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Registered Investment Advisor
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991	Bankers Consent Order [FINAL] (W2972792.DOC;1) Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2013-01-07 13:13:00 United States securities law Financial adviser Investment U.S. Securities and Exchange Commission Registered representative Investment Advisor Broker-dealer Federal Reserve System Securities and Exchange Commission Finance Financial economics Business
992	Maryland Capital Advisors, Inc. - CO Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 13:08:05 Investment Registered Investment Advisor Financial regulation Financial adviser Securities Act Investment Advisers Act Investment Advisor United States securities law Financial economics Finance
993	Daniel G. Falk, Daniel G. Falk & Associates PC, DGF Investment Advisors, Inc., Sean Falk and Secured Financial Services, Inc. - OSC Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-02-16 10:45:43 Registered Investment Advisor Investment Advisor Financial adviser Broker-dealer Security Securities Act Selling away Viatical settlement Financial economics Finance Business
994	ADMINISTRATIVE PROCEEDING BEFORE THE SECURITIES COMMISSIONER OF MARYLAND IN THE MATTER OF: * Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 13:10:35 Financial adviser Securities Act Investment Advisor Business Money Finance Financial economics Registered Investment Advisor
995	Thomas Carroll and Frederick Frank with Carroll, Frank and Plotkin, LLC - CO Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 13:18:52 United States securities law Business Registered Investment Advisor Money Financial adviser Investment Advisor Securities Act Finance Investment Financial economics
996	Microsoft Word - Comment051010.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2010-05-11 09:57:23 Investment Adviser Association Money Investment Advisor Financial adviser Investment Advisers Act Fiduciary Registered Investment Advisor U.S. Securities and Exchange Commission Finance Law Business
997	August 30, 2010 Submitted electronically Office of Regulations and Interpretations Employee Benefits Security Administration U.S. Department of Labor Add to Reading List Source URL: www.ici.org Language: English Finance Financial services Collective investment schemes Financial adviser Mutual fund fees and expenses Registered Investment Advisor Fiduciary Mutual fund IRS tax forms Financial economics Investment Law
998	Microsoft Word - ICI Comment Letter on Aggregation Proposal Final Add to Reading List Source URL: www.ici.org Language: English Commodities market Commodity pool Commodity Pool Operator Commodity Futures Trading Commission Commodity trading advisor Exchange-traded fund Investment Advisers Act Futures contract Registered Investment Advisor Financial economics Investment Finance
999	Microsoft Word - EU-US Trade - Cvr Ltr[removed]Treasury _2_.doc Add to Reading List Source URL: www.ici.org Language: English Investment Advisers Act Mutual fund Investment Company Act Collective investment scheme Financial adviser Registered Investment Advisor Accredited investor U.S. Securities and Exchange Commission Investment company Financial economics Investment Finance
1000	Daniel G. Falk, Daniel G. Falk & Associates PC, DGF Investment Advisors, Inc., Sean Falk and Secured Financial Services, Inc. - CO Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2011-05-06 13:10:57 Registered Investment Advisor Investment Advisor Financial adviser Viatical settlement Security Broker-dealer Selling away Finance Financial economics Business