<--- Back to Details
First PageDocument Content
Financial services / Financial markets / United States securities law / Securities / Registered Investment Advisor / Soft dollar / Investment Advisers Act / Financial adviser / U.S. Securities and Exchange Commission / Finance / Business / Financial economics
Date: 2014-09-28 08:51:22
Financial services
Financial markets
United States securities law
Securities
Registered Investment Advisor
Soft dollar
Investment Advisers Act
Financial adviser
U.S. Securities and Exchange Commission
Finance
Business
Financial economics

OCC[removed]Attachment[removed]FR 16004

Add to Reading List

Source URL: www.ots.treas.gov

Download Document from Source Website

File Size: 100,83 KB

Share Document on Facebook

Similar Documents

State Bank of India / SBI Group / SoftBank / Economy of Japan / Economy of Asia / SBI / Economy of India

October 18, 2018 SBI Holdings, Inc. (Tokyo: 8473) Interim Results Announcement for the Six Months Ended September 30, 2018 of SBI SECURITIES

DocID: 1xVZg - View Document

Digital currency exchange / Cryptocurrencies / Economy / Money / Huobi / Finance / Decentralization / Alternative currencies / Bitcoin / Draft:HBUS / Draft:Hydro Protocol

Huobi Joins GLASS Network and Invests in SharesPost Huobi joins network enabling compliant trading of digital securities globally San Francisco, CA — August 15, 2018 — SharesPost, a leading provider of liquidity solu

DocID: 1xVUE - View Document

Digital currency exchange / Cryptocurrencies / Economy / Money / Huobi / Finance / Decentralization / Alternative currencies / Bitcoin / Draft:HBUS / Draft:Hydro Protocol

Huobi Joins GLASS Network and Invests in SharesPost Huobi joins network enabling compliant trading of digital securities globally San Francisco, CA — August 15, 2018 — SharesPost, a leading provider of liquidity solu

DocID: 1xVOE - View Document

Finance / Money / Economy / Investment / European Union law / Undertakings for Collective Investment in Transferable Securities Directive / Banking / Asset and liability management / Open-ended investment company / Common contractual fund

UCITS – ESMA Developing a Common Understanding on Share Classes On the 23rd of December 2014 the European Securities and Markets Authority ("ESMA") published a discussion paper on share classes of UCITS Funds with a vi

DocID: 1xVJY - View Document

Auctions / Economy / Auction theory / Marketing / Microeconomics / Bid price / Bidding / Shop at Bid

TRADITION SECURITIES AND DERIVATIVES INC. (“TSD”) BROKER’S BROKERS PROCEDURES (MSRB RULE G-43) I. General Obligations of TSD as a Broker’s Broker

DocID: 1xVDy - View Document