Soft dollar - PDFSEARCH.IO - Document Search Engine

Soft dollar
Results: 196

#	Item
151	Microsoft Word - May[removed]Comment Letter on File No S7[removed]Final.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-05-19 11:18:52 Business 76th United States Congress Investment Advisers Act Financial economics Financial adviser Soft dollar Proxy voting U.S. Securities and Exchange Commission Conflict of interest Finance Investment Politics
152	Microsoft Word - nlininger1167.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-05-19 15:34:42 Business Soft dollar Financial economics Full disclosure Investment Advisers Act Finance Financial adviser Money
153	Microsoft Word - SEC Comments on Amendments to Part 2 of Form ADV Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-05-19 11:10:54 Soft dollar Financial adviser U.S. Securities and Exchange Commission Investment banking Short Hedge fund Investment Adviser Association Finance Financial economics Business
154	Executive Director Joan Hinchman Directors James E. Ballowe, Jr. ETRADE Brokerage Services, Inc. David Canter Add to Reading List Source URL: www.sec.gov Language: English* - Date: 2008-05-19 11:36:39 76th United States Congress United States securities law Investment Adviser Association Investment Advisers Act Financial adviser Registered Investment Advisor Hedge fund Soft dollar U.S. Securities and Exchange Commission Financial economics Finance Investment
155	THEALLIANCE IN SUPPORT OF INDEPENDENT RESEARCH C/O Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-05-19 12:09:57 Money Financial economics Financial adviser U.S. Securities and Exchange Commission Investment Adviser Association Investment Advisers Act Finance Business Soft dollar
156	Commission Management Through CSA and Soft Dollar Agreements The experience you need. The flexibility you want. The commitment you deserve. Add to Reading List Source URL: content.rwbaird.com Language: English - Date: 2014-02-26 12:38:10 Business Robert W. Baird Securities Investor Protection Corporation Asset management Baird Trading room Investment banking Financial economics Finance Robert W. Baird & Co.
157	Microsoft Word - CAPIS_ADV_Comments.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-05-19 11:21:35 Soft dollar U.S. Securities and Exchange Commission Capis Economics Finance Financial adviser Business
158	PDF Document Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:09:37 Financial economics Soft dollar Financial adviser Investment Adviser Association Registered Investment Advisor Investment Advisor U.S. Securities and Exchange Commission Investment Advisers Act Independent Financial Adviser Finance Business Money
159	1727 LONGWORTH HOUSE OFFICE BUILDING WASHINGTON, DC[removed]PHONE: [removed]FAX: [removed]COMMIITEE ON THE BUDGET Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-18 08:17:17 Financial markets Investment Financial adviser Financial services Investment Advisers Act Investment Advisor Short Prime brokerage Soft dollar Finance Business Financial economics
160	I / ADMINISTRATIVE PROCEEDING FILE NO[removed] Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-11-14 14:46:44 Money Investment Advisers Act Soft dollar Registered Investment Advisor Financial adviser Fiduciary Investment Advisor Securities Exchange Act U.S. Securities and Exchange Commission Finance Law Business

UPDATE