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Self-regulatory organizations / Financial economics / Corporate crime / U.S. Securities and Exchange Commission / Registered Investment Advisor / Financial adviser / Financial Industry Regulatory Authority / Investment Advisor / Securities regulation in the United States / Finance / Business / United States securities law


From: Robin Traxler Sent: Monday, March 10, 2014 8:45 AM To: OFM Performance and Planning Cc: David Bellaire; Justin Nazari; Robin Traxler Subject: Comment Letter from the Financial Services Institute on SEC Draft Strate
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Document Date: 2014-07-02 15:22:59

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File Size: 162,15 KB

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Company

Mohan Program / Cerulli Associates / /

Continent

America / /

Country

United States / /

Currency

pence / /

Facility

Financial Services Institute / The Financial Services Institute / /

IndustryTerm

investment advisory services / proactive communications / online delivery / financial planning services / retail investors / variable insurance products / financial services / online educational content / securities law / /

NaturalFeature

IBD channel / /

Organization

U.S. Securities and Exchange Commission / Federal Bureau of Investigation / Department of Justice / Financial Service Institute / Investor Advisory Committee / FINRA / NASAA / Financial Services Institute on SEC Draft Strategic Plan for Fiscal Years / Securities and Exchange Commission / Advisory Committee / /

Person

David Bellaire / David T. Bellaire / Justin Nazari / Robin Traxler / Jennifer B. McHugh / Dale E. Brown / Elizabeth M. Murphy / Marcia E. Asquith / /

/

Position

Financial Advisor / independent contractor / investment advisors / Executive Vice President & General Counsel / Broker-Dealer / Independent Financial Advisors / Analyst / adviser / /

ProgrammingLanguage

DC / /

URL

http /

SocialTag