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Finance / Financial system / Investment / Corporate crime / U.S. Securities and Exchange Commission / North American Securities Administrators Association / Registered Investment Advisor / Self-regulatory organization / Financial adviser / Financial regulation / United States securities law / Financial economics


Microsoft Word - Sec 914 Comment Letter - Final.doc
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Document Date: 2014-08-21 21:53:26


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File Size: 70,56 KB

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City

Washington / /

Company

NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION INC. / David Massey NASAA / /

Currency

USD / /

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Organization

United States Senate / Congress / Division of Trading / NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION / Acting Director Division of Investment Management Robert W. Cook / INC / Commission’s office of Compliance Inspections and Examinations / office of Compliance Inspections and Examinations / Committee on Banking / Housing / and Urban Affairs / Securities and Exchange Commission / /

Person

David Massey / Rick Hancox / Fred Joseph / Patricia Struck / Robert W. Cook / Preston DuFauchard / Jack Herstein / Denise Voigt Crawford / Frank Widmann / Carlo di Florio / Matthew Neubert / Joseph P. Borg / Rex Staples / Robert Khuzami / /

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Position

Director / Division of Enforcement / Enhancing Investment Adviser / government actor / Executive Director / actor / President / Murphy Secretary / Director / President North Carolina Deputy Securities Administrator / Russ Iuculano Secretary / Investment Adviser / Treasurer / General Counsel at rs@nassa.org / adviser / /

ProgrammingLanguage

DC / /

ProvinceOrState

Texas / Nebraska / Wisconsin / New Brunswick / Alabama / Florida / North Carolina / California / Arizona / Colorado / D.C. / /

URL

http /

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