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Soft dollar
Results: 196

#	Item
161	Microsoft Word - ICI comment letter on 408b2 regulation _Letterhead DRAFT m… Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:09:45 Financial services Collective investment schemes Funds Financial adviser Fiduciary Mutual fund Soft dollar Exchange-traded fund Investment Company Act Financial economics Investment Finance
162	R SIFMA S e c u r ~ t ~ eI nsd u s l r y and Financial Markets A s s u c ~ a l ~ o ~ l December 27,2006 Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:18:06 Financial markets Investment Soft dollar Securities Industry and Financial Markets Association Financial adviser Broker Short Prime brokerage Ameriprise Financial Financial economics Finance Business
163	PDF Document Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:16:54 Financial adviser IRS tax forms Overdraft Money Economics Finance Soft dollar Business
164	June 27, 2007 Robert E. Plaze Associate Director, Division of Investment Management Catherine McGuire Associate Director and Chief Counsel, Division of Market Regulation Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-01 16:21:34 Money Investment Advisers Act Financial adviser Investment Advisor U.S. Securities and Exchange Commission Financial Industry Regulatory Authority Short Registered Investment Advisor Soft dollar Finance Business Financial economics
165	~I charles SCHWAB 4150 Kioss Lakes Parkway Richfield,OH 44286 Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:16:47 Business Employment compensation Money Charles Schwab Corporation Financial adviser Soft dollar Fiduciary Pension Finance Investment Financial economics
166	Microsoft Word - Roundtablecomments_408b2.final.doc Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:18:25 Financial services Collective investment schemes Institutional investors Financial adviser Soft dollar Hedge fund Mutual fund Management fee Fee Financial economics Investment Finance
167	February 11,2008 Via Electronic Filing Ofice of Regulations and Interpretations Employee Benefits Security Administration Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:09:37 Business 76th United States Congress Investment Advisers Act Financial adviser IRS tax forms Soft dollar Hedge fund Registered Investment Advisor Tetrahydrocannabinol Financial economics Finance Investment
168	Microsoft Word - SPARK Inst 408b2 comment[removed]FINAL.DOC Add to Reading List Source URL: www.dol.gov Language: English - Date: 2011-03-18 12:17:03 Economics Collective investment schemes Finance Employment compensation Mutual fund Pension Financial adviser Soft dollar Defined contribution plan Financial economics Investment Financial services
169	Dear Ms. Perry / Lewis: Regarding my requests for rulemaking on the disclosure of institutional soft dollar brokerage costs and universal transparency of the uses of institutional client’s* brokerage commission dollars Add to Reading List Source URL: www.sec.gov Language: English - Date: 2011-08-18 11:54:12 Financial economics Soft dollar Money U.S. Securities and Exchange Commission Investment Christopher Cox Financial adviser Securities Exchange Act Investor Protection and Securities Reform Act Finance Business United States securities law
170	Microsoft Word - Top Deficiencies Handout - FINAL IM GC.doc Add to Reading List Source URL: www.sec.gov Language: English - Date: 2008-06-25 10:56:20 Money Financial adviser U.S. Securities and Exchange Commission Gramm–Leach–Bliley Act Securities regulation in the United States Soft dollar Investment Advisor Conflict of interest Investment Adviser Association Finance Business Law

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