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Administrative proceeding
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371	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 4, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-04 16:45:05 Business Financial regulation Financial economics United States securities law Registered Investment Advisor U.S. Securities and Exchange Commission Investment Advisor Financial adviser Securities Act Finance 76th United States Congress Investment Advisers Act
372	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 4, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-04 09:32:46 Investment Advisers Act Investment Financial regulation Business U.S. Securities and Exchange Commission Financial adviser Dodd–Frank Wall Street Reform and Consumer Protection Act Investment Advisor Securities Commission of New Zealand Finance 76th United States Congress Financial economics
373	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 11, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-11 10:02:20 NCR Corporation Mechanical engineering Economics Building engineering 73rd United States Congress United States Securities and Exchange Commission United States securities law Tender offer Insider trading Business Heat transfer Radiant Systems
374	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION SECURITIES EXCHANGE ACT OF 1934 Release No[removed]February 11, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-11 11:12:16 Finance 73rd United States Congress United States Securities and Exchange Commission Financial markets Stock market U.S. Securities and Exchange Commission Securities and Exchange Commission Securities Exchange Act Securities Act Financial economics United States securities law Financial system
375	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 4, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-04 09:31:21 Finance Government Investment Financial regulation Financial adviser U.S. Securities and Exchange Commission Dodd–Frank Wall Street Reform and Consumer Protection Act Securities and Exchange Commission 76th United States Congress Financial economics Investment Advisers Act
376	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 6, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov. Language: English - Date: 2015-02-06 13:54:08 Financial services 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission Financial adviser Collective investment scheme Financial economics Investment Finance
377	ADMINISTRATIVE PROCEEDING BEFORE THE MARYLAND SECURITIES COMMISSIONER IN THE MATTER OF: * Add to Reading List Source URL: www.oag.state.md.us Language: English - Date: 2015-02-03 11:39:35 Financial Industry Regulatory Authority Financial system Finance Broker-dealer Registered representative Registered Investment Advisor United States securities law Financial economics Self-regulatory organizations
378	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT COMPANY ACT OF 1940 Release No[removed]February 12, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-12 10:28:58 Financial services Collective investment schemes Funds Institutional investors Mutual fund fees and expenses Mutual fund Short U.S. Securities and Exchange Commission Custodian bank Financial economics Investment Finance
379	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]February 4, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-02-04 16:45:05 Business Financial regulation Financial economics United States securities law Registered Investment Advisor U.S. Securities and Exchange Commission Investment Advisor Financial adviser Securities Act Finance 76th United States Congress Investment Advisers Act
380	UNITED STATES OF AMERICA Before the SECURITIES AND EXCHANGE COMMISSION INVESTMENT ADVISERS ACT OF 1940 Release No[removed]January 28, 2015 ADMINISTRATIVE PROCEEDING Add to Reading List Source URL: www.sec.gov Language: English - Date: 2015-01-28 16:46:05 Financial services 76th United States Congress Investment Advisers Act U.S. Securities and Exchange Commission Securities regulation in the United States Financial adviser Economics Pension Investment Financial economics Finance

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