76th Division - PDFSEARCH.IO - Document Search Engine

76th Division
Results: 44

#	Item
31	Division of Investment Management No-Action Letter: Investment Adviser Association Add to Reading List Source URL: www.sec.gov Language: English - Date: 2007-10-03 13:07:14 Investment Financial regulation 76th United States Congress Investment Advisers Act Registered Investment Advisor Investment Adviser Association Financial adviser Investment Advisor Citigroup Finance Financial economics Business
32	SECURITIES DIVISION REGULATIONS Add to Reading List Source URL: www.dbr.ri.gov Language: English - Date: 2013-03-04 11:40:57 Investment Business United States Securities and Exchange Commission 76th United States Congress Financial adviser Investment Advisor Accredited investor Regulation D Securities Act Financial economics United States securities law Finance
33	Investment Management Regulation The Investment Management Division regulates investment companies (which include mutual funds, closed-end funds, and unit investment trusts) and investment advisers under two companion s Add to Reading List Source URL: www.sec.gov Language: English - Date: 2001-08-13 15:07:59 Collective investment schemes Funds Financial services 76th United States Congress Mutual fund Investment Advisers Act Investment Company Act Registered Investment Advisor Exchange-traded fund Financial economics Investment Finance
34	Investment Management Regulation Our Investment Management Division regulates investment companies (which include mutual funds) and investment advisers under two companion statutes, the Investment Company Act of 1940 an Add to Reading List Source URL: www.sec.gov Language: English - Date: 2000-09-08 09:48:02 Collective investment schemes 76th United States Congress United States securities law Investment Company Act Investment Advisers Act Financial adviser Mutual fund U.S. Securities and Exchange Commission Investment company Financial economics Investment Finance
35	Division of Corporation Finance No-Action Letter: A.R. Schmeidler & Co. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-08-05 14:34:33 Financial regulation Financial economics 76th United States Congress Finance Investment Securities Exchange Act U.S. Securities and Exchange Commission Securities Act Investment Advisers Act United States Securities and Exchange Commission United States securities law 73rd United States Congress
36	Division of Investment Management Guidance: Investment Funds Maintained by Charitable Organizations Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-12-24 15:16:21 Financial services Collective investment schemes Taxation in the United States 76th United States Congress Charitable organization Nonprofit organization U.S. Securities and Exchange Commission 501(c) organization Investment Company Act Financial economics Investment Economics
37	RESPONSE OF THE OFFICE OF CHIEF COUNSEL DIVISION OF INVESTMENT MANAGEMENT July 15, 2013 IM Ref. No[removed]Wells Fargo Bank, N.A. Add to Reading List Source URL: www.sec.gov Language: English - Date: 2013-07-15 17:53:10 Economy of the United States Business Wells Fargo United States securities law Primary dealers Investment Investment Advisers Act Investment Company Act U.S. Securities and Exchange Commission 76th United States Congress Finance Financial economics
38	2013 IA Switch Audit Report A Report Summarizing the Missouri Securities Division’s 2013 IA Switch Firm Audit Findings and Associated Suggested Best Practices December 2013 Missouri Securities Division Add to Reading List Source URL: www.sos.mo.gov Language: English - Date: 2014-03-20 15:51:29 Investment Advisers Act Business Financial adviser Financial regulation Investment Advisor U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Securities and Exchange Commission Audit Finance 76th United States Congress Financial economics
39	2013 IA Switch Audit Report A Report Summarizing the Missouri Securities Division’s 2013 IA Switch Firm Audit Findings and Associated Suggested Best Practices December 2013 Missouri Securities Division Add to Reading List Source URL: www.sos.mo.gov Language: English - Date: 2014-03-20 15:51:29 Investment Advisers Act Business Financial adviser Financial regulation Investment Advisor U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Securities and Exchange Commission Audit Finance 76th United States Congress Financial economics
40	Investment Management Regulation The Investment Management Division regulates investment companies (which include mutual funds, closed-end funds and unit investment trusts) and investment advisers under two companion sta Add to Reading List Source URL: www.sec.gov Language: English - Date: 2003-01-31 09:45:46 Funds Financial services Collective investment schemes 76th United States Congress Exchange-traded fund Investment Company Act Mutual fund Investment Advisers Act Registered Investment Advisor Financial economics Investment Finance

UPDATE