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Registered Investment Advisor
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21	VALU-TRAC RESEARCH R. Peter W. Millar CA - International Inv estment Counsellor Authorised and regulated by the Financial Services Authority SEC Registered Investment Advisor www.valu-trac.com Add to Reading List Source URL: gata.org Language: English - Date: 2007-02-21 21:24:40
22	EB-5 Regional Center Investment Timeline Retain our firm and begin working with our Registered EB-5 Investment Advisor in selecting your most suitable EB-5 Regional Center Project Add to Reading List Source URL: www.generalcounsellaw.com - Date: 2014-08-04 13:46:52
23	IT’S TIME TO CLOSE THE RETIREMENT ADVICE LOOPHOLE THE PROBLEM & THE IMPACT   Add to Reading List Source URL: saveourretirement.com Language: English - Date: 2015-03-16 10:46:27 Financial services Employee Retirement Income Security Act Fiduciary Financial adviser Pension Registered Investment Advisor Investment Policy Statement Law Investment Finance
24	Division of Trading and Markets No-Action Letter: Securities Industry and Financial Markets Association Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2015-01-09 16:41:46 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer U.S. Securities and Exchange Commission Investment Advisers Act Short Net capital rule Financial economics Financial markets Finance
25	SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SECURITIES EXCHANGE ACT OF 1934 Rel. NoMay 7, 2015 Admin. Proc. File NoIn the Matter of the Application of Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-05-07 15:46:38 Financial Industry Regulatory Authority Securities Exchange Act Registered Investment Advisor U.S. Securities and Exchange Commission Security PINO Debits and credits General Securities Representative Exam Sales United States securities law Business Finance
26	Division of Trading and Markets No-Action Letter: SIFMA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-01-11 10:59:43 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer Investment Advisor U.S. Securities and Exchange Commission Investment Advisers Act Financial adviser Broker Financial economics Finance Financial markets
27	Division of Trading and Markets No-Action Letter: SIFMA Add to Reading List Source URL: edgar.sec.gov Language: English - Date: 2013-01-11 10:59:43 Financial system Registered Investment Advisor Securities Industry and Financial Markets Association Broker-dealer Investment Advisor U.S. Securities and Exchange Commission Investment Advisers Act Financial adviser Broker Financial economics Finance Financial markets
28	Risk Alert: Cybersecurity Examination Sweep Summary Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-06-02 17:20:17 Investment Registered Investment Advisor Business Occupations Financial adviser U.S. Securities and Exchange Commission Registered representative Broker-dealer Cyberwarfare Financial economics Finance Financial services
29	DOL Delivers on its Promise: Conflict of Interest Rule Proposal Provides Needed Protections for Retirement Savers, Flexibility for Financial Firms In mid-April, the Department of Labor did what many thought to be impossi Add to Reading List Source URL: www.consumerfed.org Language: English - Date: 2015-05-07 15:06:18 Business Investment Financial adviser Dodd–Frank Wall Street Reform and Consumer Protection Act Fiduciary Financial Industry Regulatory Authority U.S. Securities and Exchange Commission Registered Investment Advisor Corporate advisory Law Finance Financial economics
30	Microsoft WordSTA SSA Joint Letter.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2012-03-16 16:54:12 Finance Stock market 76th United States Congress SEC filings Registered Investment Advisor Proxy statement Investment Advisers Act Investment Advisor Financial Industry Regulatory Authority United States securities law Financial economics Business