. Securities and Exchange Commission Investment Company Act 76th United States Congress Finance Investment Advisers Act
992	02 DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION 032 OFFICE OF SECURITIES Add to Reading List Source URL: www.maine.gov Language: English - Date: 2006-03-21 08:22:30 Business Financial adviser Short Investment Advisers Act Registered Investment Advisor Finance Financial economics Investment
993	Investment Adviser Registration Requirements State Registered  Form ADV (Parts 1 and 2) filed through the Investment Adviser Registration Depository (IARD)  Filing fee of $150 payable through the IARD  Current f Add to Reading List Source URL: www.ofi.la.gov Language: English - Date: 2014-01-22 09:28:53 Investment Balance sheet Financial economics SEC filings Finance Business Financial adviser
994	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION ADMINISTRATIVE PROCEEDINGS RULINGS Release No. 780/August 7, 2013 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-07 16:08:08 Financial adviser Financial economics Registered Investment Advisor Investment Advisers Act Money U.S. Securities and Exchange Commission Investment Advisor Real estate investment trust Finance Investment Business
995	T. Rowe Price on S7-09-05 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-11-29 16:24:41 Investment Money Financial services Financial adviser Soft dollar U.S. Securities and Exchange Commission Brokerage firm Broker-dealer Registered Investment Advisor Finance Financial economics Business
996	Microsoft Word - Russo bio.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-06-15 10:16:13 Business Investment Registered Investment Advisor Financial services Financial adviser U.S. Securities and Exchange Commission Investment Advisor Registered representative Aegon Finance United States securities law Financial economics
997	[removed]Chapter [insert] page 2 02 DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION Add to Reading List Source URL: www.maine.gov Language: English - Date: 2006-03-21 08:22:26 Financial services Financial adviser Broker-dealer Registered Investment Advisor Net capital rule Financial economics Investment Finance
998	Investment Adviser Association on S7-09-05 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-11-25 14:12:12 Financial services Money Investment Occupations Soft dollar Financial adviser Registered Investment Advisor Investment Adviser Association Investment Advisor Finance Financial economics Business
999	Thomas F. Lamprecht, CPA on S7-09-05 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2005-11-28 17:29:56 Money Financial economics Financial adviser U.S. Securities and Exchange Commission Securities and Exchange Commission Investment Advisers Act Registered Investment Advisor Finance Business Soft dollar
1000	Microsoft Word - s71306-7 Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-09-07 15:57:37 Business Trade associations 76th United States Congress Investment Advisers Act Registered Investment Advisor Financial adviser Soft dollar Hedge fund Investment Company Institute Finance Financial economics Investment