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Soft dollar
Results: 196

#	Item
121	Microsoft Word - bgeorge2265 _2_.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-08-11 11:14:03 Money U.S. Securities and Exchange Commission Financial adviser Financial economics Ameriprise Financial Net capital rule Finance Soft dollar Business
122	October 1, 2008 Ms. Florence E. Harmon Acting Secretary U.S. Securities and Exchange Commission 100 F Street, NE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-02 11:04:53 Financial services Finance Institutional investors Corporations law Soft dollar Mutual Fund Directors Forum Mutual fund fees and expenses Financial adviser Board of directors Financial economics Investment Business
123	Microsoft Word - BBLCH_D-#[removed]v6-Comment_Letter_on_the_Soft_Dollar_Relea… Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-06 15:10:08 Business Money 76th United States Congress Financial adviser Mutual fund fees and expenses Soft dollar Investment Advisor Investment Company Act Financial services Finance Financial economics Investment
124	CCOutreach National Seminar November 14, 2006 Common Examination Areas: Documents and Information Examiners Request and How Advisers Can Use This Information to Enhance Their Compliance Programs ∗ An examination genera Add to Reading List Source URL: www.sec.gov Language: English - Date: 2006-11-14 08:06:21 Investment Financial services Soft dollar Hedge fund Brokerage firm Security Short U.S. Securities and Exchange Commission Selling away Financial economics Finance Business
125	CITY BAR PHILIP L. KIRSTEIN CHAIR[removed]AVENUE Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-02 11:10:41 Financial services Collective investment schemes 76th United States Congress Financial adviser Soft dollar U.S. Securities and Exchange Commission Investment Company Act Hedge fund Financial economics Investment Finance
126	Cond10/1/2008CCCCCei October 1, 2008 Florence E. Harmon Acting Secretary Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-02 11:00:00 Financial adviser Mutual fund fees and expenses Exchange-traded fund U.S. Securities and Exchange Commission Christopher Cox Closed-end fund Mutual fund Investment management Financial economics Investment Soft dollar
127	Microsoft Word - ia-1396.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-07-12 12:23:27 Investment 76th United States Congress Investment Advisers Act Soft dollar Financial services Financial adviser Registered Investment Advisor U.S. Securities and Exchange Commission Broker-dealer Financial economics Finance Business
128	September 30, 2008 Ms. Florence E. Harmon U.S. Securities and Exchange Commission 100 F Street, N.E. Washington D.C[removed]Re: Commission Guidance Regarding the Duties and Responsibilities of Investment Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-01 12:36:18 Financial adviser Investment Advisor U.S. Securities and Exchange Commission Economics Finance Business Soft dollar
129	Microsoft Word - jckeil4280 _2_.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-09-18 15:45:49 Soft dollar Money Financial adviser Economics Finance Investment Business
130	Wellington Management Company, LLP 75 State Street Boston Massachusetts02109 USA Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-10-01 15:45:25 Financial services Business Soft dollar Financial adviser Investment Advisers Act Investment management U.S. Securities and Exchange Commission Prime brokerage Collective investment scheme Financial economics Investment Finance

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